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Company Number 05564649 A Company Limited by Guarantee Registered in England ST LEGER HOMES OF DONCASTER LIMITED
BOARD MEETING
The meeting will be held at 2:00pm on Wednesday 6 April 2016 The Boardroom, St Leger Court, White Rose Way, DONCASTER, DN4 5ND
AGENDA
1 Apologies and Quorum Verbal 2 Declarations of Interest by Board Members Verbal 3 Minutes of the meeting held on 27 January 2016 and matters arising Enclosed 4 Chair’s Update A Tolhurst Verbal 5 Chief Executives Update S Jordan Verbal
Policy and Strategy Items 6 Joint Protocol between Doncaster Children’s Services Trust,
Doncaster MBC and St Leger Homes for Young People Aged 16-17 years at risk of Homelessness
J Jones with J Wilson (DMBC)
Enclosed/ Presentation
7 Health & Safety
a) Health, Safety and Well-being Strategy 2016-20 b) Health and Safety Policy c) Asbestos Management Plan/Policy
M Werritt L Keeling
Enclosed
8 Accounts Receivable Policy J Crook Enclosed 9 Housing and Planning Bill 2015/16 J Jones Enclosed
Financial and Performance
10 Budget Approval 2016/17 J Crook Enclosed
11 Annual Development Plan and KPI Targets 2016/17 S Thorlby-Coy Enclosed
12 Risk Register 2016/17 J Crook Enclosed 13 Performance Information – February 2016 J Jones
M Werritt J Crook
Enclosed
14 Q3 Complaints Reporting J Jones Enclosed
Items for Information 15 Pay and Grading Update L Keeling Enclosed
16 Legislative Changes impacting on HR Practices L Keeling Enclosed
17 SCR Devolution Deal – 4:00pm C Foster (DMBC) Presentation
18 Stronger Families – 4:30pm J Jones with
M Cridge (DMBC) Presentation
19 Quality Committee Minutes R Haldenby Enclosed
20 Audit Committee Minutes L Christon Enclosed
Information – Policies Under Review
2
Date of next meeting • 25 May 2016
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Company Number 05564649 A Company Limited by Guarantee Registered in England
St. Leger Homes of Doncaster Limited
BOARD MEETING
27 January 2016
Present: Alan Tolhurst (Chair), Rodger Haldenby, Maureen Tennison, Michelle Greenwood, Susan Jordan, Allan Jones, Robert Mayo, Linda Christon, Paul Wray, Joe Blackham. Also In Attendance: Julie Crook (Director of Corporate Services), Mick Werritt (Director of Property (Technical) Services), Judith Jones (Director of Housing Services), Linda Keeling (Head of HR and Health & Safety), Laura Evans (Executive Support Officer). External Attendance: Action 1 Apologies and Quorum 1.1 No apologies were received. 1.2 Quorum was noted and the meeting commenced. 2 Declarations of Interest by Board Members 2.1 No declarations of interest were received from Board Members. 3. Minutes of the meeting held on 25 November 2015 and
matters arising
3.1 From agenda item 3.3 – Solar Photovoltaic (PV) Panels
The Director of Property Services advised that 684 PV panels were installed prior to 24 December 2015.
3.2 From agenda item 10 – Whistleblowing Policy, Procedure
and Guidance Members were advised that the policy has been re-named, following discussions at Board, and is now called the ‘Protected Disclosure Policy (Whistleblowing Policy)’.
4. Chair’s Update 4.1 Board Member Resignation
Members were advised that Mandy Chippindale, Independent Board Member, will be resigning from the Board with effect from 31 January 2016.
4.2 Meetings
The Chair advised that he had attending a meeting with the
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Housing Portfolio Holder and the Chief Executive before Christmas and also attended the Quality Committee.
5. Chief Executive’s Update 5.1 Doncaster Chamber Awards
The Chief Executive advised that SLHD were shortlisted for the following two awards at the Doncaster Chamber Business Awards:
Training, learning & development Corporate & social responsibility
SLHD were selected as a runner up in the training, learning & development category. The Chief Executive expressed thanks to Kristina Turner, Interim Head of HR.
5.2 Doncaster Dementia Alliance
SLHD has joined the Doncaster Dementia Alliance and have signed up to be ‘dementia friends’ with Grant Lockett, Head of Access to Homes, leading on this. We aim to have a number of ‘dementia champions/friends’ across the business, who will be working with dementia action alliance, and we will be looking to roll out training to staff to raise awareness.
5.3 Housing Options for Older People
The Chief Executive advised that DMBC have asked SLHD to take the lead on reviewing housing options for older people in Doncaster. Currently, there are issues around the volume of elderly people residing in residential care homes. SLHD are working with colleagues in Strategic Housing and Adult Care to look at the different options available. A member queried whether SLHD has the resources to fund this. It was explained that this is being reviewed and will be discussed further with DMBC.
5.4 Leadership Development 2 (LD2)
The Chief Executive attended the launch of the LD2 programme, which involves those staff with managerial responsibilities, on 21st January 2016. The second launch date will be held in March for the following cohorts.
5.5 Board Development Day
The Chief Executive thanked Board Members for attending and contributing to the Board Development Day, held on Friday 22nd January 2016.
6. Delivering our Business Plan through the 2016-17 Annual
Development Plan (ADP)
6.1 Members were presented with the proposed ADP for 2016/17,
which aligns 51 proposed key activities against the strategic objectives as set out in the 2015-20 Business Plan.
6.2 A member queried whether SLHD are reviewing any opportunities
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to get involved in new build properties and regeneration projects. The Director of Property Services responded that we have been heavily involved in working with DMBC to review the opportunities and develop a delivery model for new build housing. The vast majority of these opportunities will be working with private investors. Members were advised that the only regeneration project we are working on at the moment is the Howard properties in Wheatley.
6.3 Members were referred to milestone 2.3 and Christine Tolson,
Head of Asset Management, advised that we are currently working alongside DMBC to conduct a review of the communal halls, particularly those that are used less frequently. Members were advised that tenants and residents will be involved in any consultation as part of the review.
6.4 A member queried whether SLHD are working alongside DMBC
on the Community Asset Scheme; it was explained that this will need to be clarified with DMBC.
6.5 The Chair queried whether the Tenants and Residents
Involvement Panel (TRIP) will be involved in the actions under ADP Ref 2. Jane Davies, Head of Customer Focus and Opportunities, confirmed that TRIP will be involved and are currently undertaking a piece of work around recruitment.
6.6 The Director of Housing Services advised that the Universal
Credit action plan at milestone 7.1 has been in place for 18 months and we now have over 40 live cases where tenants are in receipt of Universal Credit; progress on this is being monitored through the Quality Committee.
6.7 A member referred to ADP ref 5, milestone 1.1 and queried the
target date of September 2016 to map existing and potential partnerships. Stephen Thorlby-Coy, Head of Business Excellence, advised that work on the mapping exercise started at a recent Senior Management Team and as such, the target date will be brought forward accordingly.
6.8 A member queried whether the financial action plan could be
included within the ADP. It was noted that the financial action plan is monitored on a regular basis through the Audit Committee.
6.9 Members were advised that a Board training session will be held
on Tuesday, 9th February to discuss the ADP in more detail and the final version will be presented at the 6th April Board Meeting.
6.10 Members noted progress and thanked the Head of Business
Excellence for the presentation of the ADP.
7. Extending our Service Offer 7.1 The Director of Property Services informed members that SLHD
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are currently looking to extend our repairs service by offering services commercially to the residential private sector and other businesses, within areas we already work; this also includes offering the service to SLHD and DMBC employees. The approach will be delivered as live market testing and will start with gas servicing.
7.2 A benchmarking exercise has been undertaken with similar
organisations, however we have not included single entity businesses within the scope; results of this are shown at item 7.7 in the report.
7.3 A member commented that this is an excellent opportunity to
generate extra revenue and build a solid foundation for future business.
7.4 A member queried whether we have the capacity within current
workloads to undertake this. The Director of Property Services advised that there is capacity within current workloads to take on 350 new customers; this will need to be reviewed depending on take up of the service.
7.5 A member queried whether consultation will be undertaken with
staff on this. It was confirmed that consultation will take place if approval is given by Board, however it was noted that staff regularly ask to be involved in new opportunities so we do not anticipate any barriers.
7.6 The Director of Corporate Services explained that on average,
costs of a service for our current tenants is £60.95 and the proposed cost for private servicing is £66.00, which will cover SLHD’s costs and generate a minor surplus.
7.7 A member queried whether it would be advantageous to procure
boilers for selling purposes. The Director of Property Services advised that our current suppliers would allow this and this can be reviewed.
7.8 A member queried how this service will be promoted and the
costs associated with doing so. It was explained that we intend to promote the service through social media i.e. Facebook and Twitter and also look at costs for advertising in the local press. Staff can also be requested to drop leaflets whilst out in the areas.
7.9 A member commented that the surplus from this service will be
around 6% and therefore in the region of £2.5k and queried what surplus is currently generated. It was confirmed that no surplus is generated at present, as we do not charge tenants for the service. The Director of Property Services advised that, although we cannot quantify it, we are confident that there will be take up of other services. The Head of Asset Management commented that although the overall potential profit might be small, it is about
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the wider benefits and creating potentially safer estates. 7.10 A member raised concerns with the proposal and suggested that
we proceed with only 350 new customers for gas servicing prior to any further areas of work being undertaken. The Chief Executive advised that no other routes would be explored without gaining approval from the Board.
7.11 The Board approved the proposal to undertake gas servicing
to the residential private sector, other business and SLHD/DMBC staff; however reservations were noted and therefore no further commercial ventures will be embarked upon prior to approval by the Board.
8. Mobility Scooter Policy 8.1 The Director of Housing Services presented the new Mobility
Scooter Policy and advised that where we can, we aim to be able to allow tenants to have mobility scooters in their own home, although there are instances where doors need to be widened to accommodate this. If doors cannot be widened, we will place the tenant on the housing list with priority.
8.2 The Chair commented that he felt the policy needs to be reviewed
in further detail and therefore suggested amending the recommendation of the report to read ‘The Board recognise the need for a Mobility Scooter Policy and the content of the policy should be considered in more detail by the Quality Committee’.
8.3 A member suggested that SLHD engage with DMBC on the issue
around mobility scooters as equality impact assessments could be required.
8.4 The Board noted the policy and agreed that Quality
Committee should review the content in more detail.LE
9. Data Sharing Policy & Protocols 9.1 The Director of Corporate Services advised members that this
policy has been created to ensure that SLHD takes appropriate measures to ensure personal data is processed fairly and lawfully and held securely. The Director of Corporate Services is also the Senior Information Risk Officer (SIRO) within SLHD; a role which has been introduced to ensure that data protection is dealt with appropriately at Executive level.
9.2 Members were advised that the regulations around data sharing
will be changing from 2018; therefore an action plan is being worked on. The Board receive an update on data protection and freedom of information on a twice yearly basis and Quality Committee receive more frequent updates.
9.3 Members were informed that all staff attend mandatory data
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protection training and receive refresher training every 3 years. The option for training to be completed online is being looked into.
9.4 A member referred to page 10 on Appendix B and queried how
the ‘access arrangements to shared records and databases’ will be put into practice. It was explained that this will be the first action to be undertaken following approval of the policy; certain postholders will become responsible for holding data.
9.5 A member commented that the changes being made with effect
from 2018 will have a significant impact on the policy and it may be expected that changes are made prior to 2018.
9.6 A member queried whether external advice had been taken when
writing the policy. It was confirmed that legal advice was not sought as there are template documents available online which provide advice to public bodies.
9.7 A member queried whether breaches of the policy are reported to
the Information Commissioners Office (ICO) by SLHD. It was explained that this is the case. A member commented that there is a huge incentive to notify the ICO as the fines can be costly.
9.8 The Board considered and approved the Data Sharing Policy
and Protocols.
10. Stronger Families Outcome Plan 10.1 The Director of Housing Services advised that the Doncaster
Stronger Families Expanded Programme is managed and run by DMBC and is a multi-agency approach; the Director of Housing Services is the Chair of the Stronger Families Steering Group, which reports to Team Doncaster.
10.2 A member queried whether SLHD will be providing any resources
towards the programme. It was confirmed that SLHD already have families identified within the programme and we are currently recruiting to a role which will be based in the Doncaster Early Help Hub; this member of staff will work alongside Julie Jablonski, Housing Safeguarding Partnership Manager.
10.3 The Director of Housing Services queried whether members
would benefit from seeing case studies of families who have been through the programme. It was agreed that this would be beneficial and will be presented at the next Board Meeting.
LE
10.4 A member queried whether we are aware how many of the 3,000
suitable families are tenants of SLHD. It was agreed that this be found out and reported at the next Board Meeting.
LE
11. Digitial Inclusion & ICT Strategy
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11.1 Mark Haughey, ICT Service Manager, presented an update on the ICT Strategy and Digital Inclusion.
11.2 Members were advised that the ICT Strategy is coming to an end
in 2016 and has covered the following 4 topics over the last 3 years:
11.3 Governance
This includes providing regular updates to the Executive Management Team and the Board.
11.4 Hardware/Infrastructure
Work has taken place to successfully roll out the VOIP phone system and also implement WiFi in all offices. A full PC and server refresh has been implemented as well as the migration of all mobiles from Vodafone to Virgin Media (EE).
11.5 Solutions
Members were advised that we have negotiated the Enterprise Agreement for Microsoft products and have launched both the new internet and intranet.
11.6 ICT Service Delivery
This work included a review of the key roles and skills within the ICT team for resilience and a continual assessment of new technologies.
11.7 Digital Inclusion
Members were advised that digital inclusion is broken down into six elements, these are:
Website Social Media Smart Phone App Customer Engagement Single Contact Number Customer Relations Management/Data Collection
11.8 Members were advised that the future ICT Strategy will look to
incorporate a wider scope, which will include the organisational vision, business plan, ADP/service plan, digital inclusion and business transformation.
11.9 Members noted the presentation on the ICT Strategy and
Digital Inclusion.
12. People Strategy Update 12.1 The Director of Housing Services provided an update on the
progress of the People Strategy and highlighted the key achievements since July 2015, which include:
Securing the Chamber of Commerce ‘runner up’ Excellence in People Development Award
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Completing the Directorate People Planning process for the first year
Development of the Personal Annual Review Delivery of the Employee Survey Agreement of the Trade Unions to a new Employee
Charter 12.2 A member referred to item 10 on page 6 of the report and
expressed concern at the figures from the staff survey. The Director of Housing Services advised that we are reviewing this further to fully understand the results and will be setting up focus groups to do this. Kristina Turner, Consultant, advised that when compared to other organisations, the figures shown are positive.
12.3 Jane Davies, Head of Customer Focus and Opportunities, added
that there is a perceived lack of communication which was highlighted at the staff conference and we are looking into this.
12.4 A member referred to item 11 on page 7 and queried who will be
responsible for delivering recruitment assessment centres. Members were advised that Rachel Aston, Organisational Development Co-Ordinator, will lead on assessment centres and is qualified to level 7. The Chair queried whether there was room for ‘gut feeling’ following the introduction of competency based assessments. The Director of Housing Services assured members that SLHD always look to employ someone who is the right ‘fit’.
12.5 Members noted the progress and actions to date of the
People Strategy and will receive a further update in July 2016.
13. Budget Planning Update – 2016/17 to 2019/20 13.1 The Director of Corporate Services explained that a series of
meetings involving Directors, Heads of Service, Service Managers and finance staff have been arranged to check and challenge all budget assumptions and ensure there is complete budget ownership and understanding going into 2016/17.
13.2 Members were advised that the budget proposals will be
presented to the Board in April and these budgets will be balanced without reductions in service delivery, job losses or any changes to staff terms and conditions.
13.3 The Board noted the content of the Budget Planning Update
– 2016/17 to 2019/20.
14. Q3 Revenue Monitoring 14.1 The Director of Corporate Services advised that an outturn
surplus of £82k is expected, which includes a £40k surplus in Strategic Housing which will be repaid to the General Fund,
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leaving a surplus of £42k on HRA activities. 14.2 The outturn position is very tight but includes a number of one-off
costs or reduced income totalling in excess of £600k that have been absorbed within the year.
14.3 A member referred to item 3.3 in the report and queried how we
approach long term vacancies. Members were advised that there have been particular issues in recruiting within procurement and are currently looking at solutions to this. A member queried whether it was possible to provide current staff with the training necessary to fill these roles. It was confirmed that this would be very timely as some qualifications can take up to four years to complete.
14.4 A member queried whether it was beneficial to raise the pay for
the posts we struggle to recruit to. It was confirmed that all posts were subject to the Pay & Grading Review and are graded appropriately as a result.
14.5 A member referred to item 4.1 in the report and highlighted the
underspend of £1.5m on salary costs. The Director of Corporate Services advised that there is a support and challenge group currently looking at recruitment across the business, as well as job descriptions and essential criteria.
14.6 A member expressed concern at the large increase in costs on
building materials and queried whether we felt we had been lucky to achieve a surplus, considering the mild winter and reduction in fuel prices. The Director of Corporate Services advised that the Executive Management Team make decisions based on the resources available at the time; had there been an increase in fuel, some decisions would not have been made to take account of this.
14.7 A member referred to the table detailed on page 5 and queried
the roof repairs to our offices. The Director of Corporate Services advised that the lease agreements for both St Leger House and St Leger Court require SLHD to take responsibility for any repairs.
14.8 The Board acknowledged the Revenue Monitoring Report
and the projected outturn for the financial year 2015/16 and thanked the Director of Corporate Services for the presentation of the report.
15. Q3 Capital Monitoring 15.1 The Director of Corporate Services advised members that the
2015/16 Capital Programme is amended on a quarterly basis and as at quarter 2, the projections show that outturn is projected at £44.4m against resources of £45.3m.
15.2 The Board acknowledged the Capital Monitoring Report and
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the projected outturn for the financial year 2015/16 16. Performance Information 16.1 HS1 – % of current rent arrears against annual debit
Members were advised that there was an increase in arrears at the end of December, as expected, however we remain well within target.
16.2 HS2 – Void rent loss %
Members were reminded that this KPI would not reach target, however it was noted that the monthly figure has improved from 1.31% to 1.28%, which is the best performance in this financial year.
16.3 HS3 – Number of households in temporary accommodation
We placed 7 households in temporary accommodation during the month.
16.4 HS4 – Number and % of households maintaining or established
independent living During December, we had 34 service users which is a decrease of 11 and is below our contractual level of 40. The service is on a 3 month improvement plan to embed the changes to the service which will ensure that we attain the Quality Improvement Framework.
16.5 HS5 – Analysis of complaints – service failure against service
dissatisfaction Members were advised that we are currently rolling out customer care training.
16.6 PS1 – Right First Time
Cumulative performance is below the 98% target for 15/16 at 97.82%.
16.7 PS2 – Scheduled Repairs - % of promises kept
December’s cumulative performance has improved on the previous month and is now at 98.99%.
16.8 PS3 – Gas Servicing - % of properties attended
The servicing programme has now finished and has met its target; all landlord certificates are in place.
16.9 CI1 – Average days lost through sickness per FTE
Sickness absence is higher than November’s figure of 0.65 at 0.69 days lost per FTE against an in month target of 0.71.
16.10 CI2 - % of invoices paid within 30 days
The performance figures for November and December are based on the revised basis of calculation using the invoice received date and not the date of the invoice. December’s performance is the best of the year and we are now very close to target.
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17. Q3 Annual Development Plan 17.1 It was agreed that the colour coding system be used for the next
presentation to Board. STC
17.2 The Board noted the contents of the Q3 Annual Development
Plan.
18. Q3 Strategic Risk Register 18.1 Members were advised that a 4th risk has been included in
connection with ICT solutions.
18.2 Members agreed to review Strategic Risk at the Board training
session on 9th February, alongside the ADP.
18.3 The Board noted the contents of the Q3 Strategic Risk
Register.
19. Board Forward Plan 19.1 The Board noted the forward plan. The meeting ended at 17:20.
1
ST LEGER HOMES OF DONCASTER LTD Company limited by guarantee registered in England
Company Number 05564649
Board Meeting
REPORT
Date
:
6 April 2016
Item
:
06
Subject
:
Joint Protocol between Doncaster Children’s Services Trust, DMBC and SLHD for Young People Aged 16-17 years old at risk of Homlessness
Presented by
:
Judith Jones Director of Housing Services
Prepared by
:
Grant Lockett Head of Access to Homes
Purpose
:
To ask the Board to approve the new Joint Protocol
Recommendation : For the Board to approve the new Joint Protocol
2
Company Number 05564649 A Company Limited by Guarantee Registered in England To the Chair and Members of the Agenda Item No. 06 ST LEGER HOMES OF DONCASTER BOARD Date: 6 April 2016 1. Report Title 1.1 Joint Protocol between Doncaster Children’s Services Trust, DMBC and
SLHD for Young People Aged 16-17 years old at risk of Homlessness. 2. Executive Summary 2.1 This protocol replaces that which was implemented in 2011 and
subsequently revised in August 2014. The need for a revised Protocol was highlighted in an Ombudsman report in 2015.
3. Purpose 3.1 To inform the Board of the proposal to revise the Protocol and ask for the
Board’s approval to implement the new Protocol. 4. Recommendation 4.1 It is recommended that Board approve the new Protocol. 5. Background 5.1 This is a revised protocol to that one which was implemented in 2011 and
previously revised in August 2014. This further revision has taken place as a result of consultation with the National Youth Homeless Adviser and as a result we have a greater degree of confidence that it adheres more closely to the very best practice.
5.2 As a result of this further partnership working we are pleased to endorse this
joint protocol for working with homeless 16 and 17 year olds. It better reflects our joint commitment to preventing, or resolving, youth homelessness.
5.3 Our shared aim continues to be to offer the young person the best housing
advice and support in a seamless way which is cost-effective, efficient and, most of all, meets their needs.
5.4 This Protocol concerns those young people where homelessness appears
not to be immediately preventable and it details what respective agencies will do to assess needs and support these young people. However, it should also be recognised that prevention work can still take place alongside the statutory duties even once the young person has left home as it may still be possible to resolve conflict and/or reunite young people with their families
3
where it is safe to do so. 5.5 The joint Protocol is an agreement which establishes the roles and
responsibilities of different agencies towards homeless and or potentially homeless 16 and 17 year olds. It outlines the respective statutory responsibilities of DCST, DMBC and SLHD. In addition, it details the practical joint working arrangements between them and other agencies which can assist with the housing and support of homeless 16 and 17 year olds in the Borough.
6. Procurement 6.1 N/A. 7. VFM Considerations 7.1 The joint protocol will lead to:
Improved levels of prevention of homelessness Better safeguarding of young people at risk of, or who are homeless A clearer understanding of roles and responsibilities for workers, wider
agencies and young people A reduced risk of young people “falling through the net” Better working relationships between agencies Young people accessing the most appropriate accommodation and
therefore, preventing future homelessness Best use of limited resources and time
8. Financial Implications 8.1 There are no financial implications at this stage. 9. Legal Implications 9.1 The legal implications are included within the Protocol. 10. Risks 10.1 The risks are included within the Protocol. 11. IT Implications 11.1 There are no IT implications. 12. Consultation 12.1 Drafting the Protocol has included key partners. There has also been
significant input from the National Youth Homelessness advisor and they are facilitating a workshop with staff on 8 March 2016.
4
13. Diversity 13.1 These are included within the report. 14. Communication Requirements 14.1 The Protocol will go through DCST, DMBC and SLHD governance
processes. It will also be shared through the Borough’s Homelessness and Support Partnership.
15. Equality Analysis (new/revised Policies) 15.1 N/A. 16. Report Author, Position, Contact Details 16.1 Grant Lockett, Head of Access to Homes
01302 735804 17. Background Papers 17.1 Appendix A – Joint Protocol between Doncaster Children’s Services Trust,
DMBC and SLHD for Young People Aged 16-17 years old at risk of Homlessness
Appendix A
Page | 1
JOINT PROTOCOL BETWEEN
DONCASTER CHILDREN’S SERVICES
TRUST, DONCASTER MBC AND St
LEGER HOMES FOR YOUNG PEOPLE
AGED 16-17 YEARS AT RISK OF
HOMELESSNESS
VERSION 15. MARCH 2016.
Appendix A
Page | 2
CONTENTS
Foreword Page 3
Introduction Page 4
Scope of Joint Protocol Page 5
Purpose of Joint Protocol Page 5
Key Principles Page 6
Provision of Accommodation Page 8
Managing Individual Cases Page 11
Joint working- The detail Page 12
Initial actions Page 12
First Contact with Youth Offending Services Page 13
Actions to be taken by Officers Page 15
Working Together to support Young Homeless People Page 16
Considerations for Home Options Page 16
The Child in Need Assessment Page 17
First Contact with Other Agencies Page 19
Multi-Agency Panels Page 19
Special Circumstances Page 19
Explaining assessment Outcomes Page 21
Recording Case Information Page 22
Dispute Resolution Page 23
Protocol Monitoring Page 23
Continuing to improve our responses Page 23
Acronyms, abbreviations and definitions Page 24
Appendix 1- Overview of Legislative Context Page 25
Appendix 2- The Partners Page 29
Appendix 3- 16/17 year old pathway Page 32
Appendix A
Page | 3
Foreword
This protocol replaces that which was implemented in 2011 and subsequently
revised in August 2014.
Our shared aim continues to be to offer the young person the best housing advice
and support in a seamless way which is cost-effective, efficient and, most of all,
safeguards young people and supports our work to maximise their life chances.
As a result of this further partnership working we are pleased to endorse this joint
protocol for working with homeless 16 and 17 year olds. It better reflects our joint
commitment to preventing, or resolving, youth homelessness.
Signed
…………………………………………………….. Chief Executive.
Doncaster Children’s Services Trust (DCST)
………………………………………………………Chief Executive.
Doncaster Metropolitan Borough Council (DMBC)
……………………………………………………….Chief Executive
St Leger Homes of Doncaster (SLHD)
Appendix A
Page | 4
Introduction
Doncaster Children’s Services Trust (DCST), Doncaster Metropolitan Borough
Council (DMBC) and St Leger Homes of Doncaster (SLHD) are committed to
achieving the best possible outcomes for all young people. A foundation to achieving
this is that young people are better off living at home or within their family network so
long as it is safe for them to do so.
Homelessness at a young age can impact on life chances and safety and should
therefore be avoided wherever possible when young people cannot, for whatever
reason, continue to live with their families.
This Protocol concerns those young people where homelessness appears not to be
immediately preventable and it details what respective agencies will do to assess
needs and support these young people. Alongside statutory duties, we are
committed to continuing with prevention work even once the young person has left
the family home, as it may still be possible to resolve conflict and/or reunite young
people with their families where it is safe to do so.
Joint Statutory Guidance published by the Department for Communities and Local
Government and the then Department for Children, Schools and Families (Provision
of Accommodation for 16 and 17 year old young people who may be homeless
and/or require accommodation – April 2010) makes it clear that the needs of young
people aged 16 or 17 should be considered first and foremost under the Children Act
(1989) and recognises that young people of this age who are homeless are
“extremely likely” to be Children in Need under the terms of the Act. Decisions made
only about their need for accommodation under Housing legislation are unlikely to
prove to be an adequate response and should only be made after Children’s
Services have considered the young person’s need for assistance even when the
young person first approached SLHD for assistance in securing appropriate
accommodation.
Appendix A
Page | 5
1. Scope of Joint Protocol
i. DCST, DMBC and SLHD and partner agencies working with young people
and their families in Doncaster are committed to achieving the best possible
outcomes for young people who present to us at risk of homelessness or in
housing need.
ii. This joint Protocol is an agreement which establishes the roles and
responsibilities of different agencies towards homeless and or potentially
homeless 16 and 17 year olds. It outlines the respective statutory
responsibilities of DCST, DMBC and SLHD. In addition, it details the practical
joint working arrangements between them and other agencies which can
assist with the housing and support of homeless 16 and 17 year olds in the
Borough.
iii. The organisations have statutory duties towards young people aged 16 and
17 year old. (See section 3 on the legislative context for more details.)
Alongside this, other statutory and voluntary agencies also provide a range of
services for these young people. Without clear agreement on respective roles
and responsibilities, young people could often be passed among agencies
and not receive the appropriate or most timely services.
2. Purpose of Joint Protocol
i. The joint protocol will lead to:
Improved levels of prevention of homelessness
Better safeguarding of young people at risk of, or who are homeless
A clearer understanding of roles and responsibilities for workers, wider
agencies and young people
A reduced risk of young people “falling through the net”
Better working relationships between agencies
Appendix A
Page | 6
Young people accessing the most appropriate accommodation and
therefore, preventing future homelessness
Best use of limited resources and time
3. Key Principles
i. This protocol is based on the following principles and beliefs about young
people and their transition to independent adulthood:
The experience of homelessness is damaging to young people and to their life
chances. We support the statutory joint guidance which states that “it is in the
best interests of most young people aged 16 or 17 to live in the family home, or,
where this is not safe or appropriate, with responsible adults in their wider family
and friends network”. It is the commitment of DCST, DMBC and SLHD to keep
families together in their homes wherever this is possible as this is usually best
for the child. The parents of, or those of parental responsibility for, 16 and 17 year
olds are responsible for their children’s welfare. There are a range of preventative
services available from DCST, DMBC and SLHD to support a young person to
remain in their family home and these options should be considered as part of the
assessment process.
Effective homelessness prevention work is at the heart of the approach of helping
potentially homeless 16 and 17 year olds.
Safeguarding concerns should be reported to the Referral and Response team at
DCST and requests for additional family support or early help should be referred
to the Early Help Hub. Where young people are unable or unwilling to return to
their immediate families, young people should be supported to explore wider
kinship care and network providers where their needs can be met.
It is the responsibility of all agencies to keep the young person safe and their
welfare is paramount at all times.
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Bed and Breakfast accommodation is not suitable to accommodate 16 and 17
year olds even on a temporary or emergency basis.
Young people need to be given every opportunity to have a realistic
understanding of the options available to them and to make informed choices
about their future and their wishes and feelings should be taken into
consideration at all times.
On occasions, and despite everyone’s best efforts, the pathway agreed with the
young person may break down. There is a commitment from the signatories to
this Protocol to ensure that in such cases the young person is supported to return
to the stage in the pathway appropriate to their needs, to re-engage and to be re-
assessed by Children’s Services as appropriate.
In addition there are a number of key principles in putting this protocol into
practice:-
1. A young person in crisis should receive a consistent, practical and immediate
response from whichever agency they first approach which focuses on
preventing homelessness in the first place.
2. Agencies will share information about a young person and their family subject
to the proper consent being obtained in order to inform a joint assessment of
need.
3. DCST, DMBC and SLHD will collaborate fully during the assessment process.
4. The availability or otherwise of suitable accommodation or support must not
influence the determination of statutory duties under the Children Act 1989.
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5. Once potential duties are determined DCST, DMBC and SLHD should work
together in consultation with the young person to agree the way forward
which:
a. Stands the best chance of being sustainable by the young person.
b. Offers the best achievable basis for the moving to independent
adulthood (including the return to the family home or living with
extended family) and
c. Makes the best use of all agencies combined resources of
accommodation and support.
6. Communication will be in the preferred local language or method of the young
person but in addition a formal written record will be maintained by the
agencies involved.
4.Provision of Accommodation for 16 and 17 year old young people who may
be homeless and/or require accommodation
i) Following the, “G v Southwark 2009” House of Lords judgment, the
Government issued joint statutory guidance from the Department for
Children, Schools and Families (now the Department for Education)
and Department for Communities and Local Government - Provision of
Accommodation for 16 and 17 year old young people who may be
homeless and/or require accommodation. This guidance outlines the
legal duties under the Children Act 1989 and Housing Act 1996 for 16
and 17 year old young people who are homeless.
ii) The joint statutory guidance gives clear direction on the complementary
roles of children’s services authorities and local housing authorities in
implementing their separate statutory roles. The G v Southwark
judgment clarified that in the case of a homeless 16 or 17 year olds,
children’s law takes precedence over housing law. In light of this
clarification, a fundamental principle of the joint statutory guidance is
that all 16 and 17 year olds who are homeless should be assessed by
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children’s services under the Children Act 1989 to determine whether
they are a child in need, as set out in Section 17 of the Act and, if so,
whether a duty exists to offer accommodation under Section 20 of the
Children Act.
iii) Young people aged 16 or 17 are still children and that as such, all
agencies have duties and responsibilities to act together to protect
them if they are suffering, or likely to suffer, significant harm.
Key extracts from this statutory guidance are:
Para 2.13 “…children’s services should be the lead agency with regard to
assessing and meeting the needs of 16 and 17 year olds.”
Para 2.28 “An initial assessment should be carried our involving interviewing
the young person and family members and making enquiries with other
agencies…the lead agency will be children’s services, given their
responsibilities for children in need in their areas.”
Para 2.23 “There can be no doubt that where a young person requires
accommodation as a result of one of the factors set out in the Section 20(1)
(a) to (c) or Section 20(3) then that young person will be in need and must
be provided with accommodation. As a result of being accommodated the
young person will be Looked After” (except if a private fostering
arrangement is in place where the parent arranges alternative care
arrangements and Children’s Services simply approve the placement and
monitor it on an ongoing basis as per the Private Fostering Regulations.
This is only applicable up to the age of 16).
Para 2.16 “…where a 16 or 17 year olds seeks help or is referred, and it
appears that he or she has nowhere safe to stay the night, then Children’s
Services must secure suitable emergency accommodation for them…” and
additionally “…this means that the young person will become Looked After
(under s. 20(1)) whilst their needs are assessed.
Para 2.48 “It will be essential that the young person is fully consulted about
and understands the implications of being accommodated by Children’s
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Services and becoming looked after. The staff conducting the assessment
must provide realistic and full information about the support that the young
person can expect as a looked after child and, subsequently, as a care
leaver. Children’s Services should also ensure that the young person
receives accurate information about what assistance may be available to
them, including from housing services under Part 7 of the 1996 Act, if they
do not become looked after, and how any entitlement for assistance under
Part 7 will be determined. In particular, the possible risk of becoming
homeless intentionally in future, and the implications of this for further
assistance with accommodation, should be made clear to the young person.
This information should be provided in a ‘child friendly’ format at the start of
the assessment process and be available for the young person to take away
for full consideration and to help them seek advice.”
Para 2.50 “Young people should have access to independent advocacy and
support to assist them in weighing up the advantages and disadvantages
and coming to a balanced decision.”
Para 2.53 “Where a 16 or 17 year old “Child in Need” wishes to refuse
accommodation offered under Section 20 of the 1989 Act, Children’s
Services must be satisfied that the young person :
- has been provided with all relevant information
- is competent to make such a decision
Para 2.55 “The powers of local authorities to provide accommodation under
Section 17 cannot be used to substitute for their duty to provide
accommodation under Section 20(1) of the 1989 Act to homeless 16 and 17
year olds who are assessed as being children in need following the process
described in Part 2, above. Children’s Services do not have the option of
choosing under which provision they should provide accommodation for
homeless 16 and 17 year olds. Section 20 involves an evaluative judgment
on some matters but not discretion.”
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5. Managing Individual Cases
Throughout, note should be taken of Working Together to Safeguard Children 2015 -
*Statutory guidance on inter-agency working to safeguard and promote the welfare
of children.
Risk of Significant Harm- If the young person presenting is believed to be suffering
from, or at risk of, significant harm the DSCB South Yorkshire Child Protection
Procedures should be followed and a referral made to the Referral and Response
Team immediately by telephone.
Ordinary Residence- The requirement for a young person to have been ‘Ordinarily
resident’ in the Borough prior to becoming homeless in order to qualify for an
assessment of need is no longer applicable.
Only where the young person expresses a clear and informed decision to return to
their place of ordinary residence will the priority be to return these young people to
their own area where the home local authority will take responsibility for the young
person’s homelessness. As per the “Victoria Climbie” Inquiry,* the case cannot be
considered as transferred to the home authority until the relevant First Line Manager
in that authority has confirmed acceptance in writing (email correspondence will
suffice). If the home area manager unreasonably declines the referral the matter
should be escalated up the appropriate management lines in both authorities and, if
need be, legal advice taken on action to take given the refusal.
* Climbe - In 2000 in London, an eight-year-old Ivorian girl, Victoria Adjo Climbié,
was tortured and murdered by her guardians. Her death led to a public inquiry and
produced major changes in child protection policies in the United Kingdom.
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6. Joint working – The detail
Presentation to Children’s Services
When a young person presents to Children’s Services as being homeless the first
stage is to ascertain some more details regarding their circumstances to verify if they
are, in fact, homeless or whether other services need to be provided to support the
young person with the real/underlying presenting need.
If the young person is known to DCST/DMBC and if this is an active case, the
current allocated worker will deal with the presenting young person.
If the young person is not currently known to DCST/DMBC then an assessment of
their current circumstances will have to be completed to clarify if the young person is
a “Child in Need” in accordance with the legislation and relevant case law.
This assessment will be jointly undertaken with a Home Options Officer from
SLHD in order to provide a more integrated service to young people.
It should be noted that, as outlined in the G v Southwark ruling 2009 and in the
subsequent statutory guidance there are very few circumstances in which a child
who is homeless aged 16/17 would not to be assessed as being a Child in Need.
The assessment is not to consider who is best placed to meet the identified needs
but should rather focus on what those needs are, as well as the expressed wishes
and feelings of the young person, their capacity to make decisions regarding their
accommodation arrangements and any risk factors that may be relevant.
Initial Actions
As part of this assessment the officers will:-
Check whether the young person has already contacted them and if so clarify
the status of their request for assistance under the Housing Act (1996).
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Agree where the most appropriate place is to see the young person. It will be
the responsibility of the assessing workers to travel to meet the young person
as opposed to expect the young person to travel to the assessing workers.
If the young person claims to have nowhere safe to stay in the immediate
future and if this is endorsed by the assessment the options to be considered
include:-
o Place the young person in appropriate emergency accommodation. This will NOT
include Bed and Breakfast accommodation. This would normally be supported
accommodation
o Contact the host of any emergency accommodation to share any specific issues
relating to that young person and confirm arrangements for the financial
responsibility for the emergency accommodation. Where the placement is made by
Children’s Services, this will be as a Section 20 placement and as such the funding
will be the responsibility of the Doncaster Children’s Trust. If the placement is made
by SLHD then it should be possible for the young person to apply for Housing
Benefit to pay towards some/all of the housing costs.
o Provide the young person with full information about what it means to be
accommodated under Section 20 of the Children Act 1989 and what the implications
and benefits there may be. Seek the required consents to S20 admission: this
includes the young person’s consent and that of any adult with parental
responsibility. Should the person with parental responsibility refuse consent for S20,
if the young person is deemed “Fraser Competent’, their consent will take
precedence over parental consent.
o When consent has been confirmed, implementation of LAC admission procedures
will commence.
o Consider the provision of “Floating Support” if the young person is placed in
unsupported accommodation. However, this will be avoided where possible.
o Inform the young person what will happen next.
o Ensure that the young person has the appropriate means to travel to the temporary
accommodation and accompany them if they have additional vulnerabilities as
highlighted within the assessment.
o Ensure that once there, the young person has adequate food, toiletries, clothing and
refreshments for that night.
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First Contact with Youth Offending Services
i. If a young person aged 16/17 has been given a custodial sentence, their YOS case
manager must identify any need for accommodation prior to release. As part of the
resettlement plan, accommodation for a young person leaving custody who is not
able to return home or back to foster care or residential care should be identified 28
days prior to release.
ii. If the young person has an allocated social worker before the start of their custodial
sentence, that social worker will work with the YOS case manager and the relevant
secure establishment throughout the sentence period, ensuring that the young
person’s needs on release for assistance under the Children Act are assessed when
appropriate. If the young person was previously a LAC, the social worker will take
the lead in planning post-release accommodation from the start of the custodial
sentence onwards, combining the sentence planning meeting process with LAC
reviews whenever possible.
iii. Where the young person has not been looked after but needs accommodation
on release, best practice is that this should be identified and reserved for the
young person 28 days prior to release, so they know where they are going to
be living. Where there is no accommodation identified, the young person is at
risk of homelessness and a child in need assessment should be undertaken
on that basis.
iv. If the young person is not an open case to Children's services and it becomes
apparent to the YOS case manager that the young person will not have
suitable accommodation on release, the YOS case manager will complete a
referral to Children’s Services for a child in need assessment at least one
month before the young person’s release.
v. The YOS will continue to have an active role in preventing homelessness and
will continue to offer preventative services to young people and their families
where appropriate.
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7. Actions to be taken by Officers with the Young Person
i. If a duty is owed under Section 17 AND Section 20 applies the procedure
is as follows:
Discuss assessment outcomes and options for the future with the
young person, ensuring that they have the opportunity to make a fully-
informed decision on whether to accept the offer of assistance under
Section 20
Based on the assessed needs of the young person discuss with the
relevant team, the availability of foster or residential care options
If the young person accepts the offer of assistance under Section 20
Inform all relevant partners, parents and carers.
Arrange a placement in suitable accommodation, taking over financial
responsibility for the young person’s accommodation if they have
previously been placed by the Home Options team. Put in place a care
plan and allocated social worker for the young person under LAC
procedures.
If the young person does not accept the offer of assistance under
Section 20
Prepare a child in need plan for Section 17 support.
The housing officer present will undertake a home options interview
with them.
ii. If a duty Is owed under Section 17 BUT Section 20 does NOT apply
Inform the young person and appropriate partners that Section 20 does
not apply, and include the reasons why.
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Prepare a child in need plan for Section 17 support.
The housing officer present will undertake a home options interview
with them.
8. Working Together to Support Young Homeless People Through Transition
to More Settled Accommodation
All partners work with one another as part of a formal Child in Need
Plan to keep under review the accommodation and support available to
young people who are Children in Need but have not been
accommodated under Section 20 if:
They are considered to be intentionally homeless when their
application is first determined by SLHD.
They become intentionally homeless after they have been placed in
accommodation by the Home Options team (for instance, if they are
evicted due to their behaviour and cannot be placed elsewhere).
Lifestyle or behaviour issues are placing them at risk of significant
harm, despite the support package which is available in interim
accommodation provided by the Housing Options team.
On the basis of such discussions, DCST will review the young person’s
Child in Need plan.
9. Considerations for Home Options, if presenting to them
i) Ascertain the young person’s circumstances and immediate needs by
interviewing them at the base to which they have presented
ii) Where necessary, and provided the young person agrees, telephone
children’s services to ascertain whether the young person is already known to
them and whether there is any further information regarding the young
person’s circumstances that would affect any decision about the safety of a
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return home. This would be facilitate in terms of prevention and may well
involve a joint home visit.
iii) It would then be agreed for the Officer that is based with the DCST to
undertake a joint assessment, which will determine if they are a child in need
under the Children Act 1989 but also consider the homelessness aspects of
their situation, as set out below:
iv) Where a Homeless Application is taken there are 5 tests (4 statutory tests
and the local connection question):
o Are they eligible under the provisions of the Housing Act 1996?
o Are they homeless?
o Are they in priority need because of their age?
o Are they intentionally homeless?
o Do they have a local connection and what consideration is to be given
to this?
10. The CiN Assessment
The trigger for a Housing Options referral to DCST for a CiN assessment is when a
homelessness application is taken. In the case of the YOS, they will refer any
homeless young person aged 16/17 to DCST Services for a CiN assessment.
This includes cases of young person open to YOS in which case the YOS worker’s
assessment will contribute to the CIN assessment. The CIN assessment will be
conducted using the Single Assessment Framework. In every such case, the
following issues should be addressed as part of the assessment.
1. Is the young person a child?
2. Is the young person a child in need? Does that need arise because the child
appears to require accommodation?
3. Does the child appear to require accommodation as a result of one/or more
of the S20(1 (a-c)) criteria:-
a. There being no person who has parental responsibility for the child?
b. The child is lost or abandoned
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c. The person who was caring for the child being prevented (whether
permanently or for whatever reason) from providing suitable
accommodation or care.
4. Is the child within the local authority area?
5. What are the young person’s wishes and feelings regarding accommodation?
(N.B. although this is to be a consideration in any decision made it will not
automatically be the deciding factor).
6. What consideration is given to those wishes and feelings (having regard to
age and understanding)?
7. Does anyone with PR object to the local authority’s intervention? If so, an
assessment of the young person’s safety in their care should be undertaken
and if so, are they willing to provide accommodation? If so, an assessment of
the young person’s safety in their care should be undertaken.
8. Even if there is objection does the child still wish to be accommodated
DCST will decide if the S20 criteria are met and if care is needed or reasonably
preferred by the young person. A decision to accommodate under S20 can only be
made by the Legal Gateway Planning Meeting in DCST. However, in an emergency
situation or out of hours this decision can be made by the on-call Head of Service
although this still has to be ratified by a retrospective discussion at the LGPM. In
these cases, DCST will find and provide accommodation and the young person will
be classed as being a child in care. Such accommodation does not necessarily have
to be in either foster care or in a children’s home, but for 16/17 years old can be in
“other arrangements” as set out in the DfE Care Planning Guidance for 16/17 year
olds, as long as these are suitable to meet their need. The most appropriate form of
accommodation will be dependent on the assessment of that young person’s needs.
In these cases child in care procedures must be followed. In such cases, provision of
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accommodation is a DCST responsibility, but assistance can be requested from
SLHD in securing accommodation.
11. First Contact with Other Agencies
Where other agencies, including youth work, education and voluntary agencies
become aware of a young person aged 16 or 17 who is facing or who is already in a
housing crisis or who has nowhere settled to stay (including sofa surfing) they should
refer the young person to Children’s Services via the Early Help Hub, unless there
are additional safeguarding concerns, in which case the referral should go to the
Referral and Response Team and follow this up with a telephone conversation.
12. Multi agency panels
In all cases where young people are accommodated under S20 on an emergency
basis the case will be presented by the allocated social worker to the next available
Legal Gateway Planning Meeting. In addition, where the need for accommodation is
met via external resources then the matter should also be referred to the next
Resource Panel.
13. Special circumstances
Out of Hours/Emergency Referrals
Any young person presenting as homeless out of hours should be referred to the
Emergency Social Services Team (ESST) for a CIN assessment.
If the young person presents to SLHD out of hours service and is roofless and ESST
is not contactable, SLHD will secure appropriate emergency accommodation and
ensure that the young person is able to travel safely to the accommodation and that
their immediate welfare needs are met. The young person would then be asked to
return to SLHD the next working day for a further assessment.
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The decision about which agency is responsible for funding emergency
accommodation will depend on whether the basis for the accommodation was
Housing legislation or S20 of the Children Act.
Teenage Parents
Where the homeless young person is also a parent with a dependent child still in
their care there should also be a formal assessment of the needs of the dependent
child as a potential Child in Need in their own right.
Unaccompanied Asylum Seeking Children (UASC)
On first presenting as homeless, unless it is established the UASC is ordinarily
resident elsewhere in the UK (see above), any UASC aged 16-17 who is homeless is
automatically owed S20 duties and becomes a child in care unless that young
person makes a fully informed decision to decline this proposal. If the young person
has already been accepted by another Local Authority, they retain responsibility for
the services to the young person. A referral should be made the referral and
response who will liaise with the “home authority”. If the young person is unknown,
an age assessment is required to identify if the claimant is indeed 16/17 years old. A
referral should be made to the Referral and Response team who will arrange to carry
out the age assessment. It may be that the young person requires accommodation
whilst this assessment is ongoing. The Referral and Response team will continue to
liaise with the Home Options team should that be the case.
Young Person in Court/Custody
Where a Youth Court orders that a young person should not return home and there
is a risk of remand to custody if the young person does not have an alternative
address YOS and SLHD will take joint responsibility for exploring alternative safe
options within the family and friends network. Where there is no such option, YOS
will refer the young person to DCST for a CIN assessment. Where a young person is
serving a custodial sentence and likely to be homeless on release, YOS staff will
take responsibility for exploring alternative safe options within the family and friends
network. This should be done as soon as it becomes known the young person is
likely to be homeless. Where there is no alternative option, YOS will refer the young
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person to DCST for a CIN assessment. This should be done at least 4 weeks prior to
release or within 24 hours of the likelihood of homelessness becoming known if this
is nearer the release date.
Where a young person in S20 care is sentenced to custody CiC procedures should
be followed, to include the convening of a Statutory Review prior to the release date
to ensure there is accommodation and support on release.
14. Explaining assessment Outcomes to the Young Person
It is essential that the young person is fully consulted about, and understands the
implications of accepting or declining housing accommodation and/or accepting or
declining S20 care. If the assessing officers have any doubt as to a young person’s
ability to understand the assessment or outcome, an advocate should be engaged to
safeguard the young person’s rights and support them to reach informed consent.
SLHD staff should be clear what assistance may and may not be available to young
people under Part 7 of the 1996 Act as a possible alternative to S20. This should
include how any entitlement for assistance under Part 7 will be determined and the
possible risk of becoming homeless intentionally now and in the future.
Similarly, DCST and YOS staff must provide realistic and full information about the
support the young person can and cannot expect either under S17 or S20 of the
Children Act.
The reason for staff giving clear explanations is so the young person can make an
informed decision about requesting S20 or alternative accommodation options. In all
cases, the young person should be advised where s/he can seek external advice if
desired.
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15. Recording Case Information
It is important that information is recorded on each service’s relevant electronic
system accurately, within prescribed timescales as per the relevant departmental
guidance. At a minimum, recording should cover the following
1. Details of the need assessed and any knowns risks or safeguarding concerns
2. The name of the officers undertaking the assessment.
3. Involvement of any other agency/service with the young person and/or their
family
4. The expressed views of the young person
5. Contact with parents/carers and their views
6. The date the young person returned home or the reason why a young person
cannot return home
7. The decision regarding any housing duty or S17/S20 duty, to include the date
the decision was made and the date young person informed Home Options
and the rationale for any management decision made.
8. Details of any accommodation provided including the date this started, provider
name and date the young person moved in.
9. If the young person refuses S20 care, the date it was refused and the reasons
why should be recorded along with the date young person informed Housing of
this.
In all cases the decision made in respect of the young person’s needs and the
assessment as to how those needs will be best met must be clearly recorded on the
respective agency’s case files. This recording should specifically address the
competence of the young person and the evidence that any decisions made by them
were fully informed.
Within DCST these decisions should always be recorded on Liquid Logic.
Within SLHD these decisions will be recorded in Abritas on the young person’s
Personal Housing Plan (PHP). Where DCST are also involved with the young person
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this Plan should also be forwarded to the appropriate social worker for it to be placed
onto the Liquid Logic case file as a paperclip attachment.
16. Dispute Resolution
Where there is any dispute or disagreement between staff working to this protocol
this should not interfere with the provision of a seamless service to young person.
The safety and well-being of young person must be secured by the service currently
responsible for them whilst attempts are made to resolve the dispute. All staff and
managers must aim to resolve disputes professionally. In the unlikely event that a
resolution is not possible, the issue should be referred to the lead officers for the
protocol for a final decision.
17. Protocol Monitoring
It is important to monitor and evaluate the joint working protocol regularly. A quarterly
meeting will be convened and attended by relevant senior staff in Home Options and
DCST. This meeting will review the numbers of young people whose needs have
been addressed via this protocol and their outcomes and address any practice
issues that may have arisen.
18. Continuing to Improve our Response to Young People
i. We are committed to learning from this protocol in practice, and to improving
our response and outcomes for vulnerable young people in Doncaster. To do
this, at least once each year we will review:
The effectiveness and coherence of the principles and procedures set
out in this protocol, and the sustainability and effectiveness of
outcomes for young people who have applied for assistance.
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ACRONYMS, ABBREVIATIONS AND DEFINITIONS
This section explains some of acronyms, abbreviations and definitions used in this
document or in relevant laws and guidance.
Acronyms and Abbreviations (alphabetical order)
ASSET Youth Justice Board assessment tool
ACP Assessment and Child Protection teams – responsible for undertaking
assessments within Children and family services
CAF Common Assessment Framework (Early Help Assessments)
CIC Child in Care
CIN Child in Need
DCLG Department for Communities and Local Government
CFS Children and family services
CYPS Children and Young Person’s Service
CP child protection
DfE Department for Education
DoH Department of Health
DMBC Doncaster Metropolitan Borough Council
DSCB Doncaster Safeguarding Children Board
LOCAL AUTHORITY the Local authority
RRT Referral and Response team – first point of contact within C&YPS
RSL Registered Social Landlord
SAF Single Assessment Framework – process by which the needs of young person
are assessed
SLHD St Leger Homes of Doncaster
ONSET Youth Justice Board assessment tool
VCOs Voluntary and Community Organisations
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APPENDIX 1
Overview of Legislative Context
i. The House of Lords Judgment, “G vs. Southwark” in May 2009 clarified the
responsibilities of Children and Young Peoples Services (CYPS) towards
homeless 16 and 17 year olds and the interrelationship between duties under
the Children Act 1989 and Part VII of the Housing Act 1996 (as amended by
the Homeless Act 2002). The judgement clarified the legal position that the
duty under section 20 of the 1989 Act takes precedence over the duties in the
Housing Act 1996 (as amended by the Homelessness Act 2002) in providing
for children in need who require accommodation, and that the specific duty
owed under section 20 of the Children Act 1989 takes precedence over the
general duty owed to children in need and their families under section 17 of
the 1989 Act.
ii. In April 2010 the Department for Children, Schools and Families (DCSF, now
the Department for Education) and Communities and Local Government
published joint statutory guidance to children’s services and local housing
authorities entitled “Provision of Accommodation for 16 and 17 year old young
people who may be homeless and/or require accommodation”. This
summarises the implications of both Children Act 1989 and Part VII of the
Housing Act 1996 (as amended by the Homelessness Act 2002) for 16 and 17
year old young people who are homeless.
iii. Section 17 of the Children Act 1989 sets out responsibilities of local
authorities to provide services for children in need and their families. It is
the general duty of every local authority to, Safeguard and promote the
welfare of children within their area who are in need; and so far as is
consistent with that duty, to promote the upbringing of such children and
their families by providing a range and level of services appropriate to
those children’s needs.
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iv. Section 17(10) of the Children Act 1989 Act defines a child in need if:
they are unlikely to achieve or maintain, or to have the opportunity of
achieving or maintaining, a reasonable standard of health or
development without which the provision for them of services by a local
authority under this Part;
their health or development is likely to be significantly impaired, or
further impaired, without the provision for them of such services; or
they are disabled,
The duties described in section 17 apply to all children in need in the area of
the local authority. A child is any person under the ages of 18 (section 105 (1)
of the 1989 Act).
v. Section 20(1) requires that every local authority shall provide accommodation
for any child in need within their area who appears to them to require
accommodation as a result of:
there being no person who has parental responsibility for them;
being lost or having been abandoned; or
the person who has been caring for them being prevented (whether or
not permanently, and for whatever reason) from providing suitable
accommodation or care.
In the case of “G vs. Southwark,” although the assessment of need under
section 20 (1) involved an evaluative judgement on the part of the Local
Authority, in this case all the elements required by section 20 (1) had been
met. G was a child in need, in the local authority area and lacked
accommodation as a result of his mother being prevented from providing him
with suitable accommodation or care within the meaning of Section 20 (1) (c).
If he lacked accommodation for one of the reasons in Section 20 (1) he
required accommodation within the meaning of the section even if there was
another way accommodation could be found for him.
Appendix A
Page | 27
vi. Section 20(3) requires that every local authority shall provide accommodation
for any child in need within their area who has reached the age of sixteen and
whose welfare the authority considers is likely to be seriously prejudiced if
they do not provide him with accommodation.
vii. Section 20(4) provides that a local authority may provide accommodation for
any child in their area (even though a person who has parental responsibility
for him is able to provide him with accommodation) if they consider that to do
so would safeguard or promote the child’s welfare. There is a clear legal
framework for co-operation between Children and family services (CFS) and
LHAs to meet the needs of children and young people. Section 27 of the
Children Act 1989 Act empowers CFS to ask other authorities, including any
LHAs, for “help in the exercise of any of their functions” under Part 3; the
requested authority must provide that help if it is compatible with their own
statutory or other duties and does not unduly prejudice the discharge of any of
their own functions.
viii. Children Act 2004 – requires co-operation between relevant statutory services
to improve outcomes for children and young people as part of developing an
area’s Children’s Trust. This includes co-operation to safeguard children and
young people.
ix. Housing Act 1996 (as amended by the Homelessness Act 2002) - Parts VI
and VII set out the legal framework for allocating housing and assisting
homeless people.
Section 175: A person is homeless if they have no accommodation available
in the UK or elsewhere, or if they cannot secure entry to it, or it is not
reasonable for them to occupy it.
Section 189: A person is in priority need if they or their partner are pregnant,
have dependent children, are aged 16 or 17 years old, are vulnerable due to
old age, mental illness or handicap or physical disability or other special
Appendix A
Page | 28
reason, or are homeless or threatened with homelessness as the result of an
emergency.
Section 191: A person becomes homeless intentionally if they deliberately
do, or fail to do, something that causes them to lose their accommodation in
circumstances where it would have been reasonable for them to have
continued to occupy that accommodation.
CLG Guidance on the Housing Act 1996 (as amended by the Homelessness
Act 2002) recommended that housing and CFS should have joint protocols in
place to ensure that each play a full role in providing support to 16 and 17
year olds.
x. Working Together to Safeguard Children 2015 - *Statutory guidance on inter-
agency working to safeguard and promote the welfare of children.
Appendix A
Page | 29
APPENDIX 2
The Partners
Doncaster Children’s Services Trust
The Doncaster Children's Services Trust is a new and independent organisation set
up to deliver social care and support services to children, young people and families
in Doncaster.
They have been set up as an innovative way to provide these services following an
agreement with national government and the local authority. They are the first of it’s
kind in the country.
They believe that every child and young person in the borough deserves the best
start in life and support when they need it to reach their full potential. They will
support vulnerable children and young people of all backgrounds, races, disabilities
and cultures who need support in the borough at times of need or crisis in their lives.
They came into operation from October 1 2014 and their work is led by a Chief
Executive and a board of local and professional people with expertise within and
outside of the borough.
Doncaster Metropolitan Borough Council
The Council is composed of a directly elected Mayor and 55 Councillors. Both the
Mayor and Councillors are elected for four year terms (starting on the fourth day after
being elected and ending on the fourth day after the date of the ordinary election four
years later). Councillors are accountable to residents of their Ward and, whilst they
have an overriding duty to the whole of the Borough, they have a special duty to their
constituents, including those who did not vote for them.
Appendix A
Page | 30
The term Executive is widely used. This refers to the Mayor and the Cabinet
Members acting individually or together. In some circumstances it also includes
officers taking certain decisions.
The Executive is responsible for carrying out all of the Local Authority’s functions
which are not the responsibility of any other part of the local authority, whether
by law or under it’s Constitution. The Executive will consist of the elected
Mayor together with at least 2, but not more than 9, Councillors appointed to
the Executive by the Mayor. These Councillors will together form the Cabinet.
Councillors agree to follow a Code of Conduct to ensure high standards in the way
they undertake their duties. The Audit Committee oversees that Code of Conduct
and trains and advises elected Members on its operation.
All Councillors meet together as the Council. Meetings of the Council are normally
open to the public. Here Councillors decide the majority of the Council’s
overall policies and set the budget each year.
The Mayor is personally responsible for appointing a Cabinet of between two and
nine Councillors and for allocating responsibility to these Cabinet Members.
These responsibilities are called portfolios.
St Leger Homes Of Doncaster
They aim to manage Doncaster’s 21,000 council homes efficiently and to provide
their customers with the highest standards of service.
Their vision is, “Building Confident Communities in Partnership.”
They work with their tenants and partners to regenerate their neighbourhoods and
bring improvements for their customers.
Appendix A
Page | 31
They support their tenants and partners in challenging crime and anti-social
behaviour, which can have such a damaging impact on the quality of life in their
communities.
They are a customer orientated organisation and keep the wellbeing and satisfaction
of their customers at the heart of everything they do. They have a company vision
which captures the desire to aim high and provide the best possible service to all of
their customers:
To deliver Excellent Value for Money Services in all that they do
To ensure they are Customer Focused by engaging with their tenants and
customers and involving them in decision making and service delivery
To provide Quality Homes in Quality Neighbourhoods where people want to
live
To be a catalyst for change and become a housing provider of choice, an
employer of choice and a partner of choice
Appendix A
Page | 1
APPENDIX 3
16/17yearoldjointhomelessprotocol
Is the 16/17 yrs. old presenting as homelessness. Or Asylum Homelessness
No
Yes
Does this young person have additional needs?
Yes
No
Identify the need and refer /Refer to relevant department Early Help Hub and assessments
No Further Action for Children Services
Establish if the young person has a current worker involved!!
Contact Allocated worker
No
Yes
Make a referral to Referral and Response
Is the young person at risk of homelessness?
Social Worker
YOS
Other
Joint assessment with housing
Homeless
Asylum Homelessness
Make a referral to Referral and Response / ISST for age assessment
Find Placement/support accommodation Immediate
accommodation
Assesment Does the young person have capacity to understand choice
between what the Housing Act Offers
and Sec 17 support?
No Arrange Advocacy
Yes
Does the person with PR give consent to accommodate
Yes
No
Complete Assessment
Decision to be recorded on why if accommodated or arrange for child to return home
1
ST LEGER HOMES OF DONCASTER LTD Company limited by guarantee registered in England
Company Number 05564649
Board Meeting
REPORT
Date
:
6 April 2016
Item
:
07a
Subject
:
Health, Safety and Well-Being Strategy 2016-2020
Presented by
:
Linda Keeling, Head of Human Resources and Health & Safety
Prepared by
:
Linda Keeling, Head of Human Resources and Health & Safety Laura Dougan, Health & Safety Manager
Purpose
:
To seek approval from Board for the Health, Safety and Well Being Strategy 2016-2020 and 2016/17 Delivery Plan
Recommendation : Approve the Health, Safety and Well-Being Strategy 2016-2020 and the 2016/17 Delivery Plan attached to this report.
2
Company Number 05564649 A Company Limited by Guarantee Registered in England To the Chair and Members of the Agenda Item No. 07a ST LEGER HOMES OF DONCASTER BOARD Date: 6 April 2016 1. Report Title 1.1 Health, Safety and Wellbeing Strategy 2016-2020 2. Executive Summary 2.1 The attached draft Health, Safety and Wellbeing Strategy 2016-2020, and
the one year delivery plan has been subject to consultation with Leadership, Senior Management Team, Joint Safety Committee, Health, Safety and Asbestos Advisory Group. Consultation feedback has been taken on board throughout the process and the a final draft is attached at Appendix A.
3. Purpose 3.1 To seek approval from Board for the Health, Safety and Wellbeing Strategy
2016-2020 and 2016/17 Delivery Plan. 4. Recommendation 4.1 Board Members are asked to approve the Health, Safety and Wellbeing
Strategy 2016-2020 and the 2016/17 Delivery Plan attached to this report. 5. Background 5.1 The existing Health and Safety Strategy 2013-2016 has now been delivered
and some of the outcomes of this strategy are shown on page 6 of the Health, Safety and Wellbeing Strategy 2016-2020. A detailed annual report for 2015/16 will be presented at the May Board meeting.
5.2 The 2016-2020 strategy will run over four years in order to align to the
current five year business plan which ends on 31 March 2020. 5.3 The strategy will be supported by annual delivery plans; the 2016/17 delivery
plan is attached to this report. 5.4 The strategy and delivery plan are aligned to six strategic themes:
Embedding strong leadership and management in a positive health, safety and wellbeing culture;
Ensuring all employees have the right skills, knowledge, training and experience to be competent in their role;
Maximising the communication and consultation arrangements
3
currently in place; Improving on wellbeing and management of occupational health
hazards; Monitor and report on performance. Each theme is supported by objectives and annual delivery milestones and is aimed at building on the good progress made under the last strategy.
5.5 A key change in the current strategy is the joining up of the delivery of
wellbeing across the human resources and health & safety teams following the realignment which took place during 2015. The spotlight on wellbeing in addition to safety is a key area for both the Health & Safety Executive (HSE) and the British Safety Council.
5.6 A further key change is the inclusion of outcome based key performance
indicator measures. We will monitor the success of the strategy annually and over the four year period through the KPI’s at the end of the strategy. This information will be reported to Board as part of the annual health and safety report. The Board representative will monitor performance against the milestones in the one year action plan through the Health, Safety and Asbestos Advisory Group every six months.
6. Procurement 6.1 Not applicable. 7. VFM Considerations 7.1 Not applicable. 8. Financial Implications 8.1 None. 9. Legal Implications 9.1 The strategy underpins compliance with the Health and Safety at Work Act
etc 1974 10. Risks 10.1 The strategy contributes to the management of risk by providing a
framework for the delivery of health, safety and wellbeing improvements. 11. IT Implications 11.1 None. 12. Consultation 12.1 Consultation has taken place at the following meetings:
4
Senior Management Team 3 December 2015 Leadership Team 7 January 2016 Health and Safety Manager, Doncaster Council
19 January 2016
Joint Safety Committee 25 January 2016 Feedback meeting with Chair and Trade Union Representative from the Health, Safety and Asbestos Advisory Group
26 January 2016
Feedback meeting with trade union representatives from the Joint Safety Committee
17 February 2016
Health, Safety and Asbestos Advisory Group
18 February 2016
Leadership Team 3 March 2016
13. Diversity 13.1 Not applicable. 14. Communication Requirements 14.1 A communication campaign will be undertaken via Staff Focus once the
strategy has been agreed by Board. 15. Equality Analysis (new/revised Policies) 15.1 Not applicable. 16. Environmental Impact 16.1 None. 17. Report Author, Position, Contact Details 17.1 Linda Keeling, Head of Human Resources and Health & Safety
E-Mail: [email protected] 18. Background Papers 18.1 Appendix A – Health, Safety and Wellbeing Strategy 2016-2020 18.2 Appendix B – 2016/17 Delivery Plan
1
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14
e six
oped
n the this
Health, Safety and Wellbeing Strategy 2016‐20
One‐Year Action Plan April 2016 ‐ March 2017
Appendix B
Theme Objective over life of strategy Actions for 2016/17 Owner Timescales
1.1 Gap Analysis to be carried out on existing management system based on 'Plan‐Do‐Check‐
Act' methodology. This will cover all aspects of the existing system looking for best practice
and areas for improvement including reviewing current H&S policy
H&S Team End of May 2016
1.2 Identify actions from gap analysis and develop action plan to manage these H&S Team End of July 2016
2.1 Develop internal audit system (procedure and forms) that reflect the BSC Five Star Audit
ProcessH&S Team End of September 2016
2.2 Develop 2 year (2017/18 and 2018/19) internal audit programme for all areas of the
organisation. This will be risk based looking at directorate, services and individual teams
H&S Team with support from
Senior ManagementEnd of December 2016
3. Ensuring health and wellbeing are fully
encompassed into management system.
3.1 As part of gap analysis (1.1) and action plan (1.2) identify areas to ensure health and
wellbeing are full encompassed in the management systemsH&S Team with support from HR End of July 2016
4. Considering the risk profile ensure that the
organisation is prepared for and supported
through change by management systems.
4.1 Clearly identify risk profile of organisation and ensure that is reflected as part of HSW
Management System and organisational Risk Register
H&S Team with support from
Business TransformationEnd of October 2016To
have robust and sustainab
le HSW
man
agem
ent systems
1. Review of existing management systems
2. Develop internal audit systems to support
HSW management system and external auditing
systems.
1
Health, Safety and Wellbeing Strategy 2016‐20
One‐Year Action Plan April 2016 ‐ March 2017
Appendix B
Theme Objective over life of strategy Actions for 2016/17 Owner Timescales
5.1 Develop systems (procedure, forms and training) for formal joint inspection programme H&S Team End of August 2016
5.2 Develop 2 year (2017/18 and 2018/19) formal joint inspection programme that is cross‐
cutting throughout the organisation including contracting partners
H&S Team with support from
Management Teams and Safety
Representatives
End of January 2017
6. Examine options for formal review of
individual’s HSW performance as part of
Personal Annual Reviews (PAR)
6.1 Explore with colleagues in the PAR Support and Challenge Group opportunity to include
specifics about HSW roles and responsibilities and performance within PAR framework
H&S Team with PAR Support and
Challenge GroupBy 1st April 2016
7. Development and promotion of a corporate
HSW vision to improve our culture
7.1 Begin consultation with stakeholders as part of climate monitoring what we want out
HSW vision to beH&S Team with Stakeholders End of September 2016
8.1 Review how campaigns are currently delivered and look for new opportunities. This will
include how information is delivered , topics / themes and lengths of campaignsH&S Team End of July 2016
8.2 Programme to be developed to start in 2017/18 H&S Team End of March 2017
9.1 Develop HSW climate monitoring tool(s). This could include online surveys and focus
groups to ensure all employee groups are captured
H&S Team with Communications
and Engagement TeamEnd of April 2016
9.2 Carry out climate monitoring H&S Team with Communications
and Engagement TeamEnd of June 2016
9.3 Review findings of climate monitoring working to establish current HSW cultureH&S Team with Senior
ManagementEnd of September 2016
Embed
ding strong lead
ership and m
anagem
ent in a positive HSW
culture
5. Introduce formal joint inspection programme
8. Sustained innovative campaigns to increase
awareness and improve performance in specific
areas
9. HSW Climate Monitoring exploring employee
attitudes and perceptions towards HSW
2
Health, Safety and Wellbeing Strategy 2016‐20
One‐Year Action Plan April 2016 ‐ March 2017
Appendix B
Theme Objective over life of strategy Actions for 2016/17 Owner Timescales
10. Develop formalised training plans 10.1 Working with People Development develop annual programme of core HSW training
including refresher training
H&S Team with People
DevelopmentEnd of April 2016
11.1 To develop annual programme in 10.1 review training needs of organisation i.e. What
are our core requirements
H&S Team with People
DevelopmentEnd of April 2016
11.2 Review HSW training (including refresher) delivered or facilitated buy H&S Team. Ensure
this is still relevant to resources availableH&S Team End of May 2016
12. Develop and implement e‐learning
programmes
12.1 Working with People Development identify training and development opportunities to
be built into annual training plan that will utilise e‐learning
H&S Team with People
DevelopmentEnd of September 2016
13.1 Review existing systems for dynamic risk assessments (procedures and forms) including
learning from good practice in organisationH&S Team End of October 2016
13.2 Put together action plan to launch 'dynamic risk assessments' throughout business by
April 2017H&S Team End of March 2017
13.3 Review existing generic / task risk assessment processes (procedures, forms and
training) looking for good practice in organisation and opportunities for improvementH&S Team End of September 2016En
suring all staff have the right skills, knowledge, training an
d
experience to be competent in their role
11. Carry out a review of HSW training
13. Develop existing risk assessment systems to
empower employees to take responsibility and
ownership
3
Health, Safety and Wellbeing Strategy 2016‐20
One‐Year Action Plan April 2016 ‐ March 2017
Appendix B
Objective over life of strategy Actions for 2016/17 Owner Timescales
14.1 Review existing terms of reference for JSC and HSAAG to ensure they are still relevant
for organisational requirements.H&S Team End of September 2016
14.2 Discuss findings of review with stakeholders for any relevant actionsH&S Team with relevant
stakeholdersEnd of January 2017
15. Review of the way safety representatives are
involved in the management of HSW in our
organisation
15.1 Involve safety representatives in joint formal inspection programme on quarterly basis
H&S Team with support from
Management Teams and Safety
Representatives
End of January 2017
16. Identify and implement opportunities to
raise tenants’ awareness of HSW through
initiatives and campaigns
16.1 Set up processes to work with Strategic Involvement Team to identify any specific
opportunities to raise awareness of HSW
H&S Team and Strategic
InvolvementEnd of March 2017
Maxim
ising the communication and
consultation arran
gemen
ts curren
tly in
place
14. Review of JSC and HSAAG terms of reference
4
Health, Safety and Wellbeing Strategy 2016‐20
One‐Year Action Plan April 2016 ‐ March 2017
Appendix B
Theme Objective over life of strategy Actions for 2016/17 Owner Timescales
17.1 Carry out initial self assessment against the standards in the charter HR with H&S Team End of May 2016
17.2 Set up and start working with focus groups throughout the organisation to look at
Wellbeing, what we are currently doing, what could be done and review against charter
HR with H&S Team and support
from Senior ManagementEnd of September 2016
17.3 With DMBC carry out formal assessment and achieve the 'Commitment' standard in the
Workplace Wellbeing Charter
HR with H&S Team and support
from Senior ManagementEnd of March 2017
18.1 Review of existing systems (procedures and forms) for management of stress including
carrying out stress risk assessmentsHR with H&S team End of May 2016
18.2 Review of training provided for existing and new stress risk assessors. This will include
identifying any refresher training requirement and support for stress risk assessorsHR with H&S Team End of June 2016
18.3 Identify ways to learn as an organisation from stress incidents including identifying are
hot spots or indicatorsH&S Team with HR End of September 2016
19.1 Review of existing systems (procedures, forms and training) for managing manual
handling activities with significant risk.H&S Team End of May 2016
19.2 Review existing workstation assessment provision and any training needs that may be
identifiedH&S Team End of June 2016
20.1 Audit of existing management and control measures in place for vibration H&S Team End of May 2016
20.2 A working action plan will be developed for exposure to vibration ensuring that risk
assessments are suitable and sufficient with appropriate management and control measures
in place. Ensuring exposure levels and times are identified, recorded and managed
H&S Team End of June 2016
20.3 Where relevant working with Asset Team review the procurement and management of
tools i.e. considering vibration magnitude levelsH&S Team with Asset Team End of September 2016
21.1 On completion of audit in 20.1 and action plan in 20.2 the organisation will understand if
there are any requirements for health surveillance as required by relevant legislation. This
will then also us to review existing procedures for health surveillance
H&S Team with HR End of October 2016
21.2 As required develop, implement and manage health surveillance programme H&S Team with HR End of November 2016
21. Review of our procedures for monitoring
employee’s health
Improve on wellbeing an
d m
anagem
ent of occupational health hazards
17. Achieve the excellence level in the
Workplace Wellbeing Charter
18. Review of procedures for managing stress
19. Review of procedures to prevent and
manage musculoskeletal disorders (MSDs)
20. Review of management and control
measures in place for health risks
5
Health, Safety and Wellbeing Strategy 2016‐20
One‐Year Action Plan April 2016 ‐ March 2017
Appendix B
Theme Objective over life of strategy Actions for 2016/17 Owner Timescales
22.1 Identify what is currently reported on for HSW, by who, in what format, where is
information drawn from and who is it reported to
H&S Team with Business
Transformation Team End of April 2016
22.2 Identify what the organisation wants to report and relevant stakeholders. Develop
systems to gather information and produce relevant consistent information from identified
sources
H&S Team with support from
Business Transformation Team End of May 2016
23.1 Develop meaningful active performance indicators for H&S team and organisation as a
whole. These will include audits, inspections and health surveillance activities. H&S Team End of May 2016
23.2 Develop meaningful reactive performance indicators for H&S team and organisation as a
whole. This will include sickness absence information and accident and incident rates H&S Team End of May 201624. Develop programme of planned proactive
HSW inspections As per 5.1‐5.3
25. Develop internal audit systems to support
HSW management system As per 2.1‐2.3
26. Explore opportunities to compare our HSW
performance with similar organisations26.1 Work with existing contacts such as Regional Fire Safety Group, Efficiency North and
House Mark to start exploring opportunities for benchmarking and comparing HSW
performance H&S Team End of September 2016
27.1 Review existing reporting procedures including forms used and how internal recording
systems are managed.
H&S Team with support Business
Improvement Team End of July 2016
27.2 Review existing procedures for investigations including the identification of appropriate
preventive and protective measures H&S Team End of July 2016
27.3 Identify ways to learn as an organisation from investigations and how learning points are
shared within the organisation H&S Team End of September 2016
Monitor an
d rep
ort on perform
ance
27. Review of existing procedures for reporting
and investigating accidents, injuries, near misses,
occupational diseases and violent incidents ‐
22. Review of the way we report on HSW to
stakeholders
23. Identification of HSW performance indicators
6
1
ST LEGER HOMES OF DONCASTER LTD Company limited by guarantee registered in England
Company Number 05564649
Board Meeting
REPORT
Date
:
6 April 2016
Item
:
07b
Subject
:
Health and Safety Policy
Presented by
:
Linda Keeling, Head of Human Resources and Health & Safety
Prepared by
:
Linda Keeling, Head of Human Resources and Health & Safety Laura Dougan, Health & Safety Manager
Purpose
:
To seek approval from Board for the amendments to the Health and Safety Policy.
Recommendation : Approve the Health and Safety Policy attached to this report.
2
Company Number 05564649 A Company Limited by Guarantee Registered in England To the Chair and Members of the Agenda Item No. 07b ST LEGER HOMES OF DONCASTER BOARD Date: 6 April 2016 1. Report Title 1.1 Health and Safety Policy 2. Executive Summary 2.1 The attached Health and Safety Policy has been updated to reflect feedback
received from the British Safety Council Audit and changes to organisational structures both of which took place during 2015. The policy has been subject to consultation with management and trade unions during February and prior to submission to Executive Management Team in March.
3. Purpose 3.1 To seek approval from Board to the amendments to the Health and Safety
Policy. 4. Recommendation 4.1 Board Members are asked to approve the Health and Safety Policy attached
to this report. 5. Background 5.1 Minor amendments were last made to this document in 2014. During 2015
there were changes to organisational structures (aligning health and safety and human resources under one Head of Service). In addition the British Safety Council made some recommendations to improve the clarity of the policy following their audit in April 2015.
5.2 All changes are shaded yellow in the attached policy. 5.3 At the Health, Safety and Asbestos Advisory Group on 18 February 2016, it
was suggested that the employee responsibilities be made into a separate document and issued to all new starters to contribute to employee awareness of their health and safety responsibilities. This suggestion will be implemented once the Health and Safety Policy is approved by Board.
6. Procurement 6.1 Not applicable
3
7. VFM Considerations 7.1 Not applicable 8. Financial Implications 8.1 None 9. Legal Implications 9.1 The policy underpins compliance with the Health and Safety at Work Act etc
1974 10. Risks 10.1 The policy contributes to the management of risk by clarifying health and
safety roles and responsibilities across the business 11. IT Implications 11.1 None 12. Consultation 12.1 Consultation has taken place with the following parties:
Heads of Service Via e-mail 11
February 2016 Feedback meeting with trade union representatives from the Joint Safety Committee
17 February 2016
Health, Safety and Asbestos Advisory Group
18 February 2016
EMT 8 March 2016
13. Diversity 13.1 Not applicable 14. Communication Requirements 14.1 A communication campaign will be undertaken via Staff Focus once the
policy has been agreed by Board. The General Statement of Intent will also be displayed on noticeboards.
4
15. Equality Analysis (new/revised Policies) 15.1 An equality assessment has been undertaken and this has not highlighted
any adverse impact on any protected characteristic. An assessment of the communication methods used with all employees and contractors and measures taken to overcome barriers included in the policy on page 33.
16. Environmental Impact 16.1 None 17. Report Author, Position, Contact Details 17.1 Linda Keeling, Head of Human Resources and Health & Safety
E-Mail: [email protected] 18. Background Papers 18.1 British Safety Council Audit Recommendations 2015
Appendix A
Page Version Last Review Date Author Page 1 of 34 V5 Feb 2016 H&S Team
POLICY DOCUMENT Health and Safety Policy
POLICY TITLE: Health And Safety Policy
LEAD OFFICER: Linda Keeling
DATE APPROVED: 6 April 2016
APPROVED BY: Board
DATE FOR NEXT REVIEW:
April 2019
ADDITIONAL GUIDANCE:
Health and Safety Management System
TEAMS AFFECTED: All employees
THIS POLICY REPLACES WITH IMMEDIATE EFFECT:
St Leger Homes Health and Safety Policy V4 including Statement of Intent
Appendix A
Page Version Last Review Date Author Page 2 of 34 V5 Feb 2016 H&S Team
DOCUMENT CONTROL For guidance on completing this section please refer to procedure ref GEN7 – Document Control
Revision History Date of this revision: Feb 2016
Date of next review: April 2019
Responsible Officer: Linda Keeling
Version Number
Version Date
Author/Group commenting
Summary of Changes
1 Jan 2012 MM Replacing old format
2 Oct 2013 MM Monitoring added to ‘Arrangements’
3 Feb 2014 MM Statement of Intent updated
4 Aug 2014 MM Asbestos Team changed to Asset Team on index
5 Feb 2016 LD /MM Changes to organisational structures including HR and H&S under one Head of Service, recommendations made by
BSC following audit in 2015, changes to legislation e.g. CDM
Appendix A
Page Version Last Review Date Author Page 3 of 34 V5 Feb 2016 H&S Team
Contents 1. St Leger Homes of Doncaster Safety Management System 1.1 Introduction 1.2 Purpose 1.3 Scope 1.4 Safety Management Principles 2. Health and Safety Policy Statement
2.1 St Leger Homes of Doncaster Statement of Intent 2.2 Implementation
3. Organisation in Support of Health and Safety
3.1 Organisational Structure to Support Health and Safety 3.2 Organisational Chart to Support Health and Safety
4. General Health and Safety Responsibilities
4.1 Introduction
4.2 Main Board of St Leger Homes (including Board Health and Safety Champion) 4.3 Chief Executive 4.4 Executive Management Team 4.5 Heads of Service 4.6 Service Managers, Line Managers, Team Leaders, Persons Responsible for
Premises 4.7 All Employees 4.8 Fire Wardens 4.9 First Aiders 4.10 Health and Safety Team 4.11 Asbestos Inspector 4.12 Human Resources Team 4.13 Electrical Duty Holder 4.14 DSE Assessors 4.15 Safety Representatives 4.16 Joint Safety Committee 4.17 Health, Safety and Asbestos Advisory Group
Appendix A
Page Version Last Review Date Author Page 4 of 34 V5 Feb 2016 H&S Team
5. Arrangements for Health and Safety 5.1 Introduction 5.2 Health and Safety at Work etc Act 1974 5.3 Management of Health and Safety at Work Regulations 1999 5.4 Risk assessment and controls 5.5 Fire risk assessment 5.6 Procedures and Safe Systems of Work 5.7 Guidance 5.8 Accidents, incidents and near misses 5.9 Emergency Incidents 5.10 Management of Asbestos Containing Materials 5.11 Construction, Design and Managment 5.12 Contractor management 5.13 Consultation arrangements 5.14 Procurement 5.15 Training 5.16 Health, wellbeing and welfare
workplace stress health surveillance welfare facilities, toilets, canteens, drinking water first aid
5.17 Landlord responsibilities 5.18 Management of buildings/facilities management:
Legionella Lifts Fire safety Asbestos Gas Electricity
5.19 Communication 5.20 Active monitoring 5.21 Reactive monitoring
Appendix A
Page Version Last Review Date Author Page 5 of 34 V5 Feb 2016 H&S Team
1. St Leger Homesof Doncaster Health and Safety Management System
1.1 Introduction Under the Health and Safety at Work Act etc 1974, St Leger Homes of Doncaster (St Leger Homes) must prepare a written statement of policy which covers:
The health, safety and welfare at work of our employees. How we organise and manage health and safety to ensure the policy and supporting
arrangements are successfully implemented across the organisation.
We must also:
Ensure our employees are aware of the policy statement, their responsibilities and the health and safety arrangements that apply to them.
Regularly review the policy and revise it as often as is appropriate. Ensure our employees are kept up to date with any revisions to the policy and
supporting arrangements. This policy document is designed to meet our statutory obligations and to demonstrate our commitment to health and safety at work by:
Detailing the management arrangements for implementing the policy and ensuring it is effective.
Clearly identifying roles, responsibilities and duties in relation to health and safety. Outlining some of the arrangements we have in place to eliminate or minimise the
hazards arising from the various work activities. The current version of the St Leger Homes Health and Safety Policy and all other documents that form the Health and Safety Management System are available electronically on the St Leger Homes intranet and will become uncontrolled documents when printed. 1.2 Purpose The purpose of this policy is to guide and assist managers and employees to develop and maintain a positive health and safety culture by setting out a solid foundation for health and safety management arrangements at St Leger Homes that is tailored to the needs of the organisation and supports its strategic aims. This approach is consistent with our legal obligations and is also best management practice. To provide a solid foundation for managing health and safety, this policy:
Defines our general health and safety policy and objectives and communicates the Chief Executive’s commitment to promoting and developing a positive health and safety culture in the workplace.
Describes the organisational structure, including the individual levels of responsibility, authority and duties within St Leger Homes that are considered necessary to achieve the stated objectives.
Appendix A
Page Version Last Review Date Author Page 6 of 34 V5 Feb 2016 H&S Team
Outlines the arrangements that St Leger Homes has adopted to ensure the effective practical implementation of the policy.
Provides a base upon which St Leger Homes, its Directorates and individual teams can establish, maintain and record an effective and efficient Health and Safety Management System.
1.3 Scope The St Leger Homes general policy on health and safety at work applies to:
All employees including agency employees along with contracting partners and their employees
All premises including tenants properties where work is taking place, communal areas of buildings, external locations on St Leger Homes managed estates
All St Leger Homes activities examples include maintenance and refurbishment of premises, mobile work activities including transport of employees, materials and waste and estate management and tenant engagement
1.4 Safety Management Principles St Leger Homes is committed to safeguard its own employees and others who may be affected by our work activities. St Leger Homes takes appropriate measures to control and monitor every aspect of health and safety involving its workforce, and strives to maintain and continually improve upon its existing systems and procedures. The Executive Management Team (EMT) recognise that it makes sound moral and business sense to ensure that no-one is intentionally injured or harmed in the workplace, and to avoid any unnecessary damage to property, products, equipment or the environment. EMT recognises that prevention of workplace accidents is more cost effective than the consequences, and as such strives to prevent any accidents as far as is reasonably practicable. To achieve this, a systematic Plan, Do, Check and Act management cycle approach is in place to systematically develop and improve our Health and Safety Management System that ensures our safety performance is continually monitored, reviewed and improved. The Plan, Do, Check, Act approach reflects the guidance from the Health and Safety Executive in respect of managing for health and safety. This approach achieves a balance between the systems and behavioural aspects of management, and treats health and safety management as an integral part of good management generally, rather than as a stand-alone system.
Appendix A
Page Version Last Review Date Author Page 7 of 34 V5 Feb 2016 H&S Team
Plan Think about where you are now and where you need to be
Say what you want to achieve, who will be responsible for what, how you will achieve
your aims, and how you will measure your success. You may need to write down
this policy and your plan to deliver it
Decide how you will measure performance. Think about ways to do this that go beyond
looking at accident figures - look for leading as well as lagging indicators. These are
also called active and reactive indicators
Consider fire and other emergencies. Co-operate with anyone who shares your
workplace and co-ordinate plans with them
Remember to plan for changes and identify any specific legal requirements that apply
to you
Do
Identify your risk profile
o Assess the risks, identify what could cause harm in the workplace, who it could
harm and how, and what you will do to manage the risk
o Decide what the priorities are and identify the biggest risks
Organise your activities to deliver your plans
In particular, aim to:
o Involve workers and communicate, so that everyone is clear on what is needed
and can discuss issues - develop positive attitudes and behaviours
o Provide adequate resources, including competent advice where needed
Implement your plan
o Decide on the preventive and protective measures needed and put them in
place
o Provide the right tools and equipment to do the job and keep them maintained
o Train and instruct, to ensure everyone is competent to carry out their work
o Supervise to make sure that arrangements are followed
Check
Measure your performance
o Make sure that your plans have been implemented, ‘paperwork’ on its own is
not a good performance measure
o Assess how well the risks are being controlled and if you are achieving your
aims. In some circumstances formal audits may be useful
Investigate the causes of accidents, incidents or near misses
Appendix A
Page Version Last Review Date Author Page 8 of 34 V5 Feb 2016 H&S Team
Act
Review your performance
o Learn from accidents and incidents, ill-health data, errors and relevant
experience, including from other organisations
o Revisit plans, policy documents and risk assessments to see if they need
updating
Take action on lessons learned, including from audit and inspection reports
Appendix A
Page Version Last Review Date Author Page 9 of 34 V5 Feb 2016 H&S Team
2. St Leger Homes Doncaster Health and Safety Policy
2.1 General Statement of Intent
St Leger Homes of Doncaster makes a commitment to preserve, protect and promote the health, safety and wellbeing of our employees, customers and stakeholders.
St Leger Homes of Doncaster embraces its responsibilities under the Health and Safety at Work Act etc 1974 and other relevant health and safety legislation. We view the management of risks to health and safety as a management responsibility which is equal in importance to any other management function and we recognise that health and safety at work is the responsibility of all employees.
We recognise the contribution excellent health and safety management makes to the achievement of our business vision, values and goals. We are committed to ensuring that all work carried out by the company’s employees, contractors and partners is carried out in a safe manner and in accordance with relevant legislation and approved codes of practice.
To achieve this we: Provide adequate control of the health, safety, welfare and environmental risks arising
from our work activities through suitable and sufficient risk assessments. Consult and engage with our employees, trade unions and others on matters affecting
their health and safety. Provide and maintain safe systems of work, safe plant, equipment and premises. Ensure arrangements are in place for the safe use, handling, storage and transport of
articles and substances. Provide adequate information, instruction and supervision for employees. Ensure all our employees are competent to do their tasks, and give them adequate
training. Monitor work activities to ensure compliance with safe systems of work. Provide adequate welfare facilities. Identify, develop and implement relevant fire safety and emergency procedures. Take action to prevent accidents at work and work-related ill health. Monitor accidents and near misses to ensure that systems are improved as a result. Maintain safe and healthy working conditions. Manage contractors to ensure they operate within safe procedures and practices and
through sharing best practice with partner organisations seek to improve local safety standards.
Provide regular reports on Health and Safety performance to the Health, Safety and Asbestos Advisory Group, Joint Safety Committee, Executive Management Team and Board.
Set out the four year health and safety strategy and annual action plan to ensure that we continuously improve.
To support the implementation of this policy we provide the resources, technical advice and training necessary to enable and empower employees to meet their responsibilities.
We provide all our employees with access to a copy of the Health and Safety Policy. We commit to review the Health and Safety Policy and modify it as often as necessary and at least every three years. Susan Jordan Date: 6th April 2014 Chief Executive St Leger Homes of Doncaster Limited
Appendix A
Page Version Last Review Date Author Page 10 of 34 V5 Feb 2016 H&S Team
2.2 Implementation St Leger Homes, through its Health and Safety Management System, is developing a pro-active health and safety culture which aims to preserve, protect and promote health, safety and wellbeing by taking a systematic approach to eliminating workplace risks. This culture is supported by:
1. The communication of a detailed written policy, supporting procedures and arrangements to employees and others affected by our work activities.
2. A structured organisation for health and safety, securing full employee involvement and consultation, and maintaining management leadership, supported by competent employees and effective communication.
3. A systematic approach to policy implementation. 4. A four year Health, Safety and Wellbeing Strategy and Annual Action Plan. 5. Continually learning from experience, regularly monitoring and updating the policy and
strategy to continually improve our effectiveness This Health and Safety Policy is brought to the attention of employees through a variety of media:
The Health and Safety section of the intranet Notice boards in premises Training sessions, staff briefings and toolbox talks Employee inductions
Health and safety is a shared responsibility. We expect all employees to support this policy by:
Working proactively to understand and fulfil their individual health and safety responsibilities.
Being accountable for their own behaviour in relation to health and safety. Discussing their individual contribution to excellent health and safety performance at
one to ones, appraisals and team meetings. The full commitment and continued co-operation of all employees is essential to achieving our objective of developing and maintaining a positive health and safety culture.
Appendix A
Page Version Last Review Date Author Page 11 of 34 V5 Feb 2016 H&S Team
3. Organisation in Support of Health and Safety
3.1 Organisational Structure to Support Health and Safety St Leger Homes recognises the contribution excellence in health and safety management makes to achieving our mission to provide quality homes in quality neighbourhoods and our corporate vision, values and business objectives. St Leger Homes recognises that the ultimate responsibility for the effective implementation and enforcement of the Health and Safety Management System lies directly with the Leadership Team. In practice, certain duties and responsibilities are delegated to all employees at a level appropriate to their role. St Leger Homes is committed to managing health and safety in a way that is consistent with our values:
Fairness Ensuring equality and diversity is integral to our approach to health and safety management.
Excellence Aspiring to the highest standards of health and safety management and committing to continuous improvement though a four year strategy. An annual, audit by the British Safety Council provides external assurance that we are achieving excellence.
Empowerment Encouraging all employees to engage with health and safety and providing them with the training, resources and encouragement they need to take an active role in driving up safety performance.
Local Working with our contractors and supply chain to improve safety standards, sharing best practice and providing support and encouragement to smaller local contractors to help them achieve.
The organisational structure recognises that all employees of St Leger Homes have a responsibility towards looking after their own health and safety, along with that of their fellow workers and anyone that may be affected by their actions and omissions in the workplace.
For employees who have responsibility for the management of others, such as line managers, and team leaders it is expected that in addition to their duties as employees, they take appropriate steps to ensure that their direct reports are aware of their health and safety responsibilities and that they do all that is necessary to support the Leadership Team in ensuring that St Leger Homes complies with its statutory obligations. The role of the Health and Safety Team is not to take responsibility away from line managers and team leaders, but to support, enable, direct and guide where appropriate so that managers are better equipped to fulfil their health and safety responsibilities. It is also the responsibility of the Health and Safety Team to provide policy and strategy support, specialist advice and training and to co-ordinate the activities of individuals within the Health and Safety Management System. In compliance with the Health and Safety (Consultation with Employees) Regulations 1996 and the Safety Representatives and Safety Committees Regulations 1977 (as amended), St Leger Homes recognises the benefits of the involvement of its workforce in health and safety matters. Involvement will take the form of a two way communication process, creating an
Appendix A
Page Version Last Review Date Author Page 12 of 34 V5 Feb 2016 H&S Team
opportunity for all employees to make a positive contribution toward health and safety performance. The consultation process is a ‘closed loop’ system to ensure continual feedback and review. This creates opportunities for continuous improvement of the Health and Safety Management System through the ongoing development of policies, risk assessments and work procedures. Continuous improvement is tested and evidenced annually through an external audit by the British Safety Council.
Appendix A
Page Version Last Review Date Author Page 13 of 34 V5 Feb 2016 H&S Team
3.2 Organisational Chart to Support Health and Safety
External Support
External agencies Company Insurers
Contracting Partners South Yorkshire Fire
and Rescue DMBC
Senior Management Service Managers
Line Management and employees
Building Managers Contract Managers
Team Leaders Employees
St Leger Homes Health and Safety
Team
Appointed Persons
Legionella Duty Holder Electrical Duty Holder
Asbstos Inspector DSE Assessors Fire Wardens First Aiders
Consultation
Trade Union Safety Representatives
Joint Safety Committee
Board of St Leger Homes Chief Executive
Leadership Team (Directors, Heads of Service) Board Health and Safety Champion
Appendix A
Page Version Last Review Date Author Page 14 of 34 V5 Feb 2016 H&S Team
4. Health and Safety Responsibilities 4.1 Introduction St Leger Homes believes that good health and safety performance stems from proactive, efficient management at every organisational level, with all employees having a knowledge and understanding of their responsibilities. These responsibilities are outlined below.
4.2 Board of St Leger Homes All Board Members have a responsibility to:
Ensure there is a written health & safety policy. Set the direction for effective health and safety management. Ensure delivery of the policy, including health and safety arrangements are adequately
resourced, risk assessments are carried out and employees are involved in decisions. Ensure monitoring through six monthly reports on health and safety progress and
regular performance information on sickness absence and accidents and on performance of contractors.
Ensure a formal review of health and safety performance takes place. Ensure arrangements are in place to communicate, promote and champion health and
safety The Board appoints a Board Member as a Health and Safety Champion. The Champion chairs the Health, Safety and Asbestos Advisory Group and regularly updates the Board on progress against agreed health and safety priorities. The Board Member receives monthly performance information and a six monthly report on health and safety progress against the agreed strategy and action plan. An annual health and safety report is also presented to Board.
4.3 Chief Executive The Chief Executive’s duties are to:
Foster a culture that promotes safe working practices and a safe and healthy working environment across the organisation and in particular that the risks encountered in St Leger Homes are properly managed.
Monitor and appraise the health and safety performance of the organisation and of
individual management team members. This includes reviewing how individual management team members have organised and implemented agreed safety arrangements within their Directorates or service areas.
Ensure that management team members and line managers identify and provide
suitable and adequate resources to meet the requirements of this Health and Safety Policy and its supporting health and safety arrangements.
Include health and safety as an item of business on the agenda of the Executive
Management Team meetings. Ensure that this policy, along with any supporting organisation-wide systems, is
reviewed and, where necessary, amended on a regular basis and at least every three years.
Appendix A
Page Version Last Review Date Author Page 15 of 34 V5 Feb 2016 H&S Team
Lead by personal example and take reasonable care of the health and safety of themselves and others
Consult the Health and Safety Team and access technical advice as necessary in
order to meet these responsibilities.
4.4 Executive Management Team The Executive Management Team consists of the Chief Executive and three Directors, who accept full responsibility for the health, safety and welfare of employees throughout the organisation. In addition to contributing to the implementation and management of health and safety across the organisation, each Director has specific responsibility for health and safety in their own Directorate. The Executive Management Team’s main duties are to:
Ensure that the organisation’s Health and Safety Policy, procedures, safe systems of work and other health and safety arrangements are implemented, monitored, reviewed and amended where necessary
Foster a positive culture in their own Directorate and in the wider organisation in
respect of safe working practices and a safe and healthy working environment. Encourage ownership of health and safety responsibilities and improvements across
their Directorates through one to ones and Personal Annual Reviews (PAR) with their Heads of Service.
Ensure that health and safety are the prime consideration of all forward planning. Ensure a member of the Executive Management Team has a responsibility to provide
sufficient resources for the health and safety function to be effectively carried out. Ensure that all levels of staff receive adequate and appropriate training and that the
objectives of the policy are fully understood and observed by all members of management and employees.
Review the performance on health and safety issues of the managers who report to
them as part of the one to one and PAR. Ensure the provision of suitable and adequate resources to meet the requirements of
this Health and Safety Policy and supporting arrangements. Ensure that adequate channels of communication and consultation are maintained so
that all relevant health and safety information is communicated to employees and any matters relating to health and safety brought up by employees are related to the appropriate member of management.
Include health and safety as an item of business on the agenda of management team
meetings and team briefings within their own Directorates. Delegate responsibilities to their management and supervisory team (Heads of
Service, Service Managers and line managers).
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Investigate and take appropriate action where employees or contractors disregard their health and safety responsibilities or are negligent. This may include taking formal disciplinary action where appropriate.
Lead by personal example and take reasonable care of the health and safety of
themselves and others
Consult the Health and Safety Team and access technical advice as necessary in order to meet these responsibilities.
4.5 Heads of Service The main responsibilities of Heads of Service are to:
Report to the Board on matters relating to health and safety.
Include health and safety as an item of business on the agenda of the team brief and team meetings.
Ensure the implementation of suitable health and safety arrangements and provide
sufficient resources within their service area in order to comply with this Policy and relevant health and safety legislation.
Encourage ownership of health and safety responsibilities and improvements across
their service areas through one to ones and PAR with their Service Managers. Work effectively with the Health and Safety Team to ensure that the organisation’s
Health and Safety Policy, procedures, safe systems of work and other safety arrangements are implemented, monitored, reviewed and amended where necessary.
Promote and support the maintenance and continuous improvement of a proactive
safety culture throughout the organisation. Ensure that training needs are identified and that appropriate training is given to
enable employees to work safely. Promote the inspection and checking of procedures and practices to ensure that the
necessary health and safety standards are maintained and to ascertain where additional measures are required.
Delegate, where appropriate, the day-to-day implementation of this Policy and its
arrangements to nominated line managers including those with responsibility for managing or supervising contracts.
Ensure that all employees are aware of their duties relating to health and safety. Promote effective communication and consultation of health and safety throughout the
organisation.
Implement the organisation’s agreed reporting and investigation procedures for accidents, incidents and near misses.
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Lead by personal example and take reasonable care of the health and safety of themselves and others.
Consult the Health and Safety Team and access technical advice as necessary in
order to meet these responsibilities.
Attend the Joint Safety Committee or send a Service Manager to deputise.
4.6 Service Managers, Line Managers, Team Leaders, Persons Responsible for Premises The main responsibilities of managers are to:
Understand, implement and monitor St Legers Homes Health and Safety Policy and arrangements in the day-to-day management for their area of responsibility.
Make employees, contractors, partners and any relevant third parties aware of this
Policy and ensure they have read it and understand their responsibilities and duties. Actively and positively participate in health and safety training provided by the
organisation.
Ensure that the training needs of the employees, in their area of responsibility, are identified and that all required training is given.
Ensure that all employees, particularly young people, new starters and temporary
employees, including agency workers, receive the training, instruction, information and supervision they need to carry out their duties safely and competently.
Ensure that procedures, safe systems of work, risk assessments and COSHH
(hazardous substances) assessments are completed and in place for all activities and locations in their area of responsibility; ensuring all teams have an awareness and access to all relevant health and safety documents.
Encourage ownership of this Policy and associated health and safety responsibilities
and improvements across their area of responsibility, through one to ones, PAR and team meetings with their direct reports. This includes appropriate delegation, of specific safety duties and activities, to nominated employees. It also includes ensuring they are competent to carry out the duties delegated to them by providing sufficient instruction and training.
Build and maintain a positive health and safety culture in their team by recognising and
encouraging safe behaviours and good practice. Developing staff awareness, knowledge and commitment to health and safety through training, coaching and discussion.
Ensure that sufficient First Aid and Fire Warden cover is provided in their area of
responsibility. Ensure all relevant health and safety information and guidance provided by the Health
and Safety Team is communicated to their team members.
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Report all accidents and incidents, complete investigations and liaise with the Health and Safety Team to ensure remedial actions are put in place.
Maintain a good standard of housekeeping in the work area they control or manage.
This includes completing regular health and safety inspections and audits. Taking remedial action where necessary and following through to ensure that any actions are closed off.
Consult with individuals and teams on health and safety matters and communicate
effectively using appropriate means. This includes carrying out regular team briefings, responding appropriately to questions and concerns raised, seeking appropriate advice as required.
Ensure that when planning or carrying out work, consideration is given at each stage to
providing suitable and adequate health and safety arrangements and welfare facilities. Ensure all plant, equipment, articles and substances provided are safe and do not
present a risk to health and safety. This includes ensuring that these items are used and stored correctly, are adequately maintained and repaired or replaced when necessary.
Ensure that all Personal Protective Equipment (PPE) provided for individual employees
is suitable for the intended use, including ensuring that the employee uses it correctly and keeps it clean and in good condition. Line managers must also ensure that PPE is regularly checked, maintained in a good state of repair by the user and replaced when necessary.
Identify and draw to the attention of the Health and Safety Team any part of this Policy
that needs to be reviewed including any concerns regarding safe systems of work, facilities and provisions which may affect safety.
Consult the Health and Safety Team and access technical advice as necessary to
meet their responsibilities.
Lead by personal example and take reasonable care of the health and safety of themselves and others
Persons responsible for premises must conduct regular inspections and audits to ensure a high standard of housekeeping and maintenance of the premises they are responsible for, and report any repair issues as necessary. Managers engaging contractors are to monitor the contractor’s performance to ensure their work is being carried out in safe and competent manner, and if necessary stop their work and highlight any safety issues to the Health and Safety Team and the Procurement Team.
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4.7 All Employees The main responsibilities of all employees are to contribute to a strong health and safety culture by:
Taking reasonable care for the health and safety of themselves and for other persons who may be affected by their acts or omissions at work, and co-operate with management to ensure that statutory requirements are complied with.
Reading, complying with, co-operating and following instructions about St Leger
Homes health and safety arrangements. This includes following procedures, risk assessments and safe systems of work.
Promptly reporting to their line manager all accidents, incidents, unsafe acts and near
misses and assist managers in their investigation of accidents and incidents. This includes reporting to their immediate line manager or the relevant Service Manager any conditions, equipment or practices considered to be unsafe or in need of attention.
Supporting line managers and supervisors to comply with the organisation’s legal
duties and regulatory requirements by providing full co-operation. Wearing any necessary PPE and clothing provided where St Leger Homes considers it
necessary, keeping it in a usable and safe condition.
Using any protective equipment and guards provided appropriately and in accordance with any instructions given. Employees must not intentionally or recklessly interfere with or misuse anything provided in the interests of health, safety or welfare at work
Keeping tools, equipment and vehicles in good condition.
Using the correct tools and equipment for the job and not to improvise.
Attending team health and safety briefings, and actively participating in all safety
instruction and training provided by St Leger Homes.
Attending and proactively engaging in all health and safety training, safety initiatives and the risk assessment process.
Acting as a role model for others by setting a strong personal example and taking
reasonable care of themselves and others. The neglect of health and safety responsibility, or any action or behaviour by individuals likely to result in injury to themselves or others, damage to equipment, or create a near-miss situation, will be considered a matter of serious and potential gross misconduct and will be addressed through St Leger Homes’ Disciplinary Policy and Procedure.
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4.8 Fire Wardens Fire Wardens are to provide assistance in the event of a fire or during other emergency situations. Their role includes to:
Promptly and safely evacuate personnel from their work area or building to a designated place of safety or Fire Assembly Point.
Identify and assist with the safe evacuation of any individuals recognised as being
specifically at risk. Activate the nearest break glass point if the alarm is not already sounding. Prevent personnel from re-entering the premises until notified it is safe to do so by the
Fire and Rescue Service if they are in charge of the incident Tackle the fire only if it is safe to do so and within their competence, not putting
themselves or others at undue risk. Notify the Manager in charge of the premises of any concerns regarding fire protection.
4.9 First Aiders First aiders are to provide first aid to personnel in the event of an injury or illness whilst at work. Their role includes to:
Evaluate the type of medical assistance required for ill or injured employees. Provide first aid treatment in accordance with competences and training to injured or ill
employees, contractors or visitors. Identify promptly if external medical assistance is required and ensure the emergency
services are contacted when necessary. Ensure the line manager of the injured person is notified immediately after treatment. Maintain first aid skills and competencies by undertaking refresher training. Check and maintain contents of First Aid Box and reorder and replenish when
necessary. Draw to the attention of managers concerns relating to the provision of first aid.
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4.10 Health and Safety Team The main responsibilities of the St Leger Homes Health and Safety Team are to:
Ensure that Directors, managers, line managers and all employees are aware of their responsibilities for health, safety and welfare at work.
Provide advice, guidance, information and recommendations to management and all
employees on safety matters, and to assist them to fulfil their duties. Represent St Leger Homes on both internal and external safety committees and
actively participate in the work of such committees. Liaise with enforcement agencies, company insurers and other outside bodies
including the statutory notification of accidents and dangerous occurrences. Review, advise on and ensure the maintenance of the St Leger Homes Health and
Safety Policy and arrangements. Maintain up-to-date knowledge of health and safety matters and interpret current
relevant legislation in the context of St Leger Homes’ undertakings. Assist managers in drawing up of safe systems of work and other safety
arrangements. Monitor the implementation of the Health and Safety Policy, including the risk
assessment process, throughout the organisation.
Ensure that the investigation of all accidents, incidents, dangerous occurrences and near misses is undertaken by managers and line managers.
Provide advice to managers with respect to provision of first aid, welfare and
emergency arrangements.
Carry out a programme of topic based audits to test that the Health and Safety Management System is working well and identify areas for continuous improvement.
Advise management on health and safety training and the promotion of a positive
health and safety culture at all levels within the organisation. Keep appropriate records and documentation.
Respond to emergency situations when required.
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4.11 Asbestos Inspector The main responsibilities of the Asbestos Inspector are:
Act as St Leger’s designated internal consultant with regard to asbestos management and work with asbestos materials and to supply related advice when required.
Monitoring and reviewing procedures for working with asbestos containing materials in
accordance with all current statutory requirements.
To organise, manage and monitor a programme of appropraite asbestos surveys to cover the stock.
Arrange periodic re-inspections of asbestos materials in these premises as required. Keeping and maintaining of records on Keystone of all known asbestos containing
materials in St Leger managed premises, and to ensure that these records are kept up to date and made accessible to all relevant parties.
Auditing the records following removal or encapsulation works. Auditing Keystone with all consignment notes generated through St Leger internal non-
licensed asbestos removal work and sub-contract licensed and non-licensed removal work.
Updating St Leger Homes Management Teams and Directorates with regards to any
statutory developments. Auditing asbestos incidents overview provided to EMT and DMBC When requested attending management meetings as required.
4.12 Human Resources Team The main responsibilities of the St Leger Homes Human Resources Team are to:
Support and liaise with the Health and Safety Team where necessary, including during the employee induction process, providing attendance data relating to injuries and arranging pre-employment medicals
Support the health and safety function in the recruitment function of the organisation
including the writing of job descriptions, liaising with outside agencies and being involved in interviews.
Lead on wellbeing for St Leger Homes including the management of the stress risk
assessment process.
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4.13 Electrical Duty Holder The Electrical Duty Holder is to ensure St Leger Homes complies with its statutory duties with respect to electrical safety. Their role includes to:
Exercise due diligence and take all reasonable steps to ensure onsite electrical systems, tools and equipment are suitably inspected, maintained and kept in a safe condition.
Ensure fixed and portable electrical equipment, tools, cabling and installations are
covered by a maintenance program and records are kept in support of compliance with legislative requirements.
Ensure safe systems of work such as isolation procedures and permits to works are in
place and used correctly. Ensure all persons who work on electrical equipment are competent to do so. Seek expert advice for issues outside their level of expertise and competence. Arrange for checks to be carried out on equipment used by contractors to ensure they
are in a safe condition and suitably tested and certified prior to use. Bring to the attention of management any concerns regarding electrical equipment.
Identify training needs for their staff.
Support the investigation of incidents in their area of expertise.
Maintain up-to-date knowledge of electrical matters and interpret current relevant
legislation in the context of St Leger Homes undertakings. 4.14 Display Screen Equipment Assessor A Display Screen Equipment (DSE) assessor is to assist St Leger Homes comply with its statutory duties with regards to the safe use of display equipment. Their role includes to:
Carry out workstation assessments for individuals at the request of line managers and determine appropriate actions to ensure safe working, including recommending the purchase of additional equipment
Recommend the engagement of external assessment provision where appropriate. Ensure supporting information and instruction is provided to those at risk. Keep appropriate records and documentation.
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4.15 Safety Representatives Safety Representatives , including Trade Union appointed and non-trade union, are to assist and support the organisation in the promotion and improvement of workplace health and safety standards. Their role is to:
Provide local health and safety representation for employees and a means of consultation with management via the Joint Safety Committee.
Ensure all health and safety information provided is cascaded to the employee groups
they represent. Provide assistance to management, where necessary, in the investigation of reported
concerns in the workplace including hazards, dangerous occurrences, accidents and near misses.
Provide assistance in the accident investigation process helping to identify causes and
agree and support measures which will prevent any reoccurrence. Meet upon request with any Enforcing Authority and to provide information as
requested and vice versa. Undertake workplace inspections supported by a management representative by prior
notification and agreement with management Attend health and safety training courses as required.
4.16 Joint Safety Committee The role of the Joint Safety Committee (JSC) is to assist, advise and support the organisation in the promotion and improvement of workplace safety standards. Their role is to:
Promote a positive safety culture across St Leger Homes.
Examine and review accidents and incident reports, safety reports, inspections, audits and monitoring and recommend corrective or further action.
Consider reports provided by enforcing authorities. This includes the Health and Safety
Executive and the Fire and Rescue Service. Assist in developing safety rules and safe systems of work. Monitor the effectiveness of safety training for employees. Monitor health and safety communication and publicity in the workplace to ensure this
is adequate and accessible. Monitor the introduction of any measure in the workplace which may substantially
affect the health and safety of employees and others. Monitor the introduction of new technologies into the workplace which may have health
and safety consequences for employees and others.
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Monitor changes to health and safety legislation which are likely to have an impact on
the organisation. Monitor the implementation of the organisational procedures of the Health and Safety
Management System. Monitor the implementation of the risk control measures identified by risk assessments.
Identify anything JSC may require to facilitate the committees functioning including
specifying the competencies required of the committee members. 4.17 Health, Safety and Asbestos Advisory Group The Health, Safety and Asbestos Advisory Group has written terms of reference. The role of the Health, Safety and Asbestos Advisory Group is to:
Consider the health and safety strategy of the business. Analyse information relating accidents, health and well-being. Analyse risk and condition assessments including any inspections. Consider and review issues arising from the Joint Safety Committee. Implement the Asbestos Management Plan including the management of activities
and any associated records.
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5. Arrangements for Health and Safety 5.1 Introduction The ‘Arrangements’ section of the Health and Safety Policy describes the formal arrangements we have put in place to ensure the health, safety and welfare of employees, service users and visitors to St Leger Homes’ premises. St Leger Homes has put in place safe working practices and safety procedures to ensure that foreseeable risks arising from workplace and work activities are eliminated or effectively controlled. A four year health and safety strategy developed in consultation with trade unions and reviewed annually, sets out the priorities for improving health and safety management at St Leger Homes. 5.2 Health and Safety at Work etc Act 1974 Section 2(1) of the Health and Safety at Work etc Act requires the organisation to ensure, so far as reasonably practicable, the health, safety and welfare of employees and those affected by its activities. The ultimate responsibility for the organisation to comply with legislation lies with the Leadership Team. In addition each manager and employee is expected to contribute to this and everyone has their own delegated responsibilities. 5.3 Management of Health and Safety at Work Regulations 1999 These Regulations reinforce the organisation’s responsibilities for the health, safety and welfare of employees by placing a requirement on the organisation to complete suitable and sufficient risk assessments. A risk assessment process is used to:
Identify significant hazards arising from work activities and Put in place adequate measures to remove, control or manage the risks of harm or
injury that arise from the hazards identified. 5.4 Risk Assessment and Controls Refer to document PRC - RAS 001 ‘Risk Assessment Procedure’. In order to control risks in the workplace to employees and non-employees St Leger Homes undertakes formal risk assessments which will:
Identify significant hazards arising from work activities. Indicate the extent of the risk arising from the hazard, by assessing how likely it is that
someone will be exposed to the risk the consequences of exposure to the risk. Identify the actions or controls required to eliminate or reduce the risk to an
acceptable level using the hierarchy of control as specified in the Management of Health and Safety at Work Regulations 1999
Give priority to collective over individual control measures. PPE is to be regarded as a last resort when all other control measures are in place
Risk assessments are conducted by line managers who are trained in the risk assessment process. Additional support and advice is provided by the Health and Safety Team as required.
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Significant findings are recorded on the risk assessment form and the information used to develop safe systems of work including safe working procedures. This information is provided to employees who need to be aware of identified risks and any control measures required to prevent injury or illness. Risk assessments will be reviewed in the following circumstances:
When there are new developments in legislation Changes in working practices, procedures or equipment Changes in organisational structures, groups of employees or relocations of
employees After an accident, incident or near miss. As a result of any learnings from emergency drills or test And periodically
Specific risk assessments are also carried out to comply with requirements of other regulations, including
Construction (Design and Management) Regulations 2015 The Control of Asbestos Regulations 2012 Control of Noise at Work Regulations 2005 Control of Substances Hazardous to Health Regulations 2002 Control of Vibration at Work Regulations 2005 Health and Safety (Display Screen Equipment) Regulations 1992 (Health and Safety) First Aid at Work Regulations 1981 Lifting Operations and Lifting Equipment Regulations 1998 Manual Handling Operations Regulations 1992 Personal Protective Equipment at Work Regulations 1992 Provision and Use of Work Equipment Regulations 1998 Work at Height Regulations 2005 Workplace (Health, Safety and Welfare) Regulations 1992
5.5 Fire Risk Assessments Refer to document PRC - FIR 001 ‘Fire Procedure’. To control risk of fire in the workplace and managed premises St Leger Homes undertakes fire risk assessments in line with the requirements of the Regulatory Reform (Fire Safety) Order 2005. Fire risk assessments are available electronically on the Keystone database. Our approach to fire control has two parts:
The fire risk assessment document, prepared by a trained and competent person. This provides a detailed consideration of the structural issues and all aspects of fire safety management at the premises.
Regular inspections, carried out by the person responsible for the premises or line manager responsible for the workplace to ensure that fire risk management arrangements are being adhered to and to identify and address any new fire safety hazards.
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The person responsible for the premises may delegate the task of carrying out the regular inspection to a member of their team, with suitable training and instruction. The person responsible for the premises shall ensure that the fire risk assessment for their building is up to date and either implement any remedial actions identified, or follow them up with the person the action is assigned to until they are closed off. 5.6 Procedures and Safe Systems of Work Refer to document PRC - SSW 001 ‘Safe Systems of Work Procedure’. St Leger Homes develops and provides employees with written formal procedures in order to ensure that tasks or work activities are undertaken in a safe manner. Procedures provide a description of how to undertake a task or activity. This includes any precautions to be taken to prevent ill health or injury. Line managers are responsible for ensuring their staff are issued with or have access to relevant health and safety procedures. This information is available electronically on the St Leger Homes intranet. Where required line managers should print this information out for employees who do not have intranet access. Line managers and team leaders are responsible for the induction of new starters. This includes carrying out an induction with employees who have been appointed from within the organisation and who are new to the job but not the organisation. The line manager or team leader is responsible for making new team members aware of the risk assessments, procedures and safe systems of work relevant to their new job. This should happen on the employee’s first day or before they start doing those tasks and activities. This is about line managers taking appropriate steps to ensure that new employees understand any risks associated with their work and any control measures to be applied. 5.7 Guidance Line managers provide day to day health and safety guidance to their employees. This consists of practical advice and steps an employee must take to work safely and comply with the law. This is supplemented by specialist advice provided by the Health and Safety Team. Guidance is provided either in written hard copy, email or verbally. Managers choose the appropriate method of communication taking account of the situation and the needs of the employee or group of employees. When managers are uncertain about the correct guidance to offer, they are to contact the Health and Safety Team for assistance. 5.8 Accidents, Incidents and Near Misses Refer to document PRC - ACC 001 ‘Accident Reporting Procedure’. St Leger Homes has a detailed accident, incident and near miss reporting procedure. The process is managed and co-ordinated by the Health and Safety Team and administrated by the HR and Health and Safety Admin Team.
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Line managers have specific responsibilities assigned to them under this procedure including:
Recording and investigating accidents, incidents and near misses and ensuring a complete report is provided to the Health and Safety Team.
Implementing any corrective actions identified through the investigation to help prevent a re-occurrence and identify learning opportunities.
The accident, incident and near miss procedure encompasses employees, visitors and contractors. 5.9 Emergency Incidents St Leger Homes has written procedures to plan for and deal with emergency incidents. New starters including contractors and agency workers are made aware of these procedures by their line manager or a responsible person as part of their first day induction and workplace orientation. Awareness of emergency procedures is reinforced through regular evacuation exercises, documentation, signage and posters. Employees are made aware of the competent, nominated persons, at their workplace, who are trained to implement the procedures in the event of an emergency incident, including events such as fire or bomb threat. Emergency arrangements will be amended as required by management teams to reflect changes to the organisation including the use of locations and employee redeployment. Personal Emergency Evacuation Plans (PEEPs) are prepared as needed for those who require assistance in an emergency. These are undertaken by the line manager with support from the Health and Safety Team. 5.10 Management of Asbestos Containing Materials Refer to document – Asbestos Management Plan and Policy St Leger Homes has an Asbestos Management Plan and Policy (AMP) which sets out the approach for managing asbestos containing materials to comply with current legislation. The Health and Safety Team are responsible for preparing, reviewing and updating the AMP every three years or following any significant changes to legislation, serious incidents involving asbestos containing materials or organisational restructures. Separate written procedures for asbestos containing materials are in place. These include procedures for asbestos incidents, transporting waste and reviewing asbestos survey reports. The Asbestos Inspector acts as St Leger Homes designated internal consultant with regards to working with asbestos containing materials supplying advice where required including monitoring and reviewing asbestos procedures.
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5.11 Construction Design and Management (CDM) Refer to document PRC - CDM 001 ‘CDM Procedure’. St Leger Homes complies with all relevant duties under current legislation. St Leger Homes recognises that CDM applies to all construction related work (as defined in current legislation) that may be done inhouse or by external contractors including repairs and maintenance activities. Where required projects will be notified to HSE. Depending on the project St Leger Homes may carry out statutory roles including:
Client Principal Designer Designer Principal Contractor Contractor
5.12 Contractor Management Refer to document PRC - CON 001 ‘Control Of Contractors Procedure’. Contractors who are engaged by St Leger Homes are required to comply with all relevant health and safety requirements taking, at all times, reasonably practicable steps to ensure:
The health, safety and welfare of themselves and other employees whilst carrying out activities or employed on premises under the control of St Leger Homes.
That work they undertake does not adversely affect other people, such as tenants, members of the public and visitors.
That anyone they employ or sub-contract to, directly or indirectly, is aware of and complies with the requirements of the St Leger Homes Health and Safety Policy and its supporting arrangements including safety rules or instructions prior to any work commencing.
St Leger Homes employees who either engage or who are responsible for contractors are required to provide contractors with information on local arrangements for health and safety. 5.13 Consultation Arrangements Refer to document PRC - CWE 001 ‘Consultation with Employees Procedure’. St Leger Homes is committed to engaging its workforce in health and safety and sees this as a valuable means of creating a positive safety culture, where everyone takes responsibility and pride in achieving an excellent safety performance. St Leger Homes recognises the value of effective communication and co-operation to ensure effective health and safety management, identify and address hazards and promote learning and best practice. In support of this commitment St Leger Homes has a Joint Safety Committee comprising of members of the Leadership Team and trade union or employee safety representatives, to share information, consult on health and safety matters and drive forward improvements.
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Health and safety is also a standing agenda item at the monthly Joint Consultative Committee and provides a forum for trade unions to raise and resolve any safety concerns with senior management. At a strategic level a trade union representative sits on the Health and Safety and Asbestos Advisory Group and helps to shape the overall focus and direction of health and safety management at St Leger Homes. At an operational level, trade union safety representatives and the Health and Safety Team work together to deliver workplace inspections and other safety checks, helping to reinforce and maintain a culture of shared responsibility for health and safety. Consultation with trade union safety representatives takes place as part of the review process of the Policy and associated procedures. Regular liaison and consultation takes place with Doncaster Council’s Corporate Health and Safety team to share best practice on matters of common interest. St Leger Homes has mechanisms in place for consultation with tenants, and where appropriate we seek views on health and safety matters that directly impact on them and their neighbourhoods. 5.14 Procurement The St Leger Homes Procurement Team requires suppliers and contractors to formally demonstrate their commitment to health and safety and evidence they have the necessary experience, skills, competency and resources to ensure effective health and safety standards when supplying goods or services. Prior to engagement or continued use, suppliers or contractors must demonstrate their commitment by evidencing:
That they operate safe places of work under their management control. They have and operate safe systems of work, safe plant and machinery including
suitable servicing and maintenance regimes. That there is safe use, handling, storage and transport of articles and substances. That they provide appropriate information, instruction, training and supervision to
their employees. Similarly contractors and suppliers must ensure that the same health and safety arrangements are in place, at all times, for any of their sub-contractors.
The health and safety performance of contractors and suppliers will be monitored by the Procurement Team to ensure standards are being maintained to agreed standards, with support and advice from the Health and Safety when required. 5.15 Learning and Development St Leger Homes recognises that learning and development is essential to achieving employee competence at all levels in the organisation. We also recognise learning and development plays a major part in:
Increasing safety awareness and knowledge: developing a positive health and safety culture;
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supporting effective change management; increasing workforce flexibility and resilience.
All Leadership Team, Board Members and Managers must attend health and safety training relevant to their role. Line Managers are responsible for identifying and addressing the job related training needs of their team members and for ensuring that employees attend mandatory training. They must also ensure that any training is relevant to the employee’s job role and provide support and guidance to ensure that learning is applied in the workplace. Line Managers determine the level of training required for employees. This may include basic skills, technical and softer skills, specific on the job coaching and instruction, as well as training in general health and safety issues and emergency procedures. The type of specialist courses identified will depend on the type of work undertaken. The Health and Safety Team supports managers to identify and address training needed to comply with the organisation’s statutory duties and provides advice on sources of accredited training and the frequency of refresher training. 5.16 Health, Wellbeing and Welfare Provision Refer to document PRC - HSW 001 ‘Workplace Health, Safety and Welfare Procedure’. Refer to document PRC - HSV 001 ‘Health Surveillance Procedure’. Refer to document PRC - STS 001 ‘Stress Procedure’. St Leger Homes takes a proactive stance with respect to employee health care with emphasis on the creation of a healthy and happy workforce and the prevention of ill health. The risks to employees’ health from work activities are controlled through safe systems of work and procedures. There is close liaison with the organisation’s specialist occupational health provider. Occupational health advice is sought in the management of sickness absence and the prevention of ill-health. Health surveillance is carried out where identified through risk assessments by an external occupational health provider and referrals take place in relation to use of hazardous substances, noise, asbestos and vibration. Health records are for the period specified in legislation. St Leger Homes provides a health plan for all its employees, which provides access to face to face and telephone counselling, cash back for physiotherapy, eye tests, dental and other treatments and access to a telephone medical advice line. St Leger Homes recognises the importance of promoting good work/life balance amongst its employees and offers a range of flexible working options. There is a procedure in place for the prevention and management of workplace stress and this is supported by risk assessment, training and resilience building. St Leger Homes provides access to adequate welfare facilities to all its employees and where required contractors. This includes access to washing facilities, drinking water, sanitary conveniences, an area to store clothes and protective clothing, and areas at all workplaces
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where employees can sit to eat lunch. All workplaces are provided with adequate heating, lighting, ventilation, seating, cleanliness and waste removal. 5.17 Landlord Responsibilities St Leger Homes manage the housing stock for Doncaster Council, and in this capacity undertakes responsibility for the repair and maintenance of the property structure. The housing stock includes premises such as block of flats, communal halls and district heating services. St Leger Homes accepts its responsibilities in accordance with the regulations set out in the Consumer Protection Act 1987 for the safety of goods in rented accommodation including furniture, electrical goods and gas appliances where this is provided as part of the tenancy. 5.18 Management of buildings/facilities management St Leger Homes has in place procedures and arrangements for the safety of properties it manages. Dependant on the type of premises, this includes procedures for the safe management of water hygiene (including legionella), passenger lifts, fire safety, asbestos, gas and electricity. 5.19 Communication St Leger Homes brings health and safety information to the attention of all its employees through a variety of media. Communication methods include but are not exclusively:
Information on the Health and Safety section of the intranet Information on notice boards in St Leger Homes’ premises where they can be seen by
employees Staff briefing sessions and toolbox talks Employee inductions Training sessions Safety bulletins to highlight issues of particular concern Monthly safety campaigns on current safety topics, delivered by email and as an article
in ‘Inform’, the St Leger Homes in-house magazine Measures are taken to overcome barriers to communication to ensure that safety instruction, information and training is accessible to all employees. For instance, signers are brought into team meetings and training sessions to facilitate full participation by profoundly deaf employees. Provision will be made for non-English speaking employees as the need arises which may include an interpreter and amendments to signs and written instructions. St Leger Homes’ tenants receive ‘Houseproud’ magazine, which runs regular articles to highlight issues on home safety and simple precautions tenants may take to reduce the risk of accidents, injury and damage to property.
Appendix A
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5.20 Active Monitoring Active monitoring provides St Leger Homes with feedback on performance to identify control measures, to eliminate or reduce the risk of accidents, incidents or ill health. St Leger Homes undertakes active monitoring by periodically inspecting premises, work sites and work activities. This is to ensure the effectiveness of this Policy and supporting procedures and systems by checking that they are being followed. The findings from inspections are used to identify and address any non compliance through feedback, training and other appropriate action. Findings are also used to assist with the review and continuous improvement of the safety management system. 5.21 Reactive Monitoring Reactive monitoring provides St Leger Homes with the opportunity to gather and analyse performance data. This will include information on accidents, injuries and ill health relating to St Leger Homes’ activities. Sickness monitioring is used to identify trends within specific locations or groups of employees. Categories of accidents and types of injuries can be identified for Senior Management to allocate resources for control measures. The findings from reactive monitoring provide an learning opportunities and take steps to prevent future injury, ill health or losses. This includes taking steps to improve control measures as part of the risk assessment process.
Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF)
Equality Analysis Form Template v1 (2013)
Website Summary – Please complete for publishing on our website and append to any reports to, EMT or
Board.
Completed equality analysis
Key findings Future actions
Service: HR and Health & Safety Function, policy or proposal name: .............. Health and Safety Policy ................................... Function or policy status: Changing .............. (new, changing or existing) Name of lead officer completing the equality analysis: Laura Dougan, H&S Manager ........................... Date of assessment: 24 February 2016 ..........
The policy provides a framework for arrangements and managing health and safety at work for St Leger Homes activities. The policy applies to all St Leger Homes employees. No negative impact was found.
N/A
Appendix B
1
ST LEGER HOMES OF DONCASTER LTD Company limited by guarantee registered in England
Company Number 05564649
Board Meeting
REPORT
Date
:
6 April 2016
Item
:
07c
Subject
:
Asbestos Management Plan and Policy
Presented by
:
Linda Keeling, Head of Human Resources and Health & Safety
Prepared by
:
Linda Keeling, Head of Human Resources and Health & Safety Laura Dougan, Health & Safety Manager
Purpose
:
To seek approval from Board for the amendments to the Asbestos Management Plan and Policy
Recommendation : Board Members are asked to: Approve the Asbestos Management Plan and Policy attached to this report.
2
Company Number 05564649 A Company Limited by Guarantee Registered in England To the Chair and Members of the Agenda Item No. 07c ST LEGER HOMES OF DONCASTER BOARD Date: 6 April 2016 1. Report Title 1.1 Asbestos Management Plan and Policy 2. Executive Summary 2.1 The attached Asbestos Management Plan and Policy has been re-written in
order to separate the policy elements of the document from the operational procedures which are controlled by the Asset Management Team.
3. Purpose 3.1 To seek approval from Board to the amendments to the Asbestos
Management Plan and Policy. 4. Recommendation 4.1 Board Members are asked to approve the Asbestos Management Plan and
Policy attached to this report. 5. Background 5.1 This policy was last reviewed in December 2013 and is due for review by
December 2016. However, it has been identified that the 90 page document was unwieldy and employees were finding it difficult to locate the operational procedure for the work they were undertaking.
5.2 It was, therefore, decided to split the policy elements and the operational
procedural elements and undertake full review of both the policy and procedure to identify any changes which have taken place since December 2013.
5.3 The attached Asbestos Management Plan and Policy has been subject to a
thorough review by St Legers Health and Safety Manager and have been subject to a review by the Council’s Health and Safety Manager to ensure all aspects are covered.
5.4 The procedures owned by the Assets Team were provisionally approved by
EMT in January 2016 and have been subject to consultation with the trade unions during March 2016. Any amendments from the consultation will be referred back to EMT following consultation.
3
6. Procurement 6.1 Not applicable 7. VFM Considerations 7.1 Not applicable 8. Financial Implications 8.1 None 9. Legal Implications 9.1 The policy underpins compliance with the Health and Safety at Work Act etc
1974 10. Risks 10.1 The policy contributes to the management of risk by clarifying roles and
responsibilities relating to asbestos management across the business. 11. IT Implications 11.1 None 12. Consultation 12.1 Consultation has taken place with the following parties:
EMT 19 January 2016 Heads of Service Via e-mail 11
February 2016 Feedback meeting with trade union representatives from the Joint Safety Committee
17 February 2016
Health, Safety and Asbestos Advisory Group
18 February 2016
Doncaster Council Health & Safety 22 February 2016 EMT 8 March 2016
13. Diversity 13.1 Not applicable 14. Communication Requirements 14.1 A communication campaign will be undertaken via Staff Focus once the
policy has been agreed by Board.
4
15. Equality Analysis (new/revised Policies) 15.1 An equality assessment has been undertaken and this has not highlighted
any adverse impact on any protected characteristic. 16. Environmental Impact 16.1 None 17. Report Author, Position, Contact Details 17.1 Linda Keeling, Head of Human Resources and Health & Safety
E-Mail: [email protected] 18. Background Papers 18.1 Appendix A – Asbestos Management Plan and Policy
Appendix B – Equality Analysis
Appendix A
POLICY DOCUMENT DRAFT Asbestos Management Plan and Policy Version 10
POLICY TITLE: Asbestos Management Plan and Policy LEAD OFFICER: Laura Dougan Health and Safety
Manager DATE APPROVED: 6 April 2016 APPROVED BY: Board DATE FOR NEXT REVIEW:
April 2019
ADDITIONAL GUIDANCE:
None
TEAMS AFFECTED: All staff and Board members THIS POLICY REPLACES WITH IMMEDIATE EFFECT:
Asbestos Management Plan and Policy Version 9
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ST LEGER HOMES MANAGEMENT PLAN AND POLICY DOCUMENT CONTROL For guidance on completing this section please refer to the document version control guidance notes Revision History Date of this revision: January 2016
Date of next review: April 2019
Responsible Officer: Laura Dougan Health and Safety Manager
Version Number
Version Date
Author/Group commenting
Summary of Changes
1.0 Aug 2008 OHS Consultant/Karin Virco
Draft not assigned a version number
2.0 Oct 2008 D Marshall/OHS Consultant Karin Virco
Approved by Board 5 November 2008
3.0 Jan 2009 D Marshall/OHS Consultant Karin Virco
Written procedures inserted behind procedure flowcharts
4.0 July 2009 D Marshall/Tim Allen/OHS Consultant Karin Virco
Page 24, second bullet point Page 25, whole page Page 30, first two paragraphs Page 31, third paragraph Page 32, second two paragraphs
5.0 July 2010 Suzanne Baker / Shirley Hurst-Cox
All flowcharts and relating procedures updated. Reference to Type 2 and Type 3 asbestos surveys has been changed to Management and Refurbishment surveys in line with the new Survey Guide (HSG264) that replaces MDHS 100. Attendance by the emergency services details changed following guidance from South Yorkshire Fire Service (Page 42).
5.0 October 2010
Suzanne Baker / Shirley Hurst-Cox
As above plus review of Waste Management Procedures and One Hit Procedure
6.0 October 2011
Suzanne Smith Roles and responsibilities, Capital Improvement Flow Chart and Procedure,
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Emergency Flow Chart, Asset Portfolio
7.0 April 2012 Suzanne Smith Asset Portfolio, Action Plan added to Appendix
8.0 June 2012 Suzanne Smith Call out and Emergency Procedures following introduction of Control of Asbestos Regulations (CAR) 2012
9.0 December 2013
Diane Marshall Addition of NNLW, NNLW Call Out and Archetypal Model Procedures with flowcharts. Guidance in relation to NNLW, face fit testing, bulk sampling and masks included. Update to archetypal model information. Update of information provided to tenants and leaseholders. AIR 1 replaced by AIR 3. Update to include limitations of work with asbestos cement, emergency air monitoring arrangements, re-inspection programme, and information provided prior to capital schemes. All procedures and flowcharts updated in accordance with above and colour coded to represent person or team responsible for each task.
10.0 January 2016
Laura Dougan (Health and Safety Manager) / Chris Litherland (Asset Management Service Manager)
Complete rewrite of policy to bring it into line with other policies. Full review of associated procedures which are now separate to the policy and are owned by the Asset Management Service Manager.
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INTRODUCTION
St Leger Homes of Doncaster is responsible for managing the housing stock for Doncaster Metropolitan Borough Council and is the duty holder under the Control of Asbestos Regulation 2012. The purpose of this policy is to set out clearly our approach to managing asbestos containing materials (ACM) within the Council’s domestic housing stock, shops, garages and facilities. This policy has been developed to ensure that St Leger Homes complies with current asbestos regulations and requirements, takes all reasonably practicable steps to secure the health, safety and welfare of employees and of other persons who may be affected by our activities and adopts sector best practice in the management of ACM.
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ST LEGER HOMES ASBESTOS POLICY STATEMENT AIM To effectively manage the risks presented by ACM in St Leger Homes managed premises and buildings occupied by us. OBJECTIVES To prevent, or reduce to the lowest level practicable, the exposure of employees
and others to airborne asbestos fibres whilst working in, occupying or visiting St Leger Homes managed premises or office buildings
To implement effective asbestos management procedures throughout St Leger
Homes To comply with all statutory provisions relating to the management of ACM far as
is reasonably practicable To identify and record, so far as is reasonably practicable, the location, extent
and condition of ACM present in the building stock managed by and occupied by St Leger Homes
To assess the risks presented by identified ACM in the building stock managed
and occupied by St Leger Homes and to use these assessments to prioritise any required remedial action
To provide information relating to the location of ACM to tenants, contractors and
any other person who may disturb ACM To ensure that any works relating to asbestos undertaken in St Leger Homes
premises are only carried out by competent St Leger Homes staff or licensed contractors
To, wherever practicable, reduce the risk from identified ACM by effective
treatment or removal and replacement To provide appropriate training for staff tailored to their job role To carry out medical surveillance for those who carry out notifiable non-licensed
(NNLW) on ACM and maintain records.
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ST LEGER HOMES ROLES AND RESPONSIBILITIES St Leger Homes is the duty holder in relation to asbestos management and hold the responsibility to manage the risks from ACM both in the offices occupied by employees and in the building stock managed on behalf of the Council. GENERAL RESPONSIBILITIES Before organising any works which could disturb the fabric, or fixtures and fittings, of a building or property St Leger Homes ensures that sufficient information on asbestos is available to enable the works to be carried out safely. St Leger Homes employees are legally required to support the organisation in fulfilling their duties under the Health and Safety at Work etc Act 1974 and the Control of Asbestos Regulations 2012. As well as the specific roles outlined in this document everyone is responsible for: a. Understanding their specific role and responsibilities regarding asbestos and that
of others b. Ensuring they are aware of the contents of St Leger Homes Asbestos
Management Plan documentation c. Complying with the requirements of the Asbestos Management Plan d. Attending any health and safety training as is deemed appropriate e. Reporting any suspected ACM or damage to ACM to the Technical Support
Service SPECIFIC RESPONSIBILITIES Doncaster Metropolitan Borough Council has overall responsibility for the housing stock and other Housing Revenue Account assets. The management of asbestos in these buildings has been delegated to St Leger Homes through the Management Agreement. The Council exercises its overall responsibility and continues to hold some responsibilities relating to specific management, namely: - Work on Council properties relating to adaptations for the disabled Work on Council owned buildings where St Leger Homes employees are located
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St Leger Homes Specific Responsibilities The St Leger Homes Board has overall responsibility for ensuring that policies and procedures are in place to guarantee that St Leger Homes meets its legal requirements in relation to health and safety. The Chief Executive is the Principal Duty Holder and is responsible for: Having arrangements in place to support compliance with the Asbestos
Management Plan The overall strategy for the safe operation and execution of property maintenance
activities including consideration of asbestos issues within the operational maintenance and capital works under St Leger Homes control
Devolving the principal functions of asbestos management to the Heads of Service
in Property Services for appropriate execution by them and their employees/consultants
Asbestos management is formally assigned to the Director of Property Services who will ensure arrangements are in place to ensure compliance with this policy and current best practice. Executive Directors are responsible for: Ensuring that employees under their control have sufficient resources to deal with
asbestos related issues Ensuring that sufficient arrangements are in place for employees under their
control to comply with the requirements of the St Leger Homes Asbestos Management Plan
The Heads of Service are responsible for: Ensuring that asbestos issues are discussed when monitoring the progress of
projects carried out by the Capital and Repairs sections Ensuring that employees under their control have sufficient resources, awareness
and knowledge to deal with asbestos related issues Ensuring that employees under their control engage in regular consultation with the
Asset Management Service Manager regarding asbestos survey priorities, timescales and feedback on progress of asbestos related issues
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Ensuring that sufficient arrangements are in place so that employees under their control comply with the requirements with the St Leger Homes Asbestos Management Plan
Attending the quarterly Health and Safety Asbestos Advisory Group meetings and
through this directing asbestos policy (one Head of Service from each Directorate) Ensuring employees under their direct control have sufficient and suitable training
with respect to asbestos relevant to their role. This must include organisational and specific induction related activities for new employees
The Head of Business Excellence is responsible for: Ensuring a robust framework is in place for assessing mandatory asbestos related
training requirements for all employees and cascading this to the relevant Heads of Service
Procuring and co-ordinating the delivery of asbestos related training for all relevant
managers and employees throughout the organisation on a regular and timely basis
Ensuring a framework for the induction of new employees is adhered to and that mandatory training is delivered to these individuals prior to undertaking any work that may disturb ACM
Monitoring attendance of asbestos related training and producing exception reports to relevant Directors and Heads of Service on a timely basis
The Asset Management Service Manager is responsible for: Executing the principal functions of asbestos management by assembling and
maintaining a suitably qualified asbestos team consisting of employees and contractors
Attending the Senior Management Team meetings and through this directing
asbestos policy Reviewing strategic activities with the Service Managers and Health and Safety
Manager Reviewing budgetary requirements to ensure the optimum management of
asbestos Ensuring that employees under their direct control have sufficient and suitable
asbestos training relevant to their role
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Line management of the Asbestos Inspector ensuring full compliance with current procedures
Ensuring regular consultation with the Asbestos Inspector regarding asbestos
works programme, asbestos survey priorities, timescales and feedback on progress of asbestos related projects
Ensuring that sufficient arrangements are in place so that employees under their
control comply with the requirements with the St Leger Homes Asbestos Management Plan
Membership of Health, Safety and Asbestos Advisory Group (HSAAG) The Asbestos Inspector is responsible for: Acting as St Leger Homes designated internal consultant with regard to working
with ACM and to supply advice when required Monitoring and reviewing procedures for working with ACM in accordance with all
current statutory requirements Organising, managing and monitoring a programme of appropriate asbestos
surveys to cover the stock
Arranging periodic re-inspections of ACM in premises as required Keeping and maintaining records on Keystone of all known ACM in St Leger
Homes managed premises ensuring that these records are kept up to date and made accessible to all relevant parties
Auditing the records following removal or encapsulation works Auditing Keystone with all consignment notes generated through St Leger Homes
internal non-licensed asbestos removal work and sub-contract licensed and non-licensed removal work
Auditing Keystone to check that the Asbestos Register has been kept up to date
and remedy any errors
Auditing asbestos incidents overview provided to EMT and DMBC Updating St Leger Homes Directorates with regard to any relevant statutory
developments
Providing the location of asbestos information to contractors and staff
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Undertake compliance checks and supply the reports to the Asset Management Service Manager and the Health and Safety Manager
Maintaining a skills matrix for notifiable non-licensed asbestos removal work
undertaken by St Leger Homes employees and contractors Receiving advice from the Service Managers and the Procurement Team on the
inclusion/suspension/removal of asbestos related consultants/contractors and acting upon such advice
The operational compliance of St Leger Homes with the current legislation for the
management of asbestos in the properties managed by St Leger Homes When requested attending management meetings as required
Initial investigation of unplanned asbestos events reported on an AIR3 and support
the Health and Safety Advisors when further investigation is required
Performing regular checks that the system interfacing with Keystone are working and correctly importing information into Keystone
Retain paper or scanned copies of all site paperwork produced by remediation
work for a period of at least 100 years as requested by Doncaster Metropolitan Borough Council
The Asset Management Team is responsible for: Updating Keystone with all consignment notes generated through St Leger Homes
internal non-licensed asbestos removal work and sub-contract licensed and non-licensed removal work
Collation of AIR3 forms and production of asbestos incidents overview
Updating records following removal, surveying or encapsulation works Monitoring the SLHD Asbestos Request Mailbox
Raising orders from Team Leaders through Asbestos works order forms (PRC –
INS 007)
Health and Safety Manager is responsible for:
Reviewing and updating where required the Asbestos Management Plan (AMP) every three years and following any significant changes to legislation, serious incidents involving asbestos or staff restructure
Auditing of the AMP and its associated procedures
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Auditing licensed asbestos contractors undertaking work on behalf of St Leger
Homes
Design and delivery of refresher training and awareness raising with operational input and support from the Asset Management Team as and when required
Arranging health surveillance and medicals when necessary for staff working with
notifiable non-licensed ACM
Implementing a face fit testing programme and provision of advice on RPE and PPE with support from the Asset Management Team when required
Providing a report on the effectiveness of the implementation of the asbestos
policy to the Board and to the Executive Management Team on request
Investigation of unplanned asbestos events
ICT Service Manager is responsible for:
The administration of Keystone and, in conjunction with the IT team at Doncaster Council, ensuring that the system is adequately backed up and available to staff and any authorised stakeholders / partners.
Managing any upgrades to the system
Maintaining the interface between Keystone and TASK/TOTAL Service Managers are responsible for:
The operational compliance of St Leger Homes with the relevant regulations concerning asbestos
Attending team meetings and disseminating asbestos information within the
Directorates as required
Ensuring employees under their direct control have sufficient and suitable training with respect to asbestos relevant to their role. This must include organisational and specific induction related activities for new employees
Ensuring that sufficient arrangements are in place so that employees under their
control comply with the requirements with the St Leger Homes Asbestos Management Plan
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Team Leaders are responsible for: Ensuring that the employees and contractors under their control are advised on the
presence or otherwise of ACM that may be affected by the proposed operations. This information is available from Keystone or the Asbestos Inspector
Ensuring that external partners or consultants are provided with St Leger Homes
Asbestos Management Plan and all other relevant information known on the presence or otherwise of ACM where works are taking place
Ensuring that employees under their direct control have sufficient and suitable
training relevant to their role Reporting any defects or non-compliances relating to the performance of asbestos
contractors, including suitability of the work areas, adherence to the method statement for the works and St Leger Homes Asbestos Management Plan
Stopping work if suspect ACM are discovered during the course of work and
seeking advice from the Asbestos Inspector
Reporting of any unplanned asbestos event on an AIR3 to the Asset Management Team
Ensuring the provision of PPE / RPE for employees under their direct control. This
includes provision of alternative RPE for those employees who have facial hair / beards that are established e.g. for religious reasons.
Contract Managers / Clerk of Works are responsible for: Ensuring that all asbestos removal and remediation works are carried out in
consultation with the Asbestos Inspector and the Asbestos Management Plan (AMP)
Agreeing areas of work prior to project start to identify any known risk from
asbestos by consulting the asbestos register on Keystone. Consulting the Asbestos Inspector and ensuring the appropriate level of survey is carried out
Implementing the recommendations of the Asbestos Inspector Ensuring that only contractors on St Leger Homes approved list of contractors are
engaged to carry out asbestos work
Discussing with the contractor the specifics in relation to asbestos management by checking the method statements and arranging how changes to the method statements are agreed with the Asbestos Inspector before they are made
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Providing St Leger Homes’ AMP and information to consultants and contractors on the location of any known asbestos affecting the project
Instructing contractors to stop work immediately if they accidentally disturb any
material which is known to contain asbestos or which is suspected of containing asbestos. They should inform the Asbestos Inspector immediately and participate in invoking the contractors and St Leger Homes Emergency Procedures
Inspectors / Duty Officers are responsible for:
Attending asbestos incidents as detailed in the Asbestos Incident Procedure (PS_AM_179)
Following the Transportation of Asbestos Waste Procedure (PS_AM_183) Following the Class H Vacumn Cleaners for Work with Asbestos Procedure
(PS_AM_184) Technical Support Agents/ Home Alarm Service are responsible for:
Call handling as detailed in the Asbestos Incidents Procedure (PS_AM_179) Estates Caretakers are responsible for:
Following the Transportation of Asbestos Waste Procedure (PS_AM_183) Supplies and Logistics Team are responsible for:
Following the Class H Vacumn Cleaners for Work with Asbestos Procedure (PS_AM_184)
Following the Transportation of Asbestos Waste Procedure (PS_AM_183)
All employees potentially working around ACM, including Operatives and Team Leaders, are responsible for: Following the St Leger Homes Asbestos Management procedures (see supporting
documents)
Requesting information on any suspect materials before working on them i.e. by accessing through Keystone or through their Line Manager
Reporting any damage to suspected ACM
Reporting any damage to equipment provided for use with ACM’s i.e. Class H
Vacumn Cleaners etc.
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Attending designated training when required and following the information provided in the training
Attending face fit testing clean shaven, remaining clean shaven when RPE is
necessary and using correct PPE/RPE for the work being done. If the employee has an established beard e.g. for religious reasons alternative provision is available that does not rely on a tight fit to the face.
Reporting any defects with PPE/RPE or facial changes to their line manager
immediately
Carrying all necessary PPE/RPE on the vehicle at all times in case of emergency
Carrying asbestos waste bags on the vehicle at all times Contractors are responsible for: Following current legislation in relation to asbestos management, risk
assessment, safe working practices, competency of sub-contractors and suitable training of their staff
Complying with instructions from St Leger Homes in relation to the works to be undertaken
Reviewing the asbestos information provided by St Leger Homes and taking
appropriate action
Signing off asbestos removal works and communicating any issues to the Asbestos Inspector
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MONITORING AND REVIEW OF THE ASBESTOS MANAGEMENT PLAN
MONITORING The Health, Safety and Asbestos Advisory Group (HSAAG) meet on a quarterly basis. The Group considers the following:
Review progress against the current Health and Safety Strategy and action plan Monitoring and analysis of relevant safety and asbestos management information
including accident, incident and near miss statistics, health and well-being data, risk assessments, internal and external inspections and audits
Communication, training and awareness activity
Implications arising from health and safety activities including learning from
incidents
Outstanding issues raised through the Joint Safety Committee operated with the Trade Unions
Changes in statutory and regulatory requirements Monitoring of Asbestos Management Plan including:
o Management of asbestos risks o Asbestos survey and removal programmes
REVIEW The Asbestos Management Plan will be reviewed every three years by the Health and Safety Manager and escalated to the Executive Management Team, the Board and Health, Safety and Asbestos Advisory Group. The Asbestos Management Plan will be reviewed immediately if the following occur:
Changes to the organisational structure and/or key staff
Changes to legislative requirements Changes to the resourcing implementation of the AMP Changes in building use, occupancy or refurbishment plans
Instances of failure of the procedures
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Following any review of the Asbestos Management Plan a report will be presented to the St Leger Homes Executive Management Team which will include any proposed changes to the Asbestos Management Plan. IDENTIFICATION OF ASBESTOS CONTAINING MATERIALS Domestic housing premises are currently exempt from the legal duty to manage the risk from ACM, as they are not formally classed as "work places". However, when the property is having works carried out it becomes a workplace and St Leger Homes has a legal duty of care towards those carrying out those works and tenants who occupy them in relation to health and safety. Asbestos surveys are carried out to make an assessment of ACM. These will find and record ACM looking at the condition, existing treatments in place and doing sampling where required. Management surveys are in place for managing ACM during normal occupation and use of premises. Refurbishment surveys are required when the premises, or part of it, need upgrading, refurbishing or demolishing. St Leger Homes has in place full archetypal models which have been compiled by collecting full and localised refurbishment and management surveys. If a property is identified without a suitable and sufficient survey one will be completed. Where required suspect materials will be tested for asbestos. Where no asbestos information is available it must be assumed all materials contain asbestos until proven otherwise. Buildings built after 2000 are unlikely to contain ACM but if there is any doubt then an assessment must be carried out to identify if there are any ACM present. MANAGEMENT OF ASBESTOS CONTAINING MATERIALS ACM only pose a risk to health if they are disturbed and the asbestos fibres become airborne and inhaled. Whilst in good condition and posing no risk ACM can be left in situ. This is the approach St Leger Homes takes to ACM in both office buildings and domestic properties. Surveys provide a risk assessment that determines the condition. Any high risk ACM are remediated immediately. Regular re-inspections of known ACM are undertaken in line with current legislation. Where work within St Leger Homes managed building stock or properties will disturb asbestos, work will be undertaken following HSE guidelines. Specific guidance can be accessed through ‘Asbestos Essentials’ which is a task manual developed by HSE for building and maintenance trades on how to safely carry out non-licensed work involving ACM.
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Non-Licensed and Notifiable Non-Licensed Work St Leger Homes will potentially carry out non-licensed and notifiable non-licensed work (NNLW). Examples of non-licensed work includes –
Cleaning up small quantities of loose / fine debris containing ACM dust (where the work is sporadic and of low intensity)
Drilling of textured decorative coatings or asbestos insulating board Encapsulation and sealing-in work on ACM that are in good condition Examples of NNLW include –
Asbestos cement products (e.g. roof sheeting) where the material has been substantially damaged or broken up (e.g. as a result of fire or flood damage)
Short duration work involving asbestos insulation e.g. repairing minor damage to a small section of pipe insulation where the exterior coating has been broken or damaged.
There are extra duties for NNLW, these are -
to notify work with asbestos to the relevant enforcing authority designate (identify) areas where the work is being done ensure medical examinations are carried out maintain registers of work (health records).
All non-licensed and NNLW with asbestos need a risk assessment and must be carried out with the appropriate controls in place. TRAINING Through training and awareness sessions St Leger Homes aim to have an open and responsive culture where employees and contractors are not afraid of asbestos and know how it is managed in their place of work. All employees are informed of where ACM are likely to be present as part of their health and safety training and information on what to do if asbestos is disturbed is provided. Asbestos Awareness Training Initial asbestos awareness training is delivered to all new starters who may be exposed to ACM. This includes Information, instruction and training intended to give workers and team leaders the information they need to avoid work that may disturb asbestos during any normal work. The training is delivered by an accredited external company whose scope of training matches HSE requirements for training content. E-learning options are also available for this.
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This training will include information, instruction and training about:
the properties of asbestos and its effects on health including the increased risk of developing lung cancer for asbestos workers who smoke
the types, uses and likely occurrences of asbestos and asbestos materials in buildings and plant
the general procedures to deal with an emergency. e.g. an uncontrolled release of asbestos dust into the workplace
how to avoid the risk of exposure to asbestos Asbestos Refresher Training Asbestos refresher training is provided annually and is designed around incidents that have occurred as well as any identified non-compliances with the asbestos procedures. The refresher training is delivered in house by the Health and Safety Team and is tailored to staff needs. E-learning options are also available for this. Non-Licensable, including NNLW Employees who may need this level of information, instruction and training are those who may be carrying out planned work and work that will disturb asbestos containing materials. The training should include;
how to make suitable and sufficient assessments about the risk of exposure to asbestos
safe work practices and control measures, including an explanation of the correct use of control measures, protective equipment and work methods
selection and appropriate use of protective equipment waste handling procedures emergency procedures relevant legal requirements circumstances when non-licensed work may be notifiable (i.e. NNLW)
The information, instruction and training is appropriate to the work being done and is tailored accordingly.
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INFORMATION MANAGEMENT St Leger Homes supplies information regarding asbestos to all those who require it by: Assessing areas prior to starting work to identify any risks Providing access to Keystone which contains the asbestos register for all properties
to any persons conducting work within a St Leger Homes managed property. Passing information on to employees and other contractors of the location of any
known asbestos in the work area
Ensuring that relevant IT systems are up to date and accurate in relation to asbestos presence by monitoring interfaces and undertaking regular data checks
No works will be carried out by either St Leger Homes employees or contractors before detailed information on the presence of asbestos is supplied to those doing the work. If there is no information available for the property being worked on or if details contained within the survey appear unclear then the employee or contractor is to contact their line manager for advice. Where emergency works are required in an area with no asbestos information, it must be assumed all materials contain asbestos until proven otherwise and all emergency procedures are followed. All tenants have been sent an “Asbestos in the Home” leaflet outlining the potential hazards of ACM, where these can be commonly found within homes and advice on how to deal with instances of damage. Information is also available on the St Leger Homes website. Those who acquire a property through the ‘Right to Buy’ scheme are supplied with an asbestos management survey. SUPPORTING DOCUMENTS Legislation and Guidance The Control of Asbestos Regulations 2012 Control of Asbestos Regulations 2012, the Approved Code of Practice (ACOP) L143 (Second edition) St Leger Homes Asbestos Procedures PS_AM_179 Asbestos Incident Procedure PS_AM_180 Asbestos Out of Hours Call Out (SLHD) Procedure PS_AM_181 Asbestos Out of Hours Call Out (DMBC) Procedure PS_AM_182 Asbestos Information for Capital Improvement Schemes Procedure
Page Version Date Author 19 of 20 10.0 January 2016 H&S Team and Asset
Management
PS_AM_183 Transportation of Asbestos Waste Procedure PS_AM_184 Class H Vacumn Cleaners for Work with Asbestos Procedure PS_AM_185 Reviewing Asbestos Management Survey Reports Procedure PS_AM_186 Ordering Asbestos Related Services Procedure MONITORING AND REVIEW In line with the Health and Safety Management System this policy will be reviewed as required and at least every three years. PARTNERSHIP ISSUES In situations where contractors are carrying out work on behalf of St Leger Homes contractors are required to follow this procedure and inform St Leger Homes of accidents, incidents and near misses that occur whilst working as part of St Leger Homes’ undertakings.
Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF)
Equality Analysis Form Template v1 (2013)
Website Summary – Please complete for publishing on our website and append to any reports to, EMT or Board.
Completed equality analysis
Key findings Future actions
Service: HR and Health & Safety Function, policy or proposal name: Asbestos Management Plan and Policy ........... Function or policy status: Changing .............. (new, changing or existing) Name of lead officer completing the equality analysis: Laura Dougan .................................................... Date of assessment: 24 February 2016 ..........
The policy provides a framework for managing risks presented by asbestos containing materials in St Leger Homes managed premises and buildings. The policy applies to all St Leger Homes employees. No negative impact was found.
None
Appendix C
0
ST LEGER HOMES OF DONCASTER LTD Company limited by guarantee registered in England
Company Number 05564649
Board Meeting
REPORT Date
:
06 April 2016
Item
:
08
Subject
:
Draft Accounts Receivable Policy
Presented by
:
Julie Crook Director of Corporate Services
Prepared by
:
Michelle Lightfoot Finance Service Manager Gaile Peacock Senior Business Assurance Officer Nigel Feirn Interim Head of Finance
Purpose
:
To present Board with the draft Accounts Receivable Policy approval.
Recommendation: That Board approves the draft Accounts Receivable Policy
1
Company Number 05564649 A Company Limited by Guarantee Registered in England To the Chair and Members of the Agenda Item No. 08 ST LEGER HOMES OF DONCASTER BOARD Date: 6 April 2016 1. Report Title 1.1 Draft Accounts Receivable Policy. 2. Purpose 2.1 The purpose of this report is to present Board with the draft Accounts Receivable
Policy for approval. The policy was reviewed by Audit Committee in February 2016 and their comments have been incorporated into this draft.
3. Recommendation 3.1 That Board approves the Policy. 4. Background 4.1 Debtors arise from amounts charged to tenants, non-tenants, SLHD employees
and other customers outside of the normal rent and service charge collection arrangements. They are in two forms – ‘Debtors’ and ‘Rechargeable Repairs/Leaseholder charges’ – and are accounted for separately.
4.2 Debtors transactions are accounted for within the SLHD accounts whereas Rechargeable Repairs/Leaseholder charges appear in the DMBC HRA account, which SLHD manage on DMBC’s behalf. This draft policy describes the activities and responsibilities involved in ensuring an account is raised by SLHD in respect of but not limited to: SLHD Accounts
Salary overpayments Tenant garden and house clearance No access charges in respect of gas servicing Professional training fees where the employee has left SLHD within a
specified period of time Charges for goods and services supplied to DMBC and external companies
HRA Accounts
Leaseholder service charges Leaseholder gas servicing
2
Rechargeable Repairs (see rechargeable repairs policy)
4.3 DMBC administers the debtors’ system on St Leger Homes’ (SLHD) behalf under an Accounts Receivable Service Level Agreement (SLA) at a cost of £37k. Of the £37k, £30k is recharged to the HRA. In view of the fact that going forward, the SLA charge of £37k will be for a low volume of transactions, discussions will commence with DMBC to review the SLA.
4.4 The number and value of charges raised each year for both Sundry Debtors and Rechargeable Repairs are modest and very small in terms of materiality on the financial operations of both organisations. However, recovery rates are low, typically less than10%, and to date there has not been an Accounts Recoverable Policy. The Policy attached at Appendix A has been drafted to ensure there is a consistent, fair, transparent and cost effective approach to raising accounts for income and rechargeable costs. The specific objectives of the Policy are to: give guidance on the circumstances under which an account should be raised; give guidance on the circumstances where discretion will be exercised; monitor the performance of both SLHD and HRA (under the SLA) to ensure
that SLHD and HRA are maximising income.
4.5 The required Equality Impact Assessment has been undertaken and also clarification on the procedures currently undertaken by DMBC in pursuing long term debt, either through collection agency or own legal action, has been received and incorporated (please refer to Section 5.5 of the policy).
4.6 SLHD is proposing that over the next 12 months the accounts receivable service, at least for SLHD debtors, is brought in-house and absorbed within the current finance team and this should generate future savings.
5. Consultation 5.1 No specific implications arise from this report. 6. Legal Implications 6.1 Legal implications are implicit within the policy. Recovery of debt may require
pursuit by SLHD or collection agency appointment with subsequent legal action, which would involve court proceedings and possible bailiff appointment.
7. Financial implications 7.1 The SLHD debtor process is managed by DMBC through an existing service level
agreement which costs £37,000 per annum. (£30k charged to HRA and £7k to SLHD) Charges raised each year for both Sundry Debtors and Rechargeable Repairs are
3
typically less than £40,000. In terms of materiality on the financial operations of both organisations, balances and transaction amounts are very small.
8. Risk implications 8.1 Financial risk implications are small in relation to the wider operational income and
expenditure levels for SLHD. Reputational risk is implicit within the policy in the levels and methods used in recovering debts.
9. Diversity 9.1 There are no specific diversity implications. 10. IT Implications 10.1 There are no IT implications arising from this report. 11. Communication Requirements 11.1 There are no communication requirements arising from this report. 12. Equality Impact Assessment (new/revised Policies) 12.1 An Equality Impact Assessment been undertaken on this policy and has not
identified any adverse impact. 13. Environmental Impact
13.1 No environmental impacts. 14. Report Author 14.1 Nigel Feirn
Interim Head of Finance 15. Background Papers
15.1 DMBC Accounts Receivable SLA
Appendix A
POLICY DOCUMENT Draft Accounts Receivable Policy
POLICY TITLE: Draft Accounts Receivable Policy
LEAD OFFICER: Michelle Lightfoot
DATE APPROVED: TBC
APPROVED BY: SLHD Board
IMPLEMENTATION DATE:
To be presented to Board March 2016. Target implementation April 2016.
DATE FOR NEXT REVIEW:
March 2019
ADDITIONAL GUIDANCE:
Accounts Receivable Service Level Agreement with DMBC Tenancy Agreement SLHD Training and Development Policy Rechargeable Repairs Policy
ASSOCIATED CUSTOMER/EMPLOYEE PUBLICATIONS:
TEAMS AFFECTED: Financial Services Governance Service Area Based Services Central Services Human Resources and Health & Safety
THIS POLICY REPLACES
Not applicable – New Policy
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DOCUMENT CONTROL Revision History Date of this revision: 08 February 2016
Date of next review: March 2019
Responsible Officer: Michelle Lightfoot
Version Number
Version Date Author/Group commenting
Summary of Changes
0.1 08/02/16 M Lightfoot First Draft
Policy Creation and Review Checklist Action Responsible Officer Date Completed Best practice researched (HouseMark, HQN, Audit Commission, general websites)
Gaile Peacock Michelle Lightfoot Nigel Feirn
February 2016
Review current practices from similar organisations
Gaile Peacock Michelle Lightfoot Nigel Feirn
February 2016
Review customer satisfaction data from the area the policy relates to
Not applicable February 2016
Review Customer complaints from the area the policy relates to
Gaile Peacock Michelle Lightfoot Nigel Feirn
February 2016
Undertake customer consultation if applicable
Not applicable
Staff consultation if applicable Not applicable Trade Union consultation if applicable
Not applicable
Stakeholder consultation if applicable
Not applicable
Equality Analysis carried out – A copy must be forward to Linda Aldridge or Gaile Peacock to be saved centrally
Nigel Feirn March 2016
N.B. The above table must be completed on all occasions. The policy will not be accepted or approved by EMT without this information completed.
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POLICY DOCUMENT Accounts Receivable Policy
1. Introduction
1.1 St Leger Homes (SLHD) receives the majority of its income through a management agreement with Doncaster Council (DMBC). Other sources of income are charging for goods and services supplied to customers and the recovery of miscellaneous fees and charges. The Housing Revenue Account (HRA) which is administered by SLHD but owned by DMBC receives income for the leaseholder service accounts and rechargeable repairs to current and former tenants.
1.2 Debtor accounts are raised by SLHD through a Service Level Agreement with Doncaster Council (DMBC) who provide a reporting and debt recovery service.
2. Purpose
2.1 The purpose of this policy is to ensure that there is a consistent, fair, transparent and cost effective approach to raising accounts for income and rechargeable costs.
2.2 The specific objectives of the Policy are: To give guidance on the circumstances under which an account
should be raised. To give guidance on the circumstances where discretion will be
exercised. To monitor the performance of both SLHD and HRA (under the SLA)
to ensure that SLHD and HRA are maximising income.
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3. Scope
3.1 This policy describes the activities and responsibilities involved in ensuring an account is raised by SLHD in respect of but not limited to: SLHD Accounts
Salary overpayments Tenant garden and house clearance No access charges in respect of gas servicing Professional training fees where the employee has left SLHD within a
specified period of time Charges for goods and services supplied to DMBC and external
companies HRA Accounts
Leaseholder service charges Leaseholder gas servicing Rechargeable Repairs (see rechargeable repairs policy)
4. Ownership and Responsibilities
4.1 All SLHD staff have a duty to identify when an account for income should be
raised and ensure that the account is raised within the Accounts Receivable application of the financial ledger. Key Responsibilities: All SLHD staff are responsible for documenting the circumstances
where an account has been raised and ensuring charges are accurate;
Central Support staff will ensure that rechargeable accounts are raised on the Accounts Receivable application of ERP financial ledger;
The HRA and Leaseholder Technical Officer is responsible for raising the leaseholder service charge accounts on the Accounts Receivable application of ERP financial ledger;
DMBC are responsible for providing reporting and a debt recovery service for SLHD and the HRA;
DMBC are responsible for presenting cases for write off to SLHD where the debt is deemed irrecoverable;
Accounts can only be amended or cancelled with the authorisation of a member of staff approved to carry this out.
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5. Policy
5.1 Raising Invoices
5.1.1 All invoices raised must be properly supported by documentary evidence that supports the debt. Officers must not raise an invoice for a debt less than £60 (excluding VAT) as it is uneconomic to administer. No administration fee will be added to invoices. This follows the principles of the Rechargeable Repairs Policy.
SLHD Accounts
5.1.2 Management Fee and Charges to DMBC DMBC are charged an annual management fee which is invoiced on a monthly basis for the provision of the services provided in the management agreement. DMBC are invoiced for services provided by SLHD for the provision of major capital works to the housing stock which is invoiced on a monthly basis based on the annual value of the contract.
5.1.3 Goods and/or services provided to external customers SLHD provide goods or services to external customers, which are not tenants or former tenants. Examples are supplier rebates and the provision of a repairs and maintenance service.
5.1.4 Salary Overpayments Salaries are paid two weeks in advance and two weeks in arrears. Where changes are made to an employee’s salary or they leave SLHD’s employment, late notification to Payroll can result in an employee being overpaid and may have taken more annual leave than their entitlement. Where the employee remains employed by the company, overpayments can be recovered through ongoing salary payments. However, when the employee has left, any overpayment will be collected by raising a sundry debtor account.
5.1.5 Professional Training Fees SLHD provides sponsored studies for members of staff who are approved to enter the scheme by EMT. A condition of the scheme is that employees remain in the company’s employment for a specified period of time following completion of the studies. If an employee leaves SLHD’s employment prior to the specified time period, all or part of the study fees will be recouped via an account being raised. Please refer to the Training and Development Policy for more detailed information.
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5.1.6 Tenant Garden and House Clearance
Tenants are responsible for the upkeep of their garden. It should be kept tidy and free from household rubbish, furniture and other waste material. If the tenant or someone else in the household is capable of maintaining the garden and fails to do so SLHD may take enforcement action or carry out the work in default and recharging the cost to the tenant. Tenants should keep the inside of a property in an acceptable standard. This includes the standard of cleanliness. If a property is not kept to an acceptable standard the tenant will be in breach of the tenancy conditions. This could result in legal action or SLHD may enter the property and carry out cleansing work in default. On both occasions where a recharge for work carried out is required, an account will be raised. See the Tenancy and Estate Management Policy for further details.
HRA Accounts
5.1.7 Leaseholders
Leaseholder Service accounts will be raised annually by SLHD Financial Services staff. Additionally, SLHD provides a gas servicing facility for leaseholders. Should the leaseholder wish to take advantage of this offer, the charges are invoiced through the accounts receivable function. The debt management of these accounts is the responsibility of DMBC as part of the SLA.
5.1.8 Rechargeable Repairs This is dealt with in the Rechargeable Repairs Policy. Accounts for rechargeable repairs will be raised through the financial ledger.
5.1.9 Other Miscellaneous Income
Any account for income in respect of products or services not covered above would be raised for both SLHD and HRA on the financial ledger.
5.2 Exemptions and Discretionary Circumstances
5.3 Amending and Cancelling Accounts
5.3.1 Where it is necessary to amend or cancel an account either because the account has been raised in error or information has come to light that an incorrect amount has been raised, investigations into the validity of this information is to be carried out by SLHD officers. Any reduction in the amount of the account or cancellation of the account has to be authorised by an officer at Service Manager or above level or above.
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5.4 Bad Debt Provision
An adequate provision for bad debts must be maintained within the financial statements.
5.5 Collection Process
5.5.1 Under the terms of the SLA, DMBC will follow the Dunning Recovery Cycle for arrears recovery which commences once an invoice is outstanding beyond the due date for payment, which will be 30 days from invoice date unless otherwise agreed.
Days after due date
Action
1 First reminder letter issued 11 Telephone call to customer 22 Final reminder letter issued 36 Telephone call to customer 50 Referred to collection agency or legal action
After 50 days, the debt will be referred to a collection agency or legal action will commence. Reasonable repayment arrangements will be sought in all cases. In the event of repayment arrangements not being agreed, the appropriate legal action will commence to recover the debt. For those debts referred to a collection agency and the debtor could not be traced, the debt will be written off after a period of 6 months from the referral date.
5.6 Account Write Offs
5.6.1 There are certain circumstances when a debt will be written off before following the full Dunning Recovery Cycle which are: Reason Description Insolvency Debtor is the subject of bankruptcy, individual
voluntary arrangement, liquidation, company voluntary arrangement and administration order or administrative receivership proceedings or has ceased to trade or is subject to a Debt Relief Order.
Statute barred No communication made or payment received within 6 years
Uneconomical to collect Balance is too small for further action. Uncollectable Custodial sentence/remitted debtor/vulnerable
people/hardship. Deceased No funds in the estate.
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5.6.2 If a collection agency is unsuccessful at locating the debtor, the account
may be put forward for write off. Should a debtor be subsequently traced, the debt will be re-instated, if considered economically viable to recover, and it is within the statute of limitations.
5.6.3 VAT must be reclaimed (where originally charged) on debts written off. 5.6.4 SLHD write offs
The following officers are authorised to sanction the write off of a sundry debt account by SLHD. Amount Responsible Officer Up to £1,000 Financial Services Manager £1,000 to £3,499 Head of Finance £3,500 and above Director of Corporate Services
DMBC write offs DMBC write offs will be in accordance with the Management agreement with SLHD. DMBC write offs are authorised by a Section 151 Officer with delegated authority given to the SLHD Director of Corporate Services.
6. Monitoring, Compliance and Effectiveness 6.1 This effectiveness of this policy will be monitored by the Finance Service
Manager. A bi-annual collection performance report will be presented to the Executive Management Team and Audit Committee. The report will cover: Number and costs of accounts raised Recovery rates Levels of write offs Numbers of complaints, disputes and outcomes
6.2 The policy will be reviewed every two years or whenever there are any
relevant changes to legislation, case law or good practice that would impact on the operation of this policy.
7. Performance Standards 7.1 There are a suite of performance measures and services standards
contained in the SLA with DMBC. Performance against these standards with be measured and discussed at the SLA review meeting.
Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF)
Equality Analysis Form Template v1 (2013)
Under Equality Act 2010 Protected characteristics are age, disability, gender, gender identity, race, religion or belief, sexuality, civil partnerships and marriage, pregnancy and maternity. Name of policy, service or function. If a policy, list any associated policies:
Accounts Receivable Policy
Name of service and Directorate
Corporate Services, Finance
Lead manager
Nigel Feirn
Date of Equality Analysis (EA) 17.03.2016
Names of those involved in the EA (Should include at least three other people)
Nigel Feirn, Michelle Lightfoot, Gaile Peacock, Louise Robson
Aim/Scope (who the Policy /Service affects and intended outcomes if known) See guidance step 1 St Leger Homes (SLHD) receives the majority of its income through a management agreement with Doncaster Council (DMBC) for rent and service charge collection, housing and repairs and maintenance services. Accounts Receivable (Debtors) arise from amounts charged to tenants, non-tenants, SLHD employees and other customers outside of the normal rent and service charge collection arrangements. They are in two forms – ‘Debtors’ (for SLHD) and ‘Rechargeable Repairs/Leaseholder charges’ (for HRA)– and are accounted for separately The purpose of this policy is to ensure that there is a consistent, fair, transparent and cost effective approach to raising accounts for other income and rechargeable costs. This policy describes the activities and responsibilities involved in ensuring an account is raised by SLHD in respect of but not limited to: SLHD Accounts
Salary overpayments Tenant garden and house clearance No access charges in respect of gas servicing Professional training fees where the employee has left SLHD within a specified
period of time Charges for goods and services supplied to DMBC and external companies
Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF)
Equality Analysis Form Template v1 (2013)
HRA Accounts
Leaseholder service charges Leaseholder gas servicing Rechargeable Repairs (a separate rechargeable repairs policy exists)
What equality information is available? Include any engagement undertaken and identify any information gaps you are aware of. What monitoring arrangements have you made to monitor the impact of the policy or service on communities/groups according to their protected characteristics? See guidance step 2 This policy applies to anyone who has benefitted from the services of SLHD. These include Tenants, Leaseholders, Employees, private sector landlords and other residents who live in a neighbourhood that is managed by SLHD. The number and value of charges raised each year for both Sundry Debtors and Rechargeable Repairs are modest in terms of materiality on the financial operations of both SLHD and DMBC. The level of customer profile data we hold about our tenants is high and SLHD has detailed knowledge of its employees. Monitoring of accounts receivable performance will be straightforward given the level of data available and modest number of transactions. Analysis will assist towards development of other policies and shaping services. Engagement undertaken with customers. (date and group(s) consulted and key findings) See guidance step 3
Consultation is not relevant and has not been undertaken for this policy. Collection of debtors is required in any organisation to recover amounts due for services received under standard financial contracts. Customers are informed of charges that would be raised to them in relation to this policy via tenancy agreements or publications.
Engagement undertaken with staff about the implications on service users (date and group(s)consulted and key findings) See guidance step 3
Employee engagement has not been undertaken for this policy. Indirect consultation has taken place to inform this policy through development of employee terms and conditions and employees are informed of recovery arrangements for training and other services received. Relevant employees involved in the raising and collection of accounts will be made aware of this policy and will benefit from the formal arrangements and clear guidance it provides.
Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF)
Equality Analysis Form Template v1 (2013)
The Analysis How do you think the Policy/Service meets the needs of different communities and groups? Protected characteristics of age, disability, gender, gender identity, race, religion or belief, sexuality, Civil Partnerships and Marriage, Pregnancy and Maternity. Other areas to note are Financial Inclusion, Fuel Poverty, and other social economic factors. This list is not exhaustive – see guidance appendix 1 and step 4 SLHD raises charges totalling approximately £80,000 per year for a small range of transaction types. These transaction types are a result of other contractual arrangements (eg. tenancy agreements, employment contracts) or other services provided where SLHD has published charging conditions The policy provides clear guidance on when accounts should be
raised – and these will be based on goods, services and other arrangements which will have incorporated the protected characteristics as appropriate
collected and written off – as above and the policy also considers industry standard procedures, insolvency, bankruptcy and other areas where collection may not be possible due to some of the above characteristics
Analysis of the actual or likely effect of the Policy or Service: See guidance step 4/5 Does your Policy/Service present any problems or barriers to communities or Group? Identify by protected characteristics Does the Service/Policy provide any improvements/remove barriers? Identify by protected characteristics The policy does not present any problems or barriers to communities or groups. Improvements would be due to the policy providing a consistent approach for all accounts to be raised.
What affect will the Policy/Service have on community relations? Identify by protected characteristics SLHD want all sections of community to engage with us and this policy provides clear guidelines on when charges should be raised and how to be collected thereby providing a consistent approach to all communities and groups The policy therefore should not have any detrimental impact on any community group or community relations.
Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF)
Equality Analysis Form Template v1 (2013)
Please list any actions and targets by Protected Characteristic that need to be taken as a consequence of this assessment and ensure that they are added into the Performance Management System Covalent under Equalities Actions. Website Key Findings Summary: To meet legislative requirements a summary of the Equality Analysis needs to be completed and published.
Any Specific Human Rights Implications? See guidance step 6 No there are no Human Rights Implications within the policy.
Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF)
Equality Analysis Form Template v1 (2013)
Equality Analysis Action Plan (See guidance step 7)
EA Team Leader: Nigel Feirn …………… Service Area:… Finance (Corporate Services)…… Tel: 01302 737485
Title of Equality Analysis: Accounts Receivable Policy If the analysis is done at the right time, i.e. early before decisions are made, changes should be built in before the policy or change is signed off. This will remove the need for remedial actions. Where this is achieved, the only action required will be to monitor the impact of the policy/service/change on communities or groups according to their protected characteristic. List all the Actions and Equality Targets identified
Action/Target
State Protected Characteristics
(A,D,RE,RoB,G GI ,O,SO, PM, CPM, C or
All)*
Target date (MM/YY)
There are no specific actions required in relation to Equality Analysis arising from this policy. SLHD raises charges totalling approximately £80,000 per year for a small range of transaction types. These transaction types are a result of other contractual arrangements (eg. tenancy agreements, employment contracts) or other services provided where SLHD has published charging conditions. Charges, collection and write off rates will be monitored as before and will include Equality information where possible
All Ongoing
Name of Head of Service / Service Manager who approved Plan
Nigel Feirn Date 17.03.2016
*A = Age, C= Carers D= Disability, G = Gender, GI Gender Identity, O= Other groups, RE= Race/ Ethnicity, RoB= Religion or Belief, SO= Sexual Orientation, PM= Pregnancy/Maternity, CPM = Civil Partnership or Marriage
Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF)
Equality Analysis Form Template v1 (2013)
Website Summary – Please complete for publishing on our website and append to any reports to, EMT or Board.
Completed equality analysis
Key findings Future actions
Service: Finance Function, policy or proposal name: Accounts Receivable Policy 2016-2019 Function or policy status: New policy Name of lead officer completing the equality analysis: Nigel Feirn Date of assessment: 17.03.2016
The new policy will not have any detrimental impact on different people receiving our services.
Increased monitoring or charges, collection and write off rates incorporating equality information
1
ST LEGER HOMES OF DONCASTER Board Briefing Note
1.
1.1
Background
The Governments’ Housing and Planning Bill was first introduced to Parliament in October 2015. It was launched by the Government to mark ‘the start of a national crusade to transform generation rent into generation buy’. The Bill has been making its passage through the Parliamentary process and is now entering the latter stages before becoming an Act of Parliament.
On the 9th February 2016, a line by line examination of the Bill began on the first day of Committee in the House of Lords and a number of amendments where were discussed. The committee has now had its seventh day of committee stage, with a range of further amendments being proposed, the more recent of which were around the sale of high value properties and pay to stay. The ninth and final committee stage concluded on 23 March and the Bill will now proceed for further examination at report Stage on11th April 2016.
This briefing is based on the Bill as it currently stands and does not take into account any subsequent amendments.
1.2 The Bill contains a wide range of measures relating primarily to streamlining the planning process, promoting increased house-building and providing a clear focus on the promotion of home ownership.
Within these aspects there is also contained a number of issues that are specifically relevant to St Leger Homes’ and tenants;
1. Mandatory rents for high income Local Authority tenants (‘Pay to Stay’)
2. New fixed-term secure tenancies
3. Forced sales of high value vacant Local Authority housing
This paper will provide some detail on these.
Title:
Housing and Planning Bill 2016
Action Required:
1. To note the contents of the briefing note 2. Agree to receive further briefings in relation to welfare
reforms and associated policies Item:
09
Prepared by:
Jennie Daly, Universal Credit Implementation Project Manager
Date:
6 April 2016
2
2. Mandatory rents for high income local authority tenants: ‘Pay to Stay’
2.1 Key Features Announced in the Summer Budget and contained in the Bill, the 'Pay to Stay' policy means social housing tenants with household incomes over £30,000 (outside London), would have their rent increased to market or near market levels. This measure comes into effect in April 2017 and is mandatory for Local Authorities and voluntary for Housing Associations.
2.2 It is important to note that the two highest incomes in the household are taken into account, which could include other members of the household and not necessarily just the tenants. For example, two working non-dependants in the household each earning £15,000 would meet the threshold for the tenants to be charged a higher rent (see Appendix 3 Scenarios). It is clear that a combined household income of £30k does not necessarily represent a high income household (see Appendix 2). The policy doesn’t specifically mention anything about excluding tenants of pension age so it could potentially apply to all tenants – pensioner couples could quite easily have a joint income over £30k.
2.3
In terms of administering the policy, this presents a particular difficulty in DMBC or SLHD obtaining new information regarding incomes for tenants and any other people residing in the household. This would also require regular updating of information to capture any subsequent changes to the household and income levels.
2.4 In terms of gauging the impact on tenant rent levels, market rents vary from property type and size and from area to area. These can range from an additional weekly cost of around £23 to over £100 and would clearly have a significantly adverse effect on those families where incomes are just at the threshold. In some cases it may prove a disincentive to work or increase earnings (Appendix 1 Table 1).
2.5 It is proposed that the Government will take a sum of money from Councils based on a national estimate of increased rental income from implementing the policy. This estimate is unlikely to reflect the reality of fluctuating household incomes, and is unlikely to take into account tenants moving into home ownership or the private rented sector. Housing Associations can choose to implement this policy and unlike councils, will be permitted to keep the additional income.
2.6 Responding to a range of concerns expressed through the formal Pay to Stay consultation last year and by bodies such as the Local Government Association, the Government has now published their consultation response, which has announced;
Households in receipt of Housing Benefit will be exempt - the Gov't agrees that this would effectively mean taxpayers paying for any rises and could also act as a disincentive to work/earn more
A taper will be applied above the minimum income thresholds - further details as to how this will be applied are yet to be published
There will be a taper applied on Universal Credit, with details on how it will be applied to be published later (however, this would seem to indicate that the Governments thoughts on HB are not the same when it comes to UC and UC Housing Cost claimants will not be exempt)
The Government accepts that administrative costs will be incurred for items such as updating IT systems, staffing, collecting income data and creating new rental agreements. The Gov’t stated that further work will follow with the sector to establish a ‘reasonable level to be retained’
The income thresholds are to stay as proposed (£30,000 outside London and £40,000 in London).
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2.7 2.8
The exemption of HB claimants and the introduction of a taper is certainly welcome news for tenants. However, the effect of the taper will mean that whilst the administrative burden for landlords will be even more complex to implement and manage, the potential rental income is reduced. This further reinforces the concern that the administrative costs will outweigh any perceived benefits. Given the widely reported concerns and questions raised and asked during the consultation, the detail in the response is still pretty sparse and many key questions remain unanswered. It should be noted that on 21 March, regulations relating to the Welfare Reform and Work Bill 2016 were issued. These set out a number of exemptions from the 1% rent reduction for social housing which was introduced in the Bill. The regulations include an exemption which states ‘accommodation where the total household income meet the income qualification criteria’, which is set for this purpose at £60,000 income in the tax year preceding the relevant rent year. For rents that are exempt, the regulations provides that rents for these properties can be increased by up to CPI+1% in the first relevant year. The regulation makes no direct reference to Pay to Stay, so we can only assume it will apply regardless of whether or not the landlord operates the Pay to Stay scheme (it is mandatory in any case for Local Authorities). This would indicate that landlords will need to check the income levels of all tenants in order to charge the correct rent for each household for the previous year. It is also not clear whether the £60,000 income threshold may reduce once the income threshold is determined when the Housing and Planning Bill completes its committee stages.
2.9
Impact of the Policy
Excluding the current caseload of 13,114 tenants claiming some level of HB, there still remains around 7,000 tenants who would potentially be affected by this policy and as a minimum, would be required to provide income information in order to be assessed. The task of obtaining, storing, processing and maintaining income information on this number of tenants and other members of the household is a significant task.
2.10 The proposed legislation suggests that tenants would have to provide household income information to DMBC (under current legislation HMRC is unable to provide information to ALMOs). Where tenants fail to supply this information, it suggests that the higher market rent should be applied. Whilst we need to consider ways to incentivise tenants to comply and provide information, such an approach is likely to result in rents being unfairly or incorrectly increased.
2.11 There is also an added complication in that the Government has stated that income is classed as ‘taxable income in the tax year ending in the financial year prior to the financial year in question’. This could mean that a household earning over £30k in one year but then income falls below £30k in the following year could be required to pay an increased rent. In addition, rents have to be set and notified to tenants in advance of each rent year, yet household income for the tax year to be used will not be known until after the start of the rent year.
2.12 The subsequent risks around arrears recovery action and evictions, processes for handling
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disputes and appeals etc. are unclear and are likely to require additional resources. Vulnerable tenants who may not be able to manage their own affairs could be particularly at risk of higher rents being wrongly applied.
2.13 It is extremely difficult to provide an accurate estimate of the costs of administrating this policy without further detail of exactly what Local Authorities and landlords are expected to do and how information will be shared between partners. It is clear that HMRC will play some role in providing and verifying income information, although currently the Secretary of State has not declared ALMO’s one of the bodies that HMRC can share information with. There are still a number of areas that require further detail in order to envisage how the policy will be implemented at ground level and directly impact on costs.
2.14 Those tenants who cannot afford the increased rents could be forced to move to another area to find a suitable property – as an example, the Local Government Association reported that 12% of all social tenants in the East of England would not be able to afford the increased rent nor pursue the Right to Buy and may be forced to move to other areas.
2.15 Conclusion
This policy will adversely affect those on low incomes, could penalise working families and could act as a disincentive for people to work or earn more.
Administering and regulating this policy will require considerable additional resources for no apparent gain.
The risks of applying the policy unfairly and inequitably due to incomplete information and delays are likely
Additional interactions with the tenant, as outlined above are difficult to quantify and will directly determine the costs of administering the policy.
It is likely that given the significant administrative burden of operating the policy against the potential additional revenue, the costs could well outweigh any benefits.
The more complex and demanding the system of collection is, the higher the cost will be, particularly as we await details of the taper system to be used.
Those tenants who cannot afford the increased rents could be forced to move to another area to find a suitable property
Sufficient notice and support would need to be given to tenants in advance of the rent increase in order for them to prepare for the additional costs or move to cheaper accommodation
Whilst the Government’s response to the concerns regarding the link to Housing Benefit (HB) is welcome, the same links should apply to Universal Credit
3. New Fixed-Term Secure Tenancies 3.1
Key Features For Councils, secure or ‘lifetime’ tenancies will be phased out under a new amendment to the Housing and Planning Bill introduced by the Government in December 2015. Amendments to the bill mean new secure tenancies granted after the bill comes into force will be for a period of between two and five years as opposed to the current secure tenancy which offers tenants a lifelong home which could be inherited by their next of kin – known as a succession.
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3.2 3.3
The changes mean the tenancy will be reviewed at the end of each term, with the potential for the tenant to be evicted. It will not apply to existing tenants. If a family member succeeds to the tenancy, it is proposed that this will be converted to a fixed term tenancy. Housing associations offer assured tenancies, which can be either fixed-term or lifelong, and are unaffected by the amendment as it is currently drafted. The Bill places a duty on the Landlord to carry out a review to decide what to do 6-9 months before the end of the term. The Bill sets out that one of 3 options must be taken;
Option 1: offer to grant a new secure tenancy at the end of the current tenancy Option 2: seek possession of the property but offer to grant a secure tenancy of
another property instead.
Option 3: seek possession without offering to grant a secure tenancy of another property
3.4 Impact of the Policy
3.5 For tenants, this aspect of the Bill means they will have the constant concern that their
home may be taken from them at the end of their fixed-term period and does not lend itself to encouraging settled communities.
3.6 During the Bill’s consultation period, most councils and landlords reported that they have adequate Housing Strategies and Allocation Polices to ensure the best use of their housing stock whilst maintaining balanced and strong communities. Councils feel strongly that the Bill should give Councils the powers to manage a range of flexible tenancies to best meet their local housing needs. The restriction on tenancy length will only apply to council tenants and not to those living in Housing Association tenancies.
3.7 The Localism Act 2011 introduced flexible tenancies in acknowledgement that ‘a one size fits all’ model on rents and tenancies is not the best answer to the wide range of needs and circumstances of those accessing the social rented sector. Councils have recommended through the consultation that they should retain the freedom to manage locally their Tenancy Policy and decisions over tenancies.
Further, the requirement to review each tenancy every five years would be a significant administrative burden on councils.
3.8 3.9 3.10 3.11
Conclusion This policy does not support the Councils strategic objectives and many of Doncaster’s social housing tenants will face the possibility of having their tenancy ended every 2-5 years. Sufficient resources and support would need to be given to tenants in the event of a tenancy ending in order for them to prepare for a move to alternative accommodation. Changes to the existing Councils’ Allocations Policy may need to be considered and changes to the Tenancy Agreement would be required.
4. Forced Sales of High Value vacant Local Authority housing
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4.1
Key Features
Linked to the extension of the Right to Buy (RTB) for Housing Association tenants (which has now been made a voluntary scheme), the Government provided that Housing Associations would receive a grant to reimburse them for selling their housing stock to tenants at a discounted price. The Government is to fund this by ‘requiring Local Authorities to manage their housing assets more efficiently’.
4.2 People will not have to move out of their homes, but those Local Authority properties that rank amongst the most expensive third of all properties of that type in their area - including private housing, will be sold off when they fall vacant and replaced in the area with affordable housing. Any surplus proceeds will be used to fund the extension of the Right to Buy.
4.3 Similar to the Pay to Stay policy, it is anticipated that Local Authorities will be required to make payments to the Government at the beginning of the financial year, based on a ‘determination on the value of social housing which is expected to become vacant that year’. If properties are not subsequently sold, the Local Authority would have to bear that financial burden. The Bill also makes provision for the determination to be made part-way through the year (i.e. if the Bill is passed after April 2016, the Council may still be required to make a payment in that year). ‘High Value’ may be defined differently in different areas.
4.4 Impact of the Policy
4.5 4.6 4.7
There is a lack of clarity currently as to how the determination will be calculated, so a number of scenarios have been profiled to gauge the potential impact on DMBC and SLHD – these range from no financial impact to £20m (£4m per year for 5 years). For example, in April 2015 the Conservative Party published a table showing the values over which council homes would be sold (Appendix 1 Table 2). When applied to Doncaster, there are no properties above this threshold that would require to be sold; therefore there would be no financial impact. However, there is no confirmation that these are the values which will be applied when the policy is implemented. In a separate briefing it was suggested that the formula may be based on replacing 5% of the Housing Association stock in the local authority area, which in Doncaster would equate to £20m (i.e. £4m per year for 5 years). It is possible the formula may fall somewhere between these two scenarios
4.8 Conclusions
Assumed ‘high-value’ council house sales do not take account of local circumstances A number of research projects and national studies have concluded that sales
proceeds are likely to ‘produce levels some way below the original expectations’ and these are unlikely to fully cover the cost of LA replacements and reimbursing Housing Association for their RTB sales
Until clearer regulations are produced, it is difficult to assess the financial impact of this policy
Councils will be required to make a payment to the Government before they’ve received the proceeds from any sales, leaving them exposed to the risk of properties not becoming vacant at the expected rate and of sales income being lower than anticipated
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The Chartered Institute of Housing warns that proceeds will be much lower than the government says, leaving little left after paying for right to buy discounts to pay for replacement council homes and brownfield regeneration.
There needs to be clearer guidance in the Bill to ensure that any replacement homes meet the needs of local communities and have a tenure mix that reflects local circumstances
Appendix 1
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Table 1 Comparable rent levels
1bed 2bed 3 bed 4 bed 5 6 7 SLHD 61.54 69.70 76.78 88.93 91.01 103.78 153.32 Private Rented Sector
85.00
103.00 121.00 173 No data No data No data
Weekly Difference (£)
23.46 33.30 44.22 84.07 - - -
*Doncaster Housing Needs Assessment
Table 2 Showing possible value thresholds
*Inside Housing, 14 April 2015 - Sale of high value local authority housing stock
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Appendix 2
The Minimum Income Standard
The Minimum Income Standard (MIS) shows how much money people need so that they can buy things that members of the public think everyone in the UK should be able to afford.
MIS asks members of the public what goods and services they believe different types of households require to live to an adequate level
The standard is updated annually in response to changes in living costs and to the tax and benefits system
In 2015, a single person household requires an income of £17,100 a year before tax to achieve MIS.
Couples with two children need to earn £20,000 each. (Hirsch, 2015)
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Appendix 3
Pay to Stay Scenarios
1. Tenant is a pensioner with a State Pension of £8,000 per annum, an occupational pension of £4,000 per annum and £3,000 in savings. She has a non-dependant living with her who works for SLHD as a bricklayer (Grade 4) with an income of per annum (£20,849 - £24,472). The total household income exceeds £30,000 so would be subject to the rent increase.
2. Tenant earns £12k per year and doesn’t claim any benefits. Her son and daughter live with her and both work 40 hours per week at the National Living Wage (£14,976 each). However, as one of them also gets a bonus from their employer of £200, the household would be subject to the rent increase.
3. Tenant works at a call-centre with a basic wage of £19,000 but with overtime gets £23k per year. Her daughter works as a hotel receptionist earning £16k per year. The daughter leaves the family home and takes a new SLHD tenancy with her boyfriend who is a store detective earning £17,500 per year. Q. Will the daughter’s income be counted at both addresses for the rent year?
Note: all scenarios are based on income received in the previous financial year and ‘real’ jobs and salaries from either SLHD or using Universal Jobmatch.
Assumptions based on existing rent formulas
1
ST LEGER HOMES OF DONCASTER LTD Company limited by guarantee registered in England
Company Number 05564649
Board Meeting
REPORT
Date
:
06 April 2016
Item
:
10
Subject
:
SLHD Budgets 2016/17, 2017/18 & 2018/19
Presented by
:
Julie Crook Director of Corporate Services
Prepared by
:
Julie Crook Director of Corporate Services
Purpose
:
To seek Board approval for the three year budgets.
Recommendation: It is recommended that Board approve the three year budgets.
2
Company Number 05564649 A Company Limited by Guarantee Registered in England To the Chair and Members of the Agenda Item No: 10 ST LEGER HOMES OF DONCASTER BOARD Date: 06 April 2016 1. Report Title 1.1 SLHD Budgets 2016/17, 2017/18 and 2018/19. 2. Background 2.1 The Board is required to approve the Company’s budget at the
commencement of the relevant financial year. Appendix A shows the total budget for SLHD.
2.2 SLHD aims to set a balanced budget each year where income equals
expenditure, the income and expenditure budgets for 2016/17 are £41.7m. 2.3 SLHD receives four main sources of income:
Management fee from the Housing Revenue Account (HRA) Management fee from the general fund (GF) Capital management fee from the housing public sector capital
programme for managing the delivery of the housing capital programme and
Income for the completion of capital works 2.4 The Council’s budgets were approved on 1 March, these included the
management fees which we receive from the HRA, the public sector capital programme and the general fund.
2.5 The following paragraphs give more information on the main sources of
income; 2.5.1 Management fee from the HRA, £27.3m (65% of total income)
This budget was reduced by £9.5m over the five year period 2010 to 2015. For the three financial years 2015/16 to 2017/18 it was agreed that this budget would be not be increased for inflation and that St Leger Homes would find savings/efficiencies to pay for inflationary increases, we can however bid for additional funding for growth items and for the return of any surpluses. In 2016/17 there has been a £479k increase in this budget to fund the changes to employer’s national insurance contributions.
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2.5.2 Management Fee from the General Fund, £1.0m (2% of total income)
This source of income is in respect of services which transferred into SLHD in April 2014. This budget was unchanged from 2014/15 to 2015/16 and has reduced slightly in 2016/17 and it is assumed that it will remain at the same level during this budget period.
2.5.3 Capital Management Fee, £1.5m (4% of total income)
This budget was reduced by £2.0m in 2011/12 but has remained at broadly the same amount since then and there are no plans to significantly change this figure in the future. Should the level of overall capital expenditure drop significantly then it is likely that this budget would need to reduce.
2.5.4 Income from Capital Works, £10.7 m (26% of total income)
This income is money paid to SLHD for the completion of capital/improvement works on the council owned properties and estates. This budget has increased in recent years, initially as productivity was increased within the workforce that created additional capacity and in 2016/17 this budget has remained broadly the same.
2.5.5 Other Income, £1.1m (3% of total income)
This budget includes such things as grants, heating charges, gardening service, income from the welfare benefit reform fund and other miscellaneous income.
2.6 Implications of the Housing and Planning Bill 2015/16
A budget update has been provided to each Board meeting since July 2015 following the announcements in the Government’s Summer Budget. We are waiting for the full details and the financial impact for two major policy changes;
Sale of High Value Empty Properties and Pay to Stay
The direct impact of these two policy changes will be on the Council’s Housing Revenue Account and it is highly likely that these changes will result in less resources being available to deliver services to tenants. The sale of high value empty properties policy change will probably be implemented during the 2016/17 financial year and it is estimated that this could cost the HRA up to £4.0m a year. The Pay to Stay policy change will be implemented with effect from 1 April 2017 and it is very difficult to estimate the financial implications of this change. We are working with DMBC to manage the impact of these policy changes on the HRA, capital budgets and SLHD and at this stage the budgets which are set for 2017/18 onwards could be subject to significant changes.
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3. Budget 2016/17
3.1 Appendix A shows a balanced budget for 2016/17 although it does include a savings target of £34k, the 2015/16 budget included a savings target of £59k and we are on target to achieve that target and return a small surplus to both the HRA and the GF. Income and expenditure will be monitored carefully throughout the year to ensure that this target is achieved. The most significant variances in the expenditure budgets are highlighted below, all budgets have been calculated in collaboration with staff from finance and budget holders (there has been a significant increase in the ownership and knowledge about budgets across the business and this has been helpful in the budget process). Non staffing budgets have been calculated on a zero based approach and reflect savings and pressures which will continue from 2015/16 into 2016/17.
3.2 There has been a line by line analysis of the whole budget and significant
areas of savings have been identified most notably in supplies & services, Service Level Agreements (SLAs) and additional income generation. In addition to this a number of savings targets have been identified, these are; Description £000sPrinting & stationery 20Private landlord (St Leger lettings) 17Scaffolding 50Additional income from the gardening team 20Increased capital income (less contractors) 100 207
3.3
Employees budget, increased by £1,039k This increase is as a result of; £000sEstimated Pay award at 1% 248Impact of changes to NI 479Staff TUPE’d from DMBC 84Other additional staff – 17 posts 440Increase in the vacancy factor -248Increments -31Increased temporary staff budget 67 1,039
The main components within the other additional staff relate to the new lettable standard being rolled out in 2016/17. This assumes additional staff are required to repair and clean empty properties which are partly offset by efficiency savings in responsive repairs.
5
3.4 Premises budget; The overall budget has been reduced by £39k. The main reduction is in the budget for utilities and the main increase is in the repairs and maintenance budget which reflects the need to spend on a number of our office premises.
3.5 Transport budgets;
This overall budget has increased by £205k which reflects a greater number of fleet vehicles required to deliver the service and the increased costs for the 71 vehicles which have been replaced during 2015/16. We have seen significant savings on fuel during the 2015/16 financial year (approx £100k) and we are hoping that these savings will continue into future years but the budget has not been reduced due to the potential volatility of fuel prices.
3.6 Supplies and Services;
The overall decrease in these budgets is £329k and all budgets with the exception of insurance and postage have decreased for 2016/17, these reductions reflect current expenditure patterns and savings targets across the whole organisation.
3.7 Materials;
The materials budget is £50k lower in 2016/17 than it was in 2015/16. Overall expenditure is expected to reduce by £140k as a result of new procurement contracts. There has been considerable pressure on the materials budget during 2015/16, some of this pressure was due to one off items that will not recur. The budget for 2016/17 has been set in conjunction with Service Managers and the Head of Service for repairs and maintenance and applies the knowledge which has been gained during 2015/16.
3.8 Service Level Agreements;
This budget has reduced by £176k to reflect the TUPE transfer of the Communications Team back to SLHD and reductions in the estimated cost of legal services and some financial services.
3.9 Other Income;
This budget has increased by £286k which includes additional income relating to district heating of £136k and one off income of £150k.
3.10 Voids ;
Following the approval at November 2015 Board meeting to roll out the voids pilot working across the whole Borough the following additional costs and savings have been included in the budget;
6
£000s £000s Additional costs Staffing – painters, cleaners & plasterers 592 Vehicles 23 Materials 60 Gardening 45 Sub total 720
Savings Efficiencies in responsive repairs -119 Materials -76 Paint packs -53 Void cleaning/rent free weeks -95 Skips -17 Sub total -360 Net additional costs for voids project 360
These costs are £76k higher than those assumed in November 2015 (£284k) as at that time it was assumed that the whole of the voids cleaning/rent free week budget could be saved but that budget also includes the costs for void screening and security.
4. Budget Implications 2017/18 & Future Years 4.1 The financial impact of the policies implemented following the approval of
the Housing & Planning Bill 2015/16 could be significant in future years and the impact of the further rollout of Welfare Benefit Reform, most notably the continued rollout of universal credit, therefore it is likely that the SLHD budget may need to change as a result of these changes. At the current time the income budgets for SLHD reflect the expenditure budgets which were approved within the Council’s budgets. Detailed capital budgets have not been set for Housing beyond 2016/17 as it was felt that the potential changes to policy could have a significant impact.
4.2 The management fee from the HRA will not be increased for inflation in
2017/18 but it has been assumed that there will be an increase in the management fee to cover the revaluation of the pension fund and the introduction of auto enrolment for the pension fund at this stage these changes are estimated at £200k.
7
The savings required in 2017/18 are as a result of the following assumptions; £000sPay award at 1% 230Increments 25General inflation 100Loss of one off income 150 505
It has been assumed that the fee will be increased to cover inflationary pressures from 2018/19 onwards and therefore the deficit does not increase.
4.3 General fund budgets are under extreme pressure as a result of funding
changes across all Local Authorities, it has therefore been assumed that the management fee from the general fund will remain at the same level.
4.4 Following the implementation of job evaluation with effect from 1 April 2015,
there will be a period up to December 2016 when appeals against grades will be ongoing. The outcomes of appeals need to be carefully monitored and their impact on future year’s budgets will need to be evaluated once the outcomes are known. The implementation report estimated that following appeals there could be further increased staffing costs.
4.5 An apprenticeship levy will be introduced with effect from 1 April 2017, the
full details of this are not yet known but what we do know is that a 0.5% charge will apply to the salaries (basic pay) budget which is estimated at £90k and we have anticipated that £15k per annum will be paid for all new apprenticeships. At this stage we have estimated that we will employ 6 new apprentices during 2017/18 and therefore this policy change will have no overall cost impact. As an organisation during 2016/17 we will be reviewing a number of roles within the business and looking to increase the number of apprentices which we employ across the business.
4.6 The current budget projections show that savings of £34k are still to be
identified to balance the 2016/17 budget and £505k to balance the 2017/18 budget.
4.7 The Board will be kept updated of the overall financial position and the
necessary savings will be identified before the 2017/18 financial year. 5. Procurement 5.1 SLHD needs to ensure that it continues to gain maximum procurement
efficiencies from all contracts.
8
6. VFM Considerations 6.1 Efficiency and value for money principles have been adopted throughout the
budget setting process. 7. Financial Implications 7.1 All financial implications are considered in the body of the report. 8. Legal Implications 8.1 There are no legal implications arising from this report. 9. Risks 9.1 The budget efficiencies which need to be identified in 2016/17 and 2017/18
are less significant than the budget reductions in previous years but this still needs to be managed carefully to ensure that these savings are delivered.
9.2 There are significant policy changes which are in progress but the financial
implications of them are not yet known. The estimated financial risk of the sale of high value vacant properties was £20.0m over 5 years in the Council’s HRA budget report and the potential financial risk of the Pay to Stay policy was £0.5m per annum. Financial changes of this magnitude would have a significant impact on SLHD and services to Tenants.
9.3 Robust systems are in place to monitor both expenditure and income
budgets. 9.4 The strategic and operational risk registers for the organisation are reviewed
regularly and the impact of budget reductions will continue to be carefully considered.
10. Report Author, Position, Contact Details 10.1 Julie Crook
Director of Corporate Services Tel 01302 862710
11. Background Papers 11.1 Appendix A - SLHD Three year budgets
Housing Revenue Account Budget 2016/17 – Council Meeting 1 March 2016Capital Programme 2016/17 to 2019/20– Council Meeting 1 March 2016 Budget Updates – SLHD Board 26 July 2015, 30 September 2015, 3 November 2015 (Strategic Planning Event) and 25 November 2015.
Appendix A
2015/16
Budget Draft Budget Draft Budget Draft Budget£000's £000's £000's £000's
Management Expenditure
EmployeesDirect Employee Expenses 22,699 23,712 24,223 24,478Indirect Employee Expenses 478 468 468 468Agency Staff 11 78 78 78Training 215 220 220 220Total Employees 23,403 24,478 24,989 25,244
PremisesUtilities 826 733 733 733Rates 173 160 160 160Furniture 7 29 29 29Repairs & Maintenance 271 333 333 333Premises - Other 806 790 790 790
TransportFuel 419 424 424 424Transport & Plant 1,274 1,513 1,513 1,513Transport - Other 101 62 62 62
Supplies and ServicesProvision for General Inflation 0 0 100 200IT Equipment 561 484 484 484Printing & Stationery 232 200 200 200Postage 102 106 106 106Insurance 306 336 336 336Communication 91 47 47 47Materials - Building Services 5,842 5,792 5,792 5,792Supplies and Services - Other 2,016 1,841 1,875 1,875
Service Level Agreements 2,914 2,738 2,738 2,738
Total Management Expenditure 39,344 40,066 40,711 41,066
Maintenance Expenditure
External Maintenance Contractors (Revenue) 805 730 730 730External Maintenance Contractors (Capital) 405 883 883 883
Total Maintenance Expenditure 1,210 1,613 1,613 1,613
Gross Expenditure 40,554 41,679 42,324 42,679
IncomeManagement Fee - HRA -26,873 -27,352 -27,552 -27,907Management Fee - General Fund -997 -993 -993 -993Management Fee - Capital -1,500 -1,500 -1,500 -1,500Recharges to Capital Schemes (In house) -9,905 -9,791 -9,791 -9,791Recharges to Capital Schemes (Contractors) -405 -883 -883 -883Other Income -874 -1,160 -1,100 -1,100
Total Income -40,554 -41,679 -41,819 -42,174
Surplus(-) / Deficit 0 0 505 505
St. Leger Homes of Doncaster Ltd Draft Budget 2016/17
2016/17 2017/18 2018/19
1
ST LEGER HOMES OF DONCASTER
Board Briefing Note
Title:
2016/17 Annual Development Plan and Key Performance Indicators
Action Required:
For information
Item:
11
Prepared by:
Stephen Thorlby-Coy, Head of Business Excellence
Date:
6 April 2016
1 Purpose 1.1 To provide Board members with an updated on the proposed Annual Development Plan
(ADP) for 2016/17. 1.2 The 2016/17 ADP (Appendix A) aligns forty-four proposed key activities against the
strategic objectives as set out in the SLHD 2015 – 2020 Business Plan. 1.3 The 2016/17 Key Performance Indicators (KPI) continue to track the performance in the ten
areas monitored during 2015/16 (Appendix B). 1.4 The activities set out in the ADP are intended to ensure delivery of the KPI, providing an ‘at
a glance’ assessment of the organisation’s performance. ADP activities are also planned in response to strategic risks, and are delivered via a series of more operationally focused Service Delivery Plans (SDP).
2 Background 2.1 The eight strategic objectives identified in the Business Plan provide a framework to
maintain focus through six strategic priorities. The 2016/17 ADP aims to deliver year two of the five year Business Plan, and directly aligns actions set out in the Business Plan to the six strategic priorities, which are:
1. Enhancing our housing offer by providing greater access to housing and creating multi-tenure options
2. Improving community engagement 3. Making a real contribution to social and economic regeneration 4. Exploring the use of sustainable methods of energy efficiency 5. Defining and developing relevant partnerships 6. Improving our systems and processes to better support tenants and customers
2.2 The 2016/17 ADP reflects output from the Board Strategic Planning event in November
2015, planning sessions undertaken by the Leadership team, and contributions from Board members at the February Board training session.
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2.3 The 2016/17 ADP also provides an indication of the alignment with Mayoral priorities. The Mayor has received a briefing regarding the 2016/17 ADP and is supportive of its content.
3 2016/17 Annual Development Plan 3.1 The 2016/17 ADP contains forty-four individual milestones relating to the six strategic
priorities. Members of the leadership team are assigned a leading responsibility for each milestone and, as with the current year’s ADP, progress will be reported quarterly.
3.2 In summary, the 2016/17 ADP contains 44 milestones against 25 actions, of which: 16 milestones represent activities continuing from 2015/16 into 2016/17 13 milestones represent new pieces of work commencing in 2016/17 15 milestones follow-on from milestones achieved in 2015/16 by entering a new
phase of work 4 2016/17 Key Performance Indicators 4.1 The 2016/17 draft KPI (Appendix B) provide an ‘at a glance’ view of the organisation’s
performance in ten areas. The ten areas remain the same as in 2015/16. 4.2 The performance targets for 2016/17 have changed from the targets set for 2015/16. In
summary: 7 of the 10 targets for 2016/17 are set at the same level as the 2015/16 targets 2 are higher targets than 2015/16 (sickness, complaints) 1 is a reduced target from 2015/16 (void rent loss)
4.3 All targets are considered to be challenging in the current environment. 4.4 Performance will continue to be reported to Board quarterly. 5 Appendix 5.1 Appendix A – 2016/17 Annual Development Plan 5.2 Appendix B – 2016/17 Key Performance Indicators
2016/17 - Annual Development Plan
Key: Continuing from 2015/16 or ongoing
Next phase of work in this area
New for 2016/17
ADP Strategic Priority
Reference
SLHD Strategic Priority
SLHD Strategic Objectives
Outcome Action to achieve outcome Milestones
New Next Phase
Continuing Overall target date Targets / Measures
MayoralPriority
Strategic Risk Register Reference
1.1.1 Undertake demolitions where required to enable delivery of council house phase two new builds June 2016
Tenant decant and Completed demolitions, delivery of communications plan.
3
1.1.2 Review opportunities to support new builds and acquistions within the borough with DMBC and other partners. From April 2016 and ongoing Reports to quarterly challenge groups 3
1.1.3 Establish and agree a role for SLHD in the council's housing delivery model and potentially lead on older people's housing options June 2016 Working project group established 3
1.2.1 Develop and agree a Gypsy & Traveller and residential investment plan June 2016 Investment strategy agreed 3
1.2.2 Deliver Gypsy & Traveller and residential investment plan Year 1 of the plan delivered by March
2017Number of sites or plots to be improved during the year 3
1.2.3 Conclude development of remaining investment strategies March 2017 (Excluding Garages,
Communal Halls - 2018)Shops, communal areas, HRA paths - completed strategies 3
1.2.4 Rollout of new voids process across all areas Phased rollout across the borough by
March 2017Customer satisfaction, value for money 3
1.3.1 Develop St Leger Lettings into a cost effective and high performing, marketable social lettings agency March 2017
Numbers managed, cost of service, customer satisfaction, improved return on investment
2
1.3.2 Work with housing options to reduce homelessness through the private rented sector December 2016 and ongoing
Number of homeless preventions achieved through private landlords
2
1.4 Achieve Gold Standard for the homeless service1.4.1 Implement the Gold Standard Delivery Plan Achieve silver standard by March 2017 Achievement of Silver standard 3
1
Maintaining and improving homes and properties by investing wisely and managing effectively
Enhancing our housing offer- Greater access to housing- Creating multi tenure options
To meet the housing need by improving the quality and increasing the supply of housing, providing greater choice and being able to respond to future changes in customers' needs.
1.1 Working with DMBC on housing delivery model and new build, incorporating new builds and acquistions
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1.2 Continue to develop and deliver our investment strategies
1.3. Developing the range of services our private sector landlord scheme offers
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2016/17 - Annual Development Plan
Key: Continuing from 2015/16 or ongoing
Next phase of work in this area
New for 2016/17
ADP Strategic Priority
Reference
SLHD Strategic Priority
SLHD Strategic Objectives
Outcome Action to achieve outcome Milestones
New Next Phase
Continuing Overall target date Targets / Measures
MayoralPriority
Strategic Risk Register Reference
2.1.1 Deliver and embed the actions within our 3 year Customer Involvement Strategy Action Plan March 2017 Actions delivered as per the action plan 1
2.1.2 Evaluate and consult on Customer Involvement strategy to inform the review for 2017/18 March 2017 Consultation completed 1
2.1.3 Improve engagement and involvement with Gypsy & Traveller community April 2016 and ongoing
Implement recommendations from Joseph Rowntree Foundation report - March 2017; Regular attendance at G&T liaison meetings (as appropriate)
1
2.1.4 Deliver the young person's involvement strategy December 2016 Delivery of action plan 1
2.2 Implement Customer Access Strategy to ensure methods are modern, inclusive and provide choice
2.2.1 Deliver Customer Access Strategy year 1 action plan March 2017
Year 1 Action plan delivered. Number accessing our services by different methods.
1
2
Ensuring we are a customer focused organisation by putting our tenants and customers at the heart of what we do
Improving community engagement
Confidence that we are providing services which meet our customers' needs, build confident communities and recognise SLHD as a truly inclusive organisation
2.1 Deliver Customer Involvement Strategy
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2016/17 - Annual Development Plan
Key: Continuing from 2015/16 or ongoing
Next phase of work in this area
New for 2016/17
ADP Strategic Priority
Reference
SLHD Strategic Priority
SLHD Strategic Objectives
Outcome Action to achieve outcome Milestones
New Next Phase
Continuing Overall target date Targets / Measures
MayoralPriority
Strategic Risk Register Reference
3.1 Continuing to deliver the environmental programme3.1.1 Deliver environmental improvement schemes as identified and to budget. March 2017 Deliver £1.25m of environmental improvement works.
3.2 Develop and implement the Tenant Sustainability Strategy
3.2.1 Develop strategy for Board approval. December 2016 Strategy developed 2
3.3. Review procurement and supply chain operations to optimise commercial opportunities and also support local businesses
3.3.1 Review and plan how we maximise procurement opportunities and support local businesses (specifically procurement) December 2016
Demonstrable evidence of cost savings and support provided to local businesses
3.4 Continue to enhance training, skills and employment opportunities
3.4.1 Review and develop future World of Work (WOW) strategy and continue delivery of WOW programme Revised strategy - December 2016.
Delivery from April 2016 and ongoingNumber of people completing WOW programme
3.5.1 Deliver actions from 2015/16 social audit March 2017 Action plan delivered 2
3.5.2 Develop social accounts for 2016/17 June 2016 Report delivered 2
3.6.1 Deliver universal credit action plan March 2017 Action plan delivered and monitor impact of Universal Credit 2
3.6.2 Respond and plan for welfare benefit changes June 2016 Action plan developed and commence implementation 2
3.7.1 Implementation of gas servicing to the private sector (subject to Board approval) August 2016 New business generated
3.7.2 Refine list of opportunities for business growth and diversification identified in 15/16 March 2017
List of opportunities to pursue in 2016/17, with specific emphasis on those with a positive impact on the environment
3
Ensuring we are a customer focused organisation by putting our tenants and customers at the heart of what we do
Ensuring we deliver Value for Money by making best use of our resources
Making a real contribution to social and economic regeneration
A key partner in helping make Doncaster a place where people want to live and work. Enhanced and improved skills and employment opportunities. Increased social and economic impact of SLHD. Maximised new business opportunities.
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3.5 Understand the impact of SLHD's contribution to social and economic regeneration
3.6 Work with DMBC to deliver priorities to address poverty
3.7 Identify opportunities to generate income from new potential customers by expanding our service offer
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2016/17 - Annual Development Plan
Key: Continuing from 2015/16 or ongoing
Next phase of work in this area
New for 2016/17
ADP Strategic Priority
Reference
SLHD Strategic Priority
SLHD Strategic Objectives
Outcome Action to achieve outcome Milestones
New Next Phase
Continuing Overall target date Targets / Measures
MayoralPriority
Strategic Risk Register Reference
4.1.1 Develop and implement Environmental Strategy working with key stakeholders October 2016 Strategy developed, action plan developed 2
4.1.2 Implement the action plan to deliver the Environmental Strategy March 2017 Progress against action plan 2
4.1.3 Understand our current carbon footprint and set improvement targets March 2017
Establish baseline for amount of waste and opportunities for reduction
2
4.2 Deliver ECO project plan4.2.1 Year 2 of the ECO plan delivered and improvements to properties made March 2017 Improvements delivered to agreed number of properties 2
4.3 Raise customer awareness of energy costs and options
4.3.1 Collect data on tenants energy services and payment arrangements, and provide tailored advice for existing and new tenants. March 2017
Number of customers contacted and provided with information
2
5.1.1 Mapping existing and potential partnerships June 2016 Clear understanding of SLHD key partnerships 2, 1
5.1.2 Develop and commence implementation of a partnership strategy following the outcome of the mapping exercise September 2016 Partnership strategy and implementation plan to Board 2, 1
5.2.1 Assess the value and our role within existing partnerships June 2016 Documented as per 1.1 above 2, 1
5.2.2 Establish agreements with each partner to maximise outcomes and agree appropriate methods of clarifying October 2016 onwards Agreed responsibilities and benefits / expected outcomes 2, 1
5.3 Risk assess impact of dependency on specific partners and develop mitigation plans
5.3.1 Assess risks to continued service delivery and adequacy of contingencies September 2016 Risk matrix with contingencies where necessary 2, 1
5Ensuring we deliver Value for Money by making best use of our resources
Defining and developing relevant partnerships and being clear about our role within them
Effective contribution and outcomes from all of our partnership working. Recognised as playing a key role as a strategic partner in delivering the Doncaster vision. Forming and developing partnerships to respond to a changing environment.
5.1 Identify strategic partnerships and understand our role within them
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5.2 Clarify roles, contribution and expected outcomes of all partnerships
4
Ensuring we deliver Value for Money by making best use of our resources
Maintaining and improving homes and properties by investing wisely and managing effectively
Exploring the use of sustainable methods of energy efficiency
Reduction in carbon footprint, addressing fuel poverty, and reducing waste generated.
4.1 Develop and implement Environmental Strategy
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2016/17 - Annual Development Plan
Key: Continuing from 2015/16 or ongoing
Next phase of work in this area
New for 2016/17
ADP Strategic Priority
Reference
SLHD Strategic Priority
SLHD Strategic Objectives
Outcome Action to achieve outcome Milestones
New Next Phase
Continuing Overall target date Targets / Measures
MayoralPriority
Strategic Risk Register Reference
6.1.1 Develop a revised ICT strategy July 2016 Strategy approved by Board 1, 4
6.1.2 Develop an ICT improvement plan in line with the revised ICT strategy September 2016
Documented ICT improvement plan with corresponding actions
1, 4
6.2 Develop and deliver a strategy to provide clean, accurate, accessible customer and business data that can be accessed, shared and maintained appropriately and within legislative constraints.
6.2.1 Perform baseline assessment of existing data and implement a plan to address any gaps and inconsistencies March 2017
Completion of assessment. Action plan implemented and progress reported.
1
6.3.1 Investigate best practice approaches to Customer Relationship Management (CRM) and develop an implementation project plan March 2017 Project plan developed 1, 4
6.3.2 Establish informal external ICT peer group for best practice sharing December 2016 ICT peer group meetings
6.4 Review and update the Value for Money (VFM) strategy
6.4.1 VFM Strategy developed and approved June 2016 Strategy approved. 1
6.5 Develop and implement a programme of business improvement reviews
6.5.1 Launch the new Business Excellence service establishing a framework for prioritising areas of work and delivering a range of interventions
May 2016Framework established and communicated, programme of Business Transformation reviews delivered and reported to EMT
4
6.6.1 Deliver year two of the People Strategy Action Plan March 2017 Progress reported quarterly against plan 1
6.6.2 Develop and implement a new 'People Development' policy November 2016 Policy developed and implementation started 1
6Improving our
performance to build on our
excellent service delivery
Improving our systems and processes to ensure we
collect and use appropriate data
intelligently to improve services
and better support tenants and customers
Fit for purpose systems and processes to
enable excellent service
delivery. Trusted data that informs
effective decision making.
6.1 Continue to review and develop the integrated IT systems to ensure fitness for purpose for current and future business needs
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6.3 Actively seek out best practice amongst our peers and other organisations
6.6 Develop our workforce to enable excellent service delivery
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KPIReference
Directorate KPI2010/11 Outturn
2011/12 Outturn
2012/13 Outturn
2013/14 Outturn
2014/15Outturn
2015/16Targets / Measures
2015/16Performance
to end Q3
Suggested2016/17
Targets / Measures
Notes
KPI 1% of current rent arrears against annual debit
1.62% 1.44% 2.00% 2.74% 2.67% 2.54% 2.78% 2.54%Lower is Better
The target for 16/17 will reflect the 15/16 out-turn.
KPI 2Void rent loss % (£) of rent loss through vacant dwellings
1.31% 1.02% 0.90% 1.02%1.19%
£875,3070.92%
1.41%£797,049
1.19%
Estimated £899,366 based
on 15/16 estimated
annual debit
Lower is Better
Improvements to the void property standard & management process/structure will take all year to introduce and does not resolve the 'difficult to let' issue. High level HRA target is 1.5%
KPI 3
Number of households in temporary accommodation
New KPI13
10 7 10Lower is Better
10 is a 'stretch' target.
KPI 4
Number of households maintaining or established independent living
New KPI38
40 34 40Higher is Better
Contractual target.
KPI 5
Analysis of complaints - Service Failure against Service Dissatisfaction
46% service failures (541)
36% service failures (399)
36%service failures(411)
30%(309)
20%ServiceFailure
25% Service Failure
21% 20%
Lower is Better
Service failure has been regularly below 25% of total complaints during the year. Dissatisfaction levels are less than 1% of all jobs raised.
KPI 6 Right First Time N/A 96.26% 96.31% 97.07% 97.3% 98% 97.8% 98.0% Higher is Better
KPI 7 Scheduled Repairs 98.81% 96% 100% 98.9% 100%
Higher is Better
Stretch target, achievable with tolerances to be introduced.
KPI 8Gas Servicing - % of programme complete
99.97% 100% 100% 100.00% 100%100% Top Quartile
100% 100% Higher is Better
KPI 9Days lost through sickness per FTE
11.40 days
8.15 days 9.48 days10.98 days
9.58 days 8 days 6.07 7.9
Lower is Better
Various initiatives such as leadership development are anticipated to contribute to reducing sickness levels through effective management alongside investment in staff development and engagement.
KPI 10% of invoices paid within timescale
95.00% 82.00% 95%
Higher is Better
Target is achievable and is line with DMBC and national targets for public bodies (we need to publish performance on website)
PR
OP
ER
TY
SE
RV
ICE
S
Not measured
C
OR
PO
RA
TE
SE
RV
ICE
S
Not measured
APPENDIX B - 2016/17 KPI
HO
US
ING
SE
RV
ICE
S
Not measured
Not measured
11- KPIs 2016-17 v4
1
ST LEGER HOMES OF DONCASTER Board Briefing Note
Title:
Strategic Risk Register
Action Required:
That Board note the content of this briefing note
Item:
12
Prepared by:
Nigel Feirn, Interim Head of Finance
Date:
06 April 2016
1 Purpose 1.1 This briefing note has been prepared to update Board on the revisions made to the SLHD
Strategic Risk Register following review during the Business Planning process, EMT and Board Strategic Planning sessions.
1.2 Board are asked to agree the Strategic Risk Register for 2016/17. 2 Executive Summary 2.1 The strategic risks have been identified and developed in conjunction with the five year
business plan and Annual Development Plan (ADP), with input from Board and Leadership. At an operational level, Heads of Service and Service Managers have developed Service Plans and Operational Risk Registers which align to the strategic documents above.
2.2 The revised Strategic Risk register is attached at Appendix 1. It consists of four strategic risks : Delivery of relevant and appropriate services; Managing the impact of the current economic climate; Maintaining and improving existing assets, and investing wisely to increase the
asset base; Developing and maintaining adequate ICT systems.
2.3 The Board last reviewed the Register in February 2016 and the main items to note in the period since are : Existing controls Completion of the realignment; Delivery of year 1 of the People Strategy actions; Ongoing completion of 2015/16 ADP actions.
New actions required Being aware of impact of Housing and Planning Bill; Understanding costs for all services for planning and budgeting.
2
3 Risk Status
3.1 Of the four strategic risks, the risk ratings (out of a maximum 25) are as follows. Risk Inherent Residual Delivery of relevant and appropriate services 16 12 Managing the impact of the current economic climate 25 20 Maintaining and improving existing assets/investing wisely to increase the asset base
16
9
Developing and maintaining adequate ICT systems 15 12
3.2 A number of actions are ongoing or are planned to minimize and mitigate these risks and can be seen on Appendix 1
4 Monitoring and Reporting 4.1 Actions for further control will continue to be monitored at EMT with a formal quarterly
review of the status of all strategic risks. The outcome of this review will be tabled at Board / Audit Committee on a quarterly basis.
5 Contact officer 5.1 Julie Crook, Director of Corporate Services
01302 862710
Risk Ref
Risk Owner
Risk description Type of risk Cause ConsequenceInherent
likelihoodInherent impact
Inherent risk
Existing controls Current assuranceResidual likelihood
Residual impact
Residual risk
Action for further control Action owner Due date
Describe the risk What might cause the risk to occur? What are the possible consequences if the risk occurs?
1=Very Unlikely2=Unlikely3=Possible4=Likely 5 = Very likely
1=Slight2=Moderate3=Significant4=Major 5 = Critical
Impact score x
likelihood score
What existing processes / controls are in place to manage the risk?
What are the current assurance activities around the risk?
1=Very Unlikely2=Unlikely3=Possible4=Likely 5 = Very likely
1=Insignificant2=Low3=Medium4=High 5 = Very High
Impact score x
likelihood score
What further action (if deemed necessary) is planned to treat the risk?
Who is responsible for developing and
implementing the actions?
When are agreed actions to be delivered by?
Complete Leadership development programme Phase 2 (LD2)- Support & Challenge Groups- Action learning groups
S Jordan Sep-16
Develop people, recruitment & retention, skills, ageing workforce, IT system, partnership workinga) Implementation of year 2 People Strategy action planb) Partnership strategy, mapping and evaluationc) Develop and deliver revised IT strategy
a) J Crook
b) J Jones
c) J Crook
Mar-17
Oct-16
Sep-16
Deliver Customer Involvement Strategy J Jones Mar-17
Develop clean, accurate and accessible data. J Crook Mar-17
Develop project and implement a Customer Relationship Management (CRM) System
J Jones To be agreed (Mar-18)
Regular testing of Business Continuity Plan M Werritt To be agreed
Develop and deliver VFM strategy and action plan J Crook Jul-16
Ensure costs and related performance of each service is fully understood in all directorates for planning and budgets
J Crook On-going
Understand the impact of Housing and Planning Bill J Jones On-going
Proactive research and intelligence activity to identify changes in the Political, Environmental and Social environment
S Jordan On-going
Review investment plans and budgets J Crook On-going
Develop and implement Tenancy Sustainability Strategy J Jones Dec-16
Ensure on-going coordination of activities through the strategic partnership group including anti poverty actions across Team Doncaster
S Jordan Mar-17
Develop and commence implementation of a partnership strategy - Continued and increased involvement with a range of relevant partners
J Jones Sep-16
Complete and implement best use of stock review J Jones On-going
Continue to lobby and raise awareness at local and national level S Jordan On-going
Exploring the use of sustainable methods of energy efficiency M Werritt Mar-17
Deliver actions from 2015/16 social audit J Jones Mar-17
Implementation of Universal Credit action plan J Jones Mar-17
Respond and plan for welfare benefit changes J Crook On-going
Full review of allocations policy. Consultation commenced in Winter 2015 and will continue through 16/17. J Jones On-going
Being aware of impact of Housing and Planning Bill J Jones On-going
1 Susan Jordan
Failure to deliver relevant and appropriate services effectively
Service Delivery,
Reputation, Legislation, Financial
▪ Strong relationship with DMBC key stakeholders: Mayor; Portfolio Holder for Housing; Chief Executive and key partners▪ Positive relationships with Elected Members▪ Strategic Housing integration project plan complete▪ Quarterly Councillor Forums▪ Councillor Newsletters▪ Houseproud▪ Meetings with MP's ▪ Financial and Performance Management framework in place▪ Homelessness peer/service review▪ Well developed Partnership working▪ On-going management and evaluation of the impact of service delivery changes▪ Business Assurance framework in place with internal audit and compliance check programmes in place for all service areas▪ Leadership development programme - Support & Challenge Groups, Phase 1 (LD1) completed▪ Leadership development programme - Phase 2 (LD2) commenced▪ Proactive research and intelligence activity to identify changes in the Political, Environmental and Social environment - linked to realignment▪ Investment plans and budgets in place▪ Strategies, Policies and Procedures framework in place ▪ Business Continuity Plan in place▪ National and local benchmarking arrangements in place ▪ Customer Engagement arrangements in place including regular customer satisfaction surveys (e.g.. annual STAR)▪ Customer Profile information▪ Other customer insight information ▪ Year 1 of People Strategy Action Plan delivered▪ Realignment complete▪ Delivery of actions in the 2015/16 ADP
▪ TPAS accreditation▪ Satisfaction surveys including annual STAR▪ Customer Service Excellence Award▪ SHEF accreditation▪ British Safety Council 5* award▪ Social Accounting Audit ▪ Performance information framework
▪ Poor service delivery▪ Reduction in customer satisfaction and confidence▪ Damage to brand/reputation▪ Inappropriate withdrawal of services ▪ Diversion of staff from delivering key priorities▪ Financial implications (lost revenue; failure to draw on funding)▪ Lack of detailed customer insight and sophisticated IT systems to enable storing of information.▪ Inability to attract and retain staff with relevant skills▪ Loss of capital investment (July 15)▪ Unable to deliver 30 year investment plan▪ Loss of key personnel / high staff turnover▪ Loss of political support▪ Demise of Social Housing
4 4 16
▪ Failure to agree scope of service offer▪ No shared and agreed vision with key partners - conflict over who delivers which services▪ Expectations differ between DMBC, SLHD and tenants ▪ Lack of understanding of costs, resources and performance of services▪ Significant changes to valued services▪ Lack of appropriate communication▪ Failure to adapt to changes at Local and National level (changing political, economic and social environment) (May 15)▪ Failure to attract, develop and retain staff with relevant and appropriate skills▪ Lack of flexibility in the organisation to adapt to change and opportunities▪ Lack of capacity of partners to support delivery▪ Lack of detailed customer insight and sophisticated IT systems to enable storing of information.▪ Reduction in available funding following summer budget (July 15) ▪ Lack of fully tested operational Business Continuity Plan▪ Inadequate Health and Safety provision ▪ Failure to understand our customers needs and expectations▪ Implications of Housing and Planning Bill
▪ Rent arrears and other performance indicators reported to Board and Quality Committee▪ Anti Poverty Strategy Group▪ Increased awareness at Board and DMBC level▪ Financial Inclusion Group▪ Financial Inclusion team and Universal Credit Officer post and Universal Credit action plan▪ Improved involvement with the Credit Union and the CAB
3 4 12
4 5 20
▪ Monitored and managed bad debt provision▪ Working with partners in order to understand the impact on tenants and service delivery▪ Identified staffing resource within existing budget▪ Additional resources secured to increase staffing levels and publicity to tenants▪ Funding to support Mutual Exchanges now included in base budget▪ Continued communications with tenants via Houseproud, Facebook etc.▪ Wide range of alternative payment methods▪ Referral agencies available▪ Positive track record - managing impact of spare room subsidy - managing rent arrears - increasing tenant incomes by maximising benefits and support into employment▪ Increased awareness with partners at strategic level▪ Regional and national networking with other housing providers▪ Support to tenants in placeCommunication plan with tenants and key partners (questionable whether this is an existing control)▪ UC action plan in place - progress reported to Quality Committee▪ Agreement on use of jam jar accounts with credit union▪ Process in place with DWP/DMBC for active cases▪ Open Market policy in place▪ Experian credit checks undertaken ▪ Rental control (use of 'Rentsense' software)
2 Julie Crook
Failure to effectively manage the impact of the current economic climate and the financial difficulties that people find themselves in
Financial
Reputation
▪ Lack of timely guidance / clarity from the Government▪ Inadequate, timely release of staff capacity to provide support▪ Lack of assessment of impact▪ Other organisations failing to put appropriate measures in place to support mitigation▪ Parties who could be expected to provide support having to withdraw▪ Lack of awareness of impact by staff and tenants▪ Tenants not prepared to engage in our offer of support▪ Reduced lettability of certain properties due to Welfare Reform▪ Inaccurate / poor stock condition data▪ Lack of opportunity within stock holding▪ Lack of awareness of other partners and the potential impact▪ Lack of joint working with DMBC and other stakeholders▪ Failure to understand, prepare for and work with tenants on the potential impact of Welfare Benefit Reform on individuals; communities and the business▪ Focus to be on the economic climate; high levels of unemployment and low levels of education within the Borough. / than the average (May 15)▪ Implications of Welfare Reform and implementing Universal Credit - reduced income for customers▪ Increasing costs - pension, inflation▪ Future changes to welfare benefit and tax credits
▪ Reduction in tenant income▪ Increased rent arrears, evictions and void rates▪ More customers forced into poverty ▪ Reduction in income to HRA and knock on effect to other services future investment▪ Reduced life choices▪ Adverse impact on health and wellbeing▪ Increased ASB and crime▪ Lower educational attainment▪ Adverse impact on levels of homelessness▪ Damage to brand / reputation due to public perception of causes (SLHD Tax / rent increase)▪ Adverse impact on a wider group of people in relation to financial issues▪ Increased safeguarding issues
5 5 25
Risk Ref
Risk Owner
Risk description Type of risk Cause ConsequenceInherent
likelihoodInherent impact
Inherent risk
Existing controls Current assuranceResidual likelihood
Residual impact
Residual risk
Action for further control Action owner Due date
Describe the risk What might cause the risk to occur? What are the possible consequences if the risk occurs?
1=Very Unlikely2=Unlikely3=Possible4=Likely 5 = Very likely
1=Slight2=Moderate3=Significant4=Major 5 = Critical
Impact score x
likelihood score
What existing processes / controls are in place to manage the risk?
What are the current assurance activities around the risk?
1=Very Unlikely2=Unlikely3=Possible4=Likely 5 = Very likely
1=Insignificant2=Low3=Medium4=High 5 = Very High
Impact score x
likelihood score
What further action (if deemed necessary) is planned to treat the risk?
Who is responsible for developing and
implementing the actions?
When are agreed actions to be delivered by?
Identifying future plans for the delivery of the 30 year investment plan M Werritt Jun-16 and On-
going
Adopt ownership of Asset Management Strategy and undertake review M Werritt
Strategy drafted - formal sign off by DMBC required
Stock condition data review (Keystone) M Werritt To be agreed
Rollout of new voids process across all areas M Werritt Dec-16
Review 30 year business plan M Werritt 30-Jun-16
Develop and deliver revised IT Strategy J Crook Jul-16 and on-going
Identify and programme Business Transformation programme of reviews J Jones 30-Jun-16
Develop and implement changes resulting from Leadership Development programme (LD1, LD2)
S Jordan On-going
Develop and deliver Customer Relationship Management project J Crook Mar-17
3 Judith Jones
Failure to maintain and improve existing assets (homes and properties including shops and garages) by investing wisely and managing effectively, and use resources appropriately to increase the asset base
Service DeliveryFinancial
Reputational
• Reduction in available revenue finances.• Increased costs.• Contract failure• Lack of resource - human and material.• Lack of clarity of investment need and priorities▪ Under investment in garages, shops and G&T sites ▪ Low inflation impact on HRA Business Plan Model▪ Increase in building materials and labour above rate of inflation▪ Potential new demands on capital programmes▪ Lack of clarity of development opportunities to increase asset base▪ Potential reduction in stock and/or resources due to RTB changes▪ Inaccurate / poor stock condition data▪ RTB rule changes impact
• Lack of viable 30 year Investment Strategy.• Loss of required investment into DMBC Housing stock and estates environments. ▪ Failure to maintain revenue funding for repairs▪ Increase in disrepair▪ Reputational damage▪ Reduction in customer satisfaction▪ Detrimental impact on capital income▪ Impact on ability to provide wider services▪ Resources not used effectively Increase in void properties and low demand housing▪ Available resources - cash and assets - reduced from RTB changes impact
4 4 16
▪ Self financing▪ Guaranteed DMBC resources for investment▪ Agreed medium term investment plan▪ Support from the Mayor and local political support to continue to invest in Council housing▪ Performance management framework▪ Robust procurement strategy including use of framework contracts consortia▪ Regional meetings▪ New lettable standard approved▪ Working with DMBC to review medium term finances
▪ Year 16/17 capital investment plan drawn up and appropriate external contracts in place▪ Track record of successful completion of capital programmes including decency
3 3 9
▪ Track record of stable, reliable systems with high availability▪ Positive Employee satisfaction surveys reacting to any negative comments▪ LDP 1 initiatives to improve ICT (and other) project success rates▪ Business transformation programme identifying areas for improvement
4 Mick Werritt
Inadequate ICT solutions and failure to develop, maintain and use ICT systems
Service DeliveryFinancialReputationalLegislation
• Under investment in ICT systems• Inadequate IT strategy• Disparate systems• Lack of clear outcomes in service transformation/improvement• Insufficient ICT knowledge, skills and capacity• Security breach • Organisational cultural resistance to change
▪ Poor service delivery▪ Inefficient working practices▪ Reduction in customer satisfaction and confidence▪ Inefficient / unproductive staff preventing delivery of key priorities▪ Loss of customer information▪ Lack of detailed customer insight and sophisticated IT systems to enable storing of information.▪ Inaccurate and/or delayed financial and performance information• Inefficiencies and duplication in data entry to maintain systems• Lack of access to information/intelligence to inform the business moving forward • Security breach• Data Protection Act breach and fine• ICT system outages (downtime)• Additional costs • Decision-making based on flawed or inaccurate data• Poor VFM - better systems would drive efficiency savings
3 5 15
• SLA with DMBC • IT Strategy and Policies in place• IT Steering Group with action plan• Continual review of Service Areas ICT needs • Liaison meetings with DMBC and key suppliers to ensure good service delivery and explore latest software releases▪ Regular refresh of hardware equipment and appraisal of equipment catalogues• Robust project management of key initiatives• Added resource - Business Excellence, Business Transformation and Organisational Development posts
3 4 12
Directorate KPI November December January FebruaryYear to date
Status
Direction of travel
(compared to previous month)
Directors Comment(Strategic Context)
Mitigating actions / AssuranceYear End Forecast
With Mitigation
Without Mitigation
February 15-16
% of current rent arrears against annual debit
HS 1
Forward LookReal TimeBackward Look
The roll out from the voids pilot is being closely monitored. Extensive work is ongoing with all teams to reduce void levels and turn arround time.
There has been a slight increase in arrears since January from 2.58% to 2.62% (£1.98m). However, we are still within the monthly target figure of 2.64% which puts us on track for our year end target of 2.54%. The arrears for the same period last year stood at 2.78%. There were 7 evictions in February bringing the total for the year to 55; a considerable reduction compared with the same time last year when there were 71. The numbers of tenants paying by direct debit is at an all-time high (3,232) with 84 new payers signed up during the month.
Work continues with Mobysoft to improve the RentSense arrears management system including the development of the performance dashboard which will improve the current performance management processes.
Void rent loss has further reduced in February 2016, down to 1.24% for the month and reducing from 1.40% cumulative in January to 1.35% cumulative end February. The North Area has seen the biggest reduction in February compared to the previous month, with VRL reducing from 2.00% to 1.78%. The Central area, which includes some areas where the new property standard has recently been introduced, is within target at 0.91%.
Number of Households in Temporary Accommodation (including Bed and Breakfast)
HS 4Number and % of Households Maintaining or Established Independent Living
HS 3
HS 5
Analysis of complaints - Service Failure against Service Dissatisfaction (1 month in arrears)
HS 2
Void rent loss % (£) of rent loss through vacant dwellings (Excluding Sheltered properties and properties earmarked for demolition)
Processes are currently working well
We will continue to embed the working practices which have resulted in our improved position.
Within the small team delivering support; we have some short-term sickness issues which we are managing and have brought support in from the wider team to enable us to continue to deliver on our commitments within the contract.
5 families were placed in temporary accommodation during the month with 9 families in total in temporary homes at the end of the month. This represents the most positive picture since we started managing the service. The performance is a result of the progress made with our managment of the work undertaken when people first come to us for advice and assessment of their housing issues.
We received 69 complaints within the period with 58 (84%) assessed as service dissatisfaction leaving 11 (16%) which were a result of a service failure. Again, when viewed alongside the number of interactions, this is a low number of failures and this month there is no theme to pull out.
At the end of the month we had 39 households being supported against our target of 40. Positively, we did not have any unplanned departures from the programme during the month.
(Against Profiled Target)
(Against Previous month)
Directorate KPI November December January FebruaryYear to date
Status
Direction of travel
(compared to previous month)
Directors Comment(Strategic Context)
Mitigating actions / AssuranceYear End Forecast
February 15-16
Forward LookReal TimeBackward Look
PS 1 Right First Time
CI 1Average days lost through sickness per FTE
PS 3Gas Servicing - % of properties attended
PS 2Scheduled Repairs - % of promises kept
The increase in sickness absence is as a result of a large increase in short term sickness absence cases from 65 cases in January to 77 cases in February. The number of long term sickness cases has reduced from 17 in January to 16 cases in February. Overall there is a reduction of 0.03 days per FTE compared to February 2015. The cumulative for the year to date shows a reduction of 1.07 days per FTE compared to the same period last year. year todate stands at 7.59 days per FTE against a target of 8 days
CI 2Percentage of invoices paid
The process whereby orders are authorised in advance will be switched on for the TASK system during the first quarter of the new financial year and it is imperative that we implement all the learning from the switch on of this system for ERP to ensure a smooth transition.
The performance during February exceeded the target for the first time this year and was 97.5%. The cumulative total for the year based on the revised method of calculation is 92.4%. The number of invoices outstanding and the number of invoices that are over 30 days old both continue to fall.
Preparation for next year's programme has commenced.
Continuous monitoring and management of this PI will continue. However because of the target it will not reach its cumulative target by the end of the year.
The servicing programme has now finished, this includes solid fuel, and has met its target. All landlord certificates are in place.
At the end of January cumulative performance is at 98.92%. the in month figure is at 98.50%, which has improved on the previous month 98.04% with 14 jobs not being completed within time scale out of 932 raised.
Programme Completed
November 2015
All cases are being proactively managed through the Managing Attendance Policy and Procedure.
Several actions have been implemented following a performance review meeting and are ongoing:• Listening to and monitoring how calls are handled to identify any learning points• An analysis of past information has been undertaken which failed to show any trends in terms of trade type or specific individuals• Ensuring all Planners and Team Leaders receive a daily report as an automated alert with information detailing repairs not RFT. This will ensure prompt review, action and ownership.
Cumulative performance is below the 98% target for 15/16 at 97.84.%. This is however an improvement on the cumulative performance in January of 97.83%. The in month performance is at 98.61%. 68 jobs were not right first time from the 4,898 jobs in February. Performance to date indicates that the year end cumulative target will not be met.
Directorate KPI November December January FebruaryYear to date
Status
Direction of travel
(compared to previous month)
Directors Comment(Strategic Context)
Mitigating actions / AssuranceYear End Forecast
February 15-16
Forward LookReal TimeBackward Look
CI 2Percentage of invoices paid within 30 days
1
Building Confident Communities, in Partnership
Prepared by: Janet Walters
Presented by: Judith Jones
Complaints and Compliment Information
Q3 2015/16 Overview
2
Building Confident Communities, in Partnership
Q3 2015/16 Complaint Handling PerformanceService Standards Performance:
Acknowledge 100% of complaints within 3 working days (100% Achieved)
Respond to 95% of complaints within 10 working days (96% Achieved)
The following information is a cumulative comparison of Q1, Q2 and Q3 information over a 3 year period:
When comparing the last three years information, the performance has been below the service standard in 2013/14 and 2014/15 however it has been achieved 2015/16.
2013/2014758 complaints were received, the performance is as follows:
Acknowledged within 3 working days – 100% (758)
Answered within 10 working days – 93% (708)
2014/2015722 complaints were received , the performance is as follows:
Acknowledged within 3 working days – 100% (722)
Answered within 10 working days – 93% (672)
2015/2016691 complaints were received , the performance is as follows:
Acknowledged within 3 working days – 100% (691)
Answered within 10 working days – 96% (664)
3
Building Confident Communities, in Partnership
Q3 2015/16 Complaints Volume TrendsThere has been a 4% decrease in complaints in Q3 cumulative complaints compared to 2014/15.
(691 received in this Q3 compared to 722 received in Q3 last year.)
4
Building Confident Communities, in Partnership
Q3 2015/16 Complaints Volume TrendsSummary of graph on previous page:
There has been an 4% decrease in complaints in Q3 compared to 2014/15 and 9% overall decrease of complaints compared to 2013/2014
July 15 however saw the highest number of complaints received in one month over the past 2 years
2013/2014
Quarter 3 Total = 758
2014/2015
Quarter 3 Total = 722
2015/2016
Quarter 3 Total = 691
April – 110 May – 90 June – 71 July – 88 Aug - 82Sept – 75
Oct – 100Nov – 85Dec – 57
April – 83May – 80June – 89July – 77Aug – 87Sept - 88
Oct – 80Nov – 80Dec - 58
April – 63May – 62June – 92July – 101Aug – 71Sept – 73
Oct – 90Nov – 84Dec – 55
5
Building Confident Communities, in Partnership
Q3 2015/16 Complaints by Directorate (691 received)
Volume of complaints increased from 14/15
Volume of complaints decreased from 14/15
Volume of complaints decreased from 14/15
Housing Services
Received 29% (201) complaints
The top 3 service areas
Estate Management South West =
37 complaints
Estate Management Central =
30 complaints
Estate Management North =
22 complaints
Top 3 Themes
Policy
Staff/Contractor Actions
Handling of ASB cases
13/14 Qtr 3 = 218
14/15 Qtr 3 = 177 decrease by 19% (41)
15/16 Qtr 3 = 201 increase by 8% (17)
Corporate Services
Received 3% (20 complaints)
The top service areas
DMBC = 15Income Management = 3
ICT Services =1
Top 3 Themes
DMBC
Time taken to respond to enquiries
Website
13/14 Qtr 3 = 14
14/15 Qtr 3 = 21 increase by 50% (7)
15/16 Qtr 3 = 20 decrease by 5% (1)
Property Services
Received 68% (470) complaints
The top 3 service areas
Planned Maintenance = 110 complaints
Asset Management = 104 complaints
Repairs & Maintenance =
100 complaints
Top 3 Themes
Policy
Time taken to complete a repair
Lack of Information and Staff/Contractor actions
13/14 Qtr 3 = 526
14/15 Qtr 3 = 524 decrease by 0.4% (2)
15/16 Qtr 3 = 470 decrease by 12% (10)
30.26%
20.00% 20.84%
69.74%
80.00% 79.16%
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
13‐14 14‐15 15‐16
Service Dissatisfaction
Service Failure
6
Building Confident Communities, in Partnership
Overall Complaints AnalysisQ3 2015/16
Of a total of 691
complaints
Of a total of 1021
complaints
Of a total of 965
complaints
Slight increase in Service Failure complaints this year compared to last however still well under target
Year to date
The KPI for Service Failure is 25%.
7
Building Confident Communities, in Partnership
Q3 Complaint Themes Service Failure 2015/16
Housing Services
Received 29% (201) complaints
17% (34) complaints
were determined as Service
Failure
Top 3 Themes
1) Staff/Contractor actions/attitude (7)
2) Lack of information (6)
3) Admin/correspondence/Condition of properties inc: garages (5)
Corporate Services
Received 3% (20) complaints
10% (2) complaints
were determined as Service
Failure
Top 3 Themes1) DMBC - Lack of information (1)
2) DMBC –Staff/contractor attitude (1)
3) DMBC – Adaptations (1)
Property Services
Received 68% (470) complaints
23% (108) complaints
were determined as Service
Failure.
Top 3 Themes
1) Staff/Contractor Actions/attitude (23)
2) Time taken to complete a repair (15)
3) Work not to standard (11)
In Quarter 3 we determined 21% (144) complaints as Service Failure
8
Building Confident Communities, in Partnership
Q3 Complaint Themes Service Dissatisfaction 2015/16
Housing Services
Received 29% (201) complaints
83% (167) complaints
were determined as
Service Dissatisfaction
Top 3 Themes
1) Policy (27)
2) Staff/contractor Actions (26)
3) Handling of ASB cases (17)
Corporate Services
Received 3% (20) complaints
90% (18) complaint were determined as
Service Dissatisfaction
Top 3 Themes
1) DMBC – Communal Areas (2)2) Time Taken to respond to
enquiries (2)
3) DMBC – Planning of work (2)
Property Services
Received 68% (470) complaints
77% (362) complaints
were determined as
Service Dissatisfaction.
Top 3 Themes
1) Policy (68)
2) Time taken to complete a repair (42)
3) Staff/Contractor Actions and Lack of information (26)
In Quarter 3 we determined 79% (547) complaints as Service Dissatisfaction
9
Building Confident Communities, in Partnership
Q3 2015/16 Policy Complaints by Directorate
Housing Services
Received 29% (201) complaints
Policies
The main reasons for complaints regarding policy are:
HomeChoice
* Reason for removal from the register i.e. homeowner, direct
match to a property,
* New tenant not allowed to join register for 12 months
Estate Management
* Rent increase/arrears
* Removal of pests
* Refusal for succession/joint tenancy/left in occupancy/under
occupancy
Corporate Services
Received 3% (20) complaints
Policies
The main reasons for complaints regarding policy are:
* DMBC policy on how tenants were selected to receive solar panels –
what criteria was used
Property Services
Received 68% (470) complaints
Policies
The main reasons for complaints regarding policy are:
Scheduled repairs
* Too long to wait for some repairs especially minor ones e.g.
replacement toilet seat, dripping tap
* New tenants having to wait for work
Responsive repairs
* Will only carry out necessary repairs and not renew e.g. part worktop and
not full
* Timescale fro re-appointing, recalling repairs, winter/summer split
Permission
* Refusal of requests e.g. hard standing, fencing
10
Building Confident Communities, in Partnership
Elected Members Q3 2015/16 In Quarter 3 there were a cumulative total of 293 complaints received from Elected Members of Parliament, Councillors and The Mayor. Compared to 345 received in Quarter 3 14/15 this is a
decrease of 15% (52) , the division below is cumulative:
MP
Received 108 (37%) 52% (56) were responded to
within timescale of 10 working days.
Rosie Winterton =
67% (72)
Ed Miliband =
15% (16)
Caroline Flint =
18% (20)
Top 3 Complaints
HomeChoice = 47
Estate Management = 24
Asset Management = 10 Home Options = 10
CouncillorReceived 161 (55%)
67% (108) were responded to within timescale of 10 working
days
Top 3 Councillors
Cllr Butler =
12% (19)
Cllr Mounsey =
10% (16)
Cllr Jones = 8% (13)
Top 3 Complaints
Estate Management = 40
Asset Management = 27
HomeChoice = 24
MayoralReceived 24 (8%)
67% (16) were responded to within timescale of 10 working
days
Top 3 Complaints
Estate Management = 9
Asset Management = 7
DMBC =3
11
Building Confident Communities, in Partnership
Ombudsman Complaint Volumes Q3 2015/16
• 2015/2016 we received 3 Premature Ombudsman complaints – 2 were received in Quarter 3
Premature Ombudsman
This is when a complainant has approached the Ombudsman
prior to exhausting our complaints process. The
Ombudsman will not investigate but will ask for it to go through our process and inform them of the outcome
• 2015/2016 we received 1 complaint in May 2015 – ‘that the Council failed to properly consider the needs of a young person for accommodation and support when a homeless application was made in December 2014’ – Outcome of £2000 paid for distress caused and limited support provided
Investigative OmbudsmanThis is when our
complaints process has been exhausted and the complainer is not happy
with the outcome
Out of these 4 cases (received in total
Quarter 3):1 – determined local
settlement3 – determined service
dissatisfaction
Out of this 1 case
(received in total Quarter 3):1 – determined local settlement
Premature Ombudsman
In 2015/16 3 cases were received in total,
2 were received inQuarter 3
3 – determined service dissatisfaction
12
Building Confident Communities, in Partnership
Appeal Volumes Q3 2015/16 25 Appeals have been received this year.
18 Property Services (72%)1 Corporate Services (4%) 6 Housing Services (24%)
Appeals completed in timescale
Of the 25 Appeals received:80% (20) were completed within 20
working days
12% (3) were upheld
13
Building Confident Communities, in Partnership
Q3 2015/16 Complaints SatisfactionSurveys are completed on 100% of closed complaints by Viewpoint and the results are reported through
Voluntas. There are no targets set on the performance of receiving and dealing with complaints but there is a service standard to meet of 95% within 10 working days. The following are comments from some of our
customers in Quarter 3 (October to December 2015):
82% were satisfied with the way they were treated when
they made a complaint
which is an increase of 8%
compared to Q2 (74%)
72% were satisfied with the way they
were kept informed
which is an increase of 10% compared to Q2
(62%)
73% were satisfied with the outcome of
their complaint
which is a increased of 31% compared to Q2
(47%)
76% were satisfied with the way their
complaint was handled
which is an increase of 20% compared to Q2
(56%)
“ I haven’t received any correspondence about the
complaint I made.”
“I thought the girls who I spoke to were good but the second girl was brilliant she listened, she didn’t interrupt
and was very understanding.”
“They really listened to me and came out to see.”
We have seen some significant increases in satisfaction for Q3. A full review of the changes made for the complaints pilot will be presented to EMT early March.
14
Building Confident Communities, in Partnership
Data Protection & Freedom of Information Q3 2015/16
Data Protection
To date we received a total of 411 requests
99% (408) were answered within the mandatory 40 calendar days.
In Quarter 3 we received 159 requests
Breakdown of the requests
47% (75) Tenancy references
42% (66) Information requested by DMBC
6% (10) Information regarding tenants and former tenants
4% (7) 3rd party requests for information
1% (1) Utility companies asking for former and current tenants information
Freedom of Information
To date we received a total of 70 requests
93% (65) were answered within the mandatory 20 working days
7% (5) breached the 20 working days
In Quarter 3 we received 70 requests
Breakdown of the requests
The requests are all varied and are mainly to deal with figures, costs and
percentages relating to :
Statistical information re: Squatters, housing veterans and homeless persons
Statistical information re: maintenance and improvement programmes
Information regarding: corporate/strategic risk register
Data Protection Breaches
There was 1 Data Protection Breach in Quarter 3 that was in breach of
Principals 1,4,6 and 7:
Information was not fairly processed, inaccurate, wasn’t processed in line with the subject’s rights and wasn’t
secure.
The breach is highlighted in the journey within this report.
15
Building Confident Communities, in Partnership
Compliment Volumes Q3 2015/16 210 compliments have been received this year and are split by directorate.
Please see next two slides for more details
Property Serviceshave received a total of 115 compliments so far
for this year which is 55% of all compliments
received
Housing Serviceshave received a total of 89 compliments so far for this year which is
42% of all compliments received
Corporate Serviceshave received a total of 6 compliments so far for this year which is
3% of all compliments received
16
Building Confident Communities, in Partnership
Actual Compliments Q3 2015/16
Tenant called into the office today to say how pleased she was with the service she has received from the 2 workmen Lee and
Liam who have now visited her property on 2 occasions to remove fence panel and tidy her garden. She stated that you
couldn't fault them they were courteous, pleasant and knowledgeable couldn't wish to meet 2 nicer people.
I have just had a young man called JOHN here he was a gardener he
came to fix my fence he was such a lovely young polite man even though he couldn’t do the repair
just yet but was a pleasure to have him visit
today :) 10/10
#Proud to just receive this..Thank you to an employee @StLegerHomes. Helping save a women getting out her crashed
car in Hickelton #Gentleman@StLegerHomes he gave the women his coat & stuck around to make sure
she was ok. A true gent!! (From Twitter)
On Tuesday 27th October 2015 our gas central heating system and boiler was due its annual service. A young lady from your team called Michelle
White was the gas service engineer on that day. I would just like to point out
how thorough she was and took time to explain a few things as far as safety
was concerned. She was very friendly, polite and a tidy worker and respected our house as though it was her own.
She provided a service to a high standard in my opinion and is a credit
to St Leger Homes. If every worker had the same attitude towards their work as Michelle does then you are producing
excellent work all across the board from great customer service to getting
the job to a high standard.
I would like to thank you Vicky on behalf of Refurnish for attending and supporting both tenants and our staff at very short notice. The staff really were appreciative of your support.
Supporting vulnerable people can be really difficult at times, but it is so
much easier when working in effective partnerships.
17
Building Confident Communities, in Partnership
Actual Compliments Q3 2015/16 I have just taken a call from a customer, who
wanted to speak with Chloe (and Ellen’s) Line Manager. He has been in today and when home decided to call to pass on his
thanks and compliments about Chloe’s attitude. He could not speak highly enough of
her. Some of the direct quotes included…’She understood the problem and
dealt with it really well’ ,’ was very much people orientated’, ‘smiled and was
welcoming and polite’ and ‘you would be mad to let her go anywhere, if I was back at the
Fire Station I would steal her away’. In addition, he also spoke highly of Ellen who
offered and helped to scan the documents he needed.
Compliment for Julie Kirk Technical Support
Absolute lovely ambassador she is, she was very helpful and I
couldn’t have asked for more. Lovely service
Hanif Oz and Laura Barker. The daughter of tenant visited the office to thank Laura and
Hanif for all their help in assisting her parents to move into 9 Holywell Crescent. The daughter said they had both
"gone above and beyond their daily duties, and their help is
much appreciated"
I would like to say a big thank you to the enclosed garden service team, they have
recently done my first winter visit and have done a great job. I was out at the time of the visit, when I got home I noticed a real difference. The lads in the team are lovely and I would like to say Thank you to them.
Tenant rang to compliment Kim Fahy who has been dealing with the problems he has had with the stair lift. The lift was broken then fixed on more than one occasion until Kim got it all sorted once and for all.
Tenant said that Kim was always so polite and professional, so helpful and went the extra mile to make sure she got it sorted for him. She was cool, calm and dealt with the contractors for him. He was very, very, impressed and wanted this logged so her line managers could see how well she was doing her
job.
18
Building Confident Communities, in Partnership
“You said, we did” As the outputs from the complaint review are implemented we should find it easier to capture “You Said, We did” moving
forwards. This will heavily rely on feedback from Service Managers.
Homeless applicant had a voicemail cancelling a telephone interview, but the
officer didn't leave a name or any info about what to do next. When applicant
rang us she spoke to many different people and no-one seemed to know
anything about this.
It was a scheduled telephone homelessness assessment and the
member of staff was off sick on the day. Unfortunately there was no-one to pick up their workload. Arranged for another
officer to carry out an interview.
Process improvement identified - A plan to be put in place for officers to pick up
assessments should their colleagues be unavailable
Customer Journey – Income Management – Failure to comply with Data Protection Act for the protection of tenants
1 2 3
456
In June 2015 tenant telephoned to report they were experiencing anti-social behaviour
against them. PCSO’s carried out extra patrols and ‘tagged’ the property due to the
risk to the tenants.
Police moved them out to stay with family due to recent problems. Tenants were
waiting for alternative accommodation to become available by SLHD.
Safeguarding Manager was informed and the tenants said they would be okay in the property for that night and will visit Housing Options the next day. Tenants car was keyed and dented, people were shouting abuse at him when he went out.
Alternative accommodation was sourced. To ensure the safety of the tenants the surname
was hidden until a change of name was received and actioned. September 2015 the
surname was hidden to protect the identity and Universal Housing was updated with all the
information and CIVICA has a warning marker and notes on contact details.
This is a failure of Principles 1, 4, 6 and 7 of the Data Protection Act. It is also an administrative
error in that the officer has not checked the relevant details, not retained the accuracy of the
data and therefore failed to keep the tenants details secure and confidential. A further letter of apology with full explanation was given which the
tenant was happy with
19
On investigation it was found that a copy of a marriage cert and formal change of name
had been received and actioned on 5 October 2015, after the report was run on 1 October 2015. An apology was given but
the tenants were not happy with this explanation and appealed.
A letter of complaint was received from this couple as they had received correspondence in the surname that was supposed to have been
hidden and they feared that they could be identified and found by the perpetrator.
It was agreed that as this is a joint tenancy that all correspondence would be sent in partners name ONLY until name change was completed. On 1
October 2015 a list of all tenants contact details was run and over 20,000 letters were sent to tenants.
On further appeal investigation it was identified that the former tenant arrears officer updated the
account with the new address and as the 2 tenancies are linked the action voided the action of hiding the surname. The officer did not check the previous information to ensure there were no
adverse changes made due to her actions.
987
PleaseHelp!!!!
Name hidden for protection
From SLHD Financial
Inclusion Team
FAILURE
!?!?!?!?!???!?!
SUMMARYThese are the questions and queries that have been raised from the complaint
20
• Why wasn’t information checked correctly to ensure the changes had not made an impact on previous update?• What processes have been put in place to ensure this does not recur?• If changes have been made to hide a persons identity can the system highlight any changes before it is completed
e.g. The changes have un-hidden the surname – do you want to proceed? • Was there a warning indicator stating that the surname was hidden and not to unhide?• If there was no warning indicator then why not, and if there was one why wasn’t this acted on?
OUTCOME FROM COMPLAINT• The original response to the complaint said that the data was extracted prior to the official name change was
updated.• The tenants appealed as they weren’t happy with this response• On further investigation it was identified that the system had previously been updated to hide the tenants
surname• Unfortunately on termination of the previous address, that the name was hidden, the action overturned the
action to hide the surname• Universal Housing had details that the name had been hidden and changed from the full surname to just the
initial and CIVICA was updated on the contact details informing who ever accessed the record that the name is hidden. This was actioned by the rent control officer
• Investigation identified that the former tenant arrears officer changed the surname back to the full name
ACTION BEING TAKEN• Action to take is to ensure that all notes and conditions on a tenant’s account is to be checked to prevent
recurrence of a similar situation• To be raised in team meetings so everyone can learn from this error and how to prevent it in future • Systems investigation to feed into CIVICA upgrade.
1
ST LEGER HOMES OF DONCASTER Board Briefing Note
Title:
Pay and Grading Review Update
Action Required:
For information
Item:
15
Prepared by:
Linda Keeling – Head of Human Resources and Health & Safety
Date:
6 April 2016
1. Executive Summary 1.1 On 1 April 2015 a new pay and grading structure was implemented across the business
following a job evaluation exercise covering all employees. 1.2 This resulted in a 81 employees being subject to pay protection arrangements from 1 April
2015 as follows:
From 1 April 2015 to 31 March 2016 - frozen salary at current basic salary with no annual pay award or annual increments.
From 1 April 2016 to 31 March 2017 – a reduction of one increment.
From 1 April 2017 to 31 March 2018 – a reduction of one further increment
From1 April 2018 all employees will move to the top of their new grade and the new
salary.
1.3 Job Evaluation Appeals who were facing a reduction in pay were prioritised and these were
completed by October 2015. Job Evaluation Support has been offered to all of these employees and will continue to be available during the pay protection period.
1.4 Job Evaluation Appeals for all other employees are currently taking place and are
scheduled to be completed by December 2016. 2. Outcome of Job Evaluation Appeals 2.1 Those facing a reduction in pay are referred to as being ‘red circled’ and were subject to full
pay protection for the first year and then tapered pay protection in the following two years. 2.2 Job Evaluation Appeals for this group were prioritised and were completed by October
2015. 2.3 The outcome of the appeals process was:
2
No. of employees ‘red circled’ 1 April 2015
81
No of employees who submitted an appeal 75
No of employees successful at appeal 44 (59%)
No. of employees ‘red circled’ following the appeal
31
No. of employees ‘red circled’ @ 1 April 2016
30*
*Following provision of JE Support one employee has resulted to promotion within St Leger Homes.
2.4 The 30 employees who are still ‘red circled’ will see their salary reduced by one increment
on 1 April 2016. 2.5 25 employees who received more than one increment reduction will have a further reduction
of one increment from 1 April 2017. The average reduction of one increment is £720 per annum gross salary.
2.6 22 employees will have a further reduction from 1 April 2018. 2.7 All employees will be paid at the top of their new substantive grade from 1 April 2018 when
pay protection ends. 3. Job Evaluation Support Package 3.1 A job evaluation support package was developed by the People Development Team and
this was promoted to affected employees at the following stages:
Following release of the results in December 2014 through management meetings and e-mail/intranet communications
By letter from HR following closure of their Job Evaluation Appeal By direct e-mail from the People Development Team in October 2016, following full
completion of ‘red circled’ appeals 3.2 A copy of the type of support offered and a list of frequently asked questions is attached at
Appendix A. 3.3 The take up of this was initially slow as employees wanted to concentrate on the appeal
process, but to-date 17 ‘red circled’ employees have accessed this support, and the following feedback has been received: Building Personal Resilience course The employee who has been promoted attended the Building Personal Resilience course in early 2015. She said the course really helped put things into perspective and galvanised her into taking action and applying for the promotion. She felt the course was pitched just right and was very empowering in dealing with the emotional aspects of change. She says the ‘circle of influence’ exercises she learned on the course helped her to focus on the things that were within her control and take action on these rather than being negative about the JE outcome. A copy of the popular change management book ‘Who Moved My Cheese’ was provided to all attendees and this employee says this was also really helpful.
3
Other specific feedback received was as follows: “Helped me build resilience and cope with what’s coming next. It helped to talk to people going through the same thing”. “The training was very relevant and will help me stay in a positive frame of mind. It made me more aware that there are others in the same boat” “It will help me focus on the benefit I can get from the outcome of JE” CV, Application & Interview Skills “Extremely relevant and informative. I’ll feel more confident in searching for jobs and preparing for interviews using the STAR technique’. ‘Informative and enjoyable – this will help me improve my CV and applications and answers that I give at interview’.
4. Contact officer 4.1 Linda Keeling
Head of Human Resources and Health & Safety [email protected]
4
Appendix A
St Leger Homes Job Evaluation Menu of Support
Please work with your line manager to come up with a bespoke plan that best meets your needs and priorities.
Change Management and Resilience
Building Personal Resilience A half day workshop geared towards staff affected by Job Evaluation, including tools and resources for building personal resilience and coping effectively with change. This workshop will be delivered in‐house. Please refer to attached timetable for available dates. Full details and a course specification will be made available in early January 2015.
Westfield HealthWestfield Employee Assistance Programme offers telephone advice and support and a telephone and face to face counselling service. Contact 0114 250 2000 and remember to quote your membership number. Please visit the staff Intranet for further details.
First Contact Support Service The first contact support service is an impartial listening service and sounding board for options. Staff can contact the following officers for support: Alan – 07500 605900 Sharon – 01302 736372 Vicki – 01302 736311 Gary – 07760 156181 Meryl – 01302 862867 Jane – 07733 100704 Hazel – 07825 853879
Employment Support
CV, Job Search and Interview Skills A half day workshop providing employees with guidance on job search, application and interview techniques to support job search for internal and external roles. Please refer to attached timetable for available dates. Full details and a course specification will be made available in early January 2015.
Frequently Asked Questions A plain English fact sheet explaining to employees and managers the support available to help people and an action plan for colleagues to complete with their line manager.
Job Shadowing The OD Team can provide advice on the type of vacancies that come up most frequently at different grades, an support staff and their line managers to arrange job shadowing opportunities. Please contact the OD team on 862716/734277/734278
Appendix A
Secondments Secondments will be supported wherever possible and provision will be made for managers to release employees where they are successful in applying for a secondment to enhance skills and knowledge across the organisation.
Skill Enhancement
ICT Training (Microsoft Office)Intermediate and advanced training in Microsoft Word, Excel and Outlook 2010 is being developed for in‐house delivery as part of the core programme and links to the wider workforce strategy. Please refer to attached timetable for available dates. Full details and a course specification will be made available in early January 2015.
Certificated Training Certified training can be requested and may be supported through our sponsored study programme which is offered out once a year. An application will need to be submitted for approval by EMT. Other certified training available cyclically includes CIH Certificate in Housing Levels 2 and 3, IOSH Managing Safely. The OD Team can also provide guidance on professional and individually requested learning that would support potential redeployment. Please contact the OD team on 862716/734277/734278
E‐Learning Utilising the Learning Zone for personal learning modules which might be relevant to someone preparing to apply for alternative roles. Courses are continually being developed and will be made available throughout the year. This will be communicated to relevant employees.
Financial Advice Personal Budgetary Support Services The government’s Money Advice Service is a great resource for personal online budgeting and money management hints and tips. For more information visit: https://www.moneyadviceservice.org.uk/en
Westfield HealthWestfield’s Money Management service is another great resource offering telephone support provided via the EAP/counselling line which includes budgeting and debt management. Telephone 0114 250 2000 and quote your membership number.
CAB The CAB delivers a range of money advice services, including 1:1 support and guidance on budgeting. We are liaising with CAB and other local support agencies about the advice and guidance they are able to offer and look at options for facilitating access such as on‐site surgeries. For more information visit:
Appendix A
http://www.citizensadvice.org.uk/index/aboutus/publications/money_advice_services.htm
Easy Read Pay Protection Guidance This is included in the Job Evaluation Booklet and letter you received. If you need help to work out what this means for you please contact a member of the Job Evaluation or Human Resources Team.
Appendix A
St Leger Homes Job Evaluation Support – FAQs 1. I want to start looking for a new job, what support is available?
We can offer support with job application, CV writing and interview skills. There are also opportunities to attend training to update your skills or maybe gain additional experience by job shadowing in another section. The first step is to talk to your line manager, look at the menu of support and then develop a plan of action.
2. I’d like to work in a different area of the business, could I do job shadowing? Have a think about the type of work you would like to do, what transferrable skills and experience you already have and what jobs might be most suitable. Once you’ve identified the types of jobs you’re interested in the OD Team can help you with information about the job requirements, how often those vacancies come up and advice on the type of training and any formal qualifications you might need. Job shadowing can be a great way to get a feel for a role and find out about different areas of the business. Once you have a clear idea of what direction you would like your career to take, your line manager can help you arrange some job shadowing to fit around your other work commitments.
3. What if I apply for another position on a secondment basis but my line manager doesn’t support it? EMT has asked all line managers to be supportive of secondment requests from employees who have been impacted by job evaluation. However we recognise that there may be genuine operational reasons why a secondment cannot be supported at a particular time. Where this happens your line manager will explain the reasons. If you are unhappy with the decision or the explanation given you can discuss this with your Service Manager, Head of Service or Director.
4. I’m worried about the personal financial impact, what help can I get? A good source of advice is the Westfield Employee Assistance helpline tel: 0114 250 2000. They have a money advice service and provide guidance on budgeting and debt counselling. If you don’t feel ready to talk to someone, then the government’s on‐line Money Advice Service has lots of practical tools and information that colleagues have found useful. You can visit their website at: https://www.moneyadviceservice.org.uk/en
5. I don’t feel I have the skills to apply for alternative roles, what support or opportunities are available?
Appendix A
The first step is to talk to your line manager about the skills you need to develop and draw up a list of two or three priorities. Lots of skills can be developed through practical application for example your manager might be able to arrange some on the job training or job shadowing. We also have a wide range of training available including on line learning – have a look at the menu of support and if you don’t see what you want talk to the organisational development team.
6. I haven’t applied for a job or had an interview for a long time, how can I prepare for this? Read the guidance for applicants carefully and make sure that you show on your application form with examples how you meet the requirements listed on the person specification for the job – this is most important. When preparing for interview remind yourself of the requirements listed on the person specification and think of good examples you could mention at interview that show you have the skills, knowledge and experience required. We also offer workshops on application and interview skills ask your line manager about attending one of these.
7. If my salary goes down, do I have any redeployment rights? No. If your salary reduces as a result of job evaluation you are not offered any priority for redeployment. We are offering a package of support to help you apply for any suitable vacancies that come up.
8. I’m feeling anxious about the process and the impact, who can I talk to? There are lots of sources of support. Your line manager is often a good starting point, or you may wish to talk in confidence to a member of the first contact support service. If you are a trade union member, you can also talk to your local rep. Remember too that you have access to telephone support 24/7 from Westfield telephone: 0114 250 2000 and quote your membership number. Lots of people find that talking to a counsellor can help them through tough periods in their life, the Westfield line can also provide you with a referral to telephone or face to face counselling and CBT (Cognitive Behavioural Therapy)
1
ST LEGER HOMES OF DONCASTER Board Briefing Note
Title:
Legislative Changes Impacting on HR Practices
Action Required:
For information
Item:
16
Prepared by:
Linda Keeling – Head of Human Resources and Health & Safety
Date:
6 April 2016
1. Background 1.1 During 2016 the following HR legislative changes will be introduced by the Government:
Modern Slavery Act 2015 Introduction of National Living Wage from 1 April 2016 Public Sector Exit Payment Recovery Regulations 2016 Proposals to cap public sector exit payments Trade Union Bill Gender Pay Gap proposals Requirement for public sector workers in customer facing roles to speak fluent
English A brief overview of how these legislative changes impact on St Leger Homes and action being taken is set out below.
2. Modern Slavery Act 2015 2.1 2.2 2.3 2.4
This legislation came into force on 29 October 2015 and requires commercial organisations to report annually on policies, training, due diligence processes and the measures taken to combat modern slavery and trafficking in the organisation and its supply chains. Whilst St Leger Homes is not defined as a commercial organisation, as it is listed by the Office for National Statistics as a ‘public finance corporation’, implementing the measures set out in the legislation would fit with the values of St Leger Homes by driving up transparency. Under the legislation we are required to publish a statement on our website within six months of the end of the financial year, i.e. by no later than end of September 2016. A working group has been set up, which will be led by the governance team and include representation from HR and procurement. This group will produce a draft statement for approval by Board at the end of July.
3. Introduction of National Living Wage
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3.1 From 1 April 2016 all businesses will need to pay a minimum of £7.20 per hour to employees aged 25 and over (excluding apprentices in their first year of an apprenticeship and trainees).
3.2 This legislation does not impact on St Leger Homes because all employees (excluding
apprentices in their first year of their apprenticeship and trainees) are paid above this rate. 3.3 St Leger Homes is committed to paying the Living Wage Foundation UK rate. From April
2016 this will be £8.25 per hour which equates to an annual salary of £15,916. Currently the bottom two spinal column points (SCPs) of Grade 1 are below this level.
3.4 We will, therefore, be paying a Living Wage supplement to ensure that all employees
receive the minimum of £15,916. Based on current establishment this will only impact on one employee, but would apply to any new recruits to the bottom two spinal column points of Grade 1.
3.5 It was decided to apply a living wage supplement, rather than take a decision not to appoint
to the bottom two SCP’s of Grade 1 because the Living Wage Foundation UK rate is currently increasing at a higher rate than the national pay scales and is projected to impact on Grade 1 and Grade 2 by April 2018. Had we decided to remove SCP’s to keep in line with the increases in the Living Wage Foundation UK rate this would necessitate a full review of our current grading structure.
4. Public Sector Exit Payment Recovery Regulations 2016 4.1 These regulations are due to be introduced from 1 April 2016. However, further
consultation setting out changes to the original proposals was issued on 20 December 2015 and closed on 25 January 2016. Currently we are awaiting a response from the Government regarding the final regulations.
4.2 At the present time it is believed that this will include the recovery of exit payments for
employees in any area of the public sector who previously earned £80,000 or more and left their employment with the any of the following exit payments having been made (and then take up employment in the public sector): (a) voluntary and compulsory redundancy payments, (b) payments made to secure a voluntary exit from employment, (c) discretionary payments to buy out actuarial reductions in pensions to allow for early retirement; and (d) other payments made as a result of loss of employment.
4.3 If the individual takes up employment in any part of the public sector within 12 months of
their termination of employment, either as an employee, office holder or off payroll, they will be required to repay any exit payment on a tapered basis.
4.4 Once the legislation is introduced St Leger Homes will be required to notify any employees
leaving St Leger Homes who are earning £80,000 or more of these provisions. Details will be included in contracts of employment for future employees paid at or above this salary threshold.
4.5 In addition we will be required to check with any applicants for jobs (who previously earned
£80,000 or more) whether they have received any of the above exit payments and in these circumstances whether they have notified their previous employer and agreed repayment terms. These checks must be carried out before we can employ them. These requirements
3
will be built into pre-employment checks from April 2016. 4.6 There is the provision for the previous employer to exercise a waiver in exceptional
circumstances. The regulations refer to this being exercised by Full Council, which we believe for St Leger Homes would mean this decision would need to be taken by the Board. Any approved waivers would need to be published within the financial accounts for the year in which the waiver was exercised.
4.7 Once the detail is clarified provisions will be included in our Organisational Change,
Redeployment and Redundancy Policy and Procedure and brought to Board for approval in July 2016, following consultation with the trade unions.
5. Proposals to cap public sector exit payments 5.1 The Government is currently proposing from 1 October 2016 to implement a £95,000 cap
on the total value of all exit payments made to public sector employees. The cap will apply before tax and is proposed to cover all redundancy, special severance payments and ex-gratia payments as well as payments in lieu of notice, holiday and benefits and employer costs providing early access to unreduced pension.
5.2 There is provision to waive the cap in exceptional circumstances and it is hoped to be able
to formulate this policy for inclusion in the Organisational Change, Redeployment and Redundancy Policy prior to submission to Board in July 2016.
5.3 Whilst this briefing note was being prepared the Government has launched an additional
consultation on reforms to public sector exit payments which will be in addition to the above legislation. There is currently no timeline for introduction of this legislation as there will need to be consultation and secondary legislation. It is felt this will not impact during 2016/17.
6. Trade Union Bill 6.1 At present there is no threshold requirement for industrial action ballots. It is proposed that
this will change to requiring at least 50% of those who were entitled to vote in the ballot to do so in order for it to count as a valid ballot.
6.2 In addition for some important public services at least 40% of those entitled to vote in the
ballot must vote yes to industrial action. 6.3 St Leger Homes will not be affected by the second requirement as this mainly relates to fire,
police, health and transport. However, the 50% threshold will apply to all trade union ballots. There is not yet a date for implementation, but the Bill is currently at the Committee Stage within the House of Lords.
6.4 In addition, the Government is considering including the following provisions:
repealing the existing prohibition on hiring agency staff to replace workers participating in industrial action (this can be achieved by secondary legislation using existing powers)
changes to the law on picketing, including the possible creation of a new criminal offence of “intimidation on the picket line”
to abolish check-off in the public sector. Check-off is a system whereby union membership payments are deducted from union members’ salaries by their employers and paid over to unions. Discussions have taken place with the trade union on the ‘check off ‘ issue and we have agreed to wait until further detail is
4
available on this issue before deciding what action to take. publication of information about the use of facility time and ‘reserve’ powers to set
limits on its use. 7. Gender Pay Proposals 7.1 These regulations which are due to be implemented in October 2016 will require employers
to calculate gender pay gaps using data from a specific pay period every April from 2017. 7.2 Consultation on the regulations was issued on 12 February 2016 which sets out which
payments are to be included in the analysis and what information needs to be published on our website.
7.3 At the present time it is envisaged that gender pay gap information must be published on
our website by no later than April 2018 based on data at 30 April 2017. It is our intention to include this information in the Framework for Fairness annual report.
8. Requirement for public sector workers in customer facing roles to speak fluent
English 8.1 The Government is consulting on a draft code of practice on the English language
requirement for public-sector workers. The consultation ended on 8 December 2015 and the Government website states that they are currently analysing feedback.
8.2 In brief there will be a requirement to assess fluency at the recruitment stage, have a
complaints procedure in place to deal with any customer complaints and provide training to existing employees where necessary. Where this training has proven ineffective there will be a responsibility on employers to redeploy employees to back office roles.
8.3 Following early consultation with members of the senior management team this is not likely
to create any issues for St Leger Homes. However, we are reviewing our person specifications for all jobs prior to advertising these to ensure that any verbal communication skills requirements are proportional to the job. Guidance is being included in a new job description guide which will be rolled out from April 2016.
9. Contact Officer: 9.1 Linda Keeling
Head of Human Resources and Health & Safety [email protected]
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Company Number 05564649 A Company Limited by Guarantee Registered in England
St. Leger Homes of Doncaster Limited
QUALITY COMMITTEE
9 March 2016
Present Rodger Haldenby (Chair), Michelle Greenwood, Alan Tolhurst, Paul Wray. In Attendance Judith Jones (Director of Housing Services), Jane Davies (Head of Customer Focus), Jennie Daly (Universal Credit Implementation Project Manager), Louise Robson (Customer Relations Service Manager), Alison Rayner (Area Housing Manager), Laura Evans (Executive Support Officer). 1. Apologies and Quorum ACTION 1.1
Apologies were received from Sue Williams (Co-opted Committee Member). It was noted the meeting was quorate and the meeting commenced.
2. Declarations of Interest by Committee Members 2.1 There were no declarations of interest received. 3. Minutes of the Meeting held on 20 January 2016 3.1
The minutes of the meeting held on 20 January 2016 were agreed as a true and accurate record.
Matters Arising 3.2 From agenda item 4.10 – Universal Credit Update
It was noted that the highest and lowest arrears cases are now included within the Universal Credit (UC) presentation.
3.3 From agenda item 4.11 – Universal Credit Update
Members were advised that there was no correlation between the private sector and homelessness as a result of UC and the Welfare Benefit Reform (WBR).
3.4 From agenda item 4.13 – Universal Credit Update
Members were advised that the UC video is now playing on screens at the Civic Building.
4. Financial Inclusion and Welfare Benefit Reform (WBR)
Update
4.1 Members were advised that there were 62 tenants in
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receipt of Universal Credit (UC) as at 28 January 2016, however 2 tenants are now in employment, 1 tenant has given notice to vacate the tenancy and 1 tenant did not engage with SLHD; therefore, there are currently 58 live cases.
4.2 Of the 58 cases:
20 applications have been made for Alternative Payment Arrangements (APA’s)
7 applications have been made for Discretionary Housing Payments (DHP)
Over 62% are aged over 40 67% of claimants are in receipt of UC due to loss of
job 9 tenants have a non-dependant living with them
4.3 It was queried whether the job losses were thought to be a
result of seasonal 0 hours contracts. The UC Implementation Project Manager confirmed that this was not the case.
4.4 Members were advised that the 9 tenants with a non-
dependant would receive a £69 reduction in UC if the non-dependant is over 21 years of age.
4.5 A member queried what the process is for tenants who are
already in arrears prior to UC. It was explained that these tenants are supported through the process and face to face meetings are held also. The Director of Housing Services suggested that a case study is put together to review. It was agreed that the case study is presented to Board.
LE
4.6 91% of tenants in arrears have made a payment of some
level; 31% paid sufficiently, 60% made payments but they were not sufficient and 9% did not pay at all. 1 tenant has been evicted as a result of arrears and UC. Members were advised that if a third party deduction is applied for, single persons over 25 will have £63 automatically taken to pay for arrears, as opposed to the £14 currently and a couple will have £99 taken. SLHD will accept a payment of £14, however if the tenant does not pay this, a third party deduction will be sought where the flat rate of £63 and £99 applies.
4.7 The UC digital service will be live in Doncaster by May
2017 meaning every aspect will be done online. A member queried whether SLHD has the capacity to support this. It was explained that we are currently trying to assess who will need the most support on this.
4.8 A member queried whether the introduction of UC/WBR is
covered within schools. It was confirmed that SLHD do
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plan to do this, having already discussed UC with groups of young single parents; letters have also gone out to the Governors of prisons within Doncaster to discuss this. The Director of Housing Services explained that it was key for teachers and support staff to understand this as it will have an effect on children once UC has rolled out to families.
4.9 Members were referred to the action plan and were
advised that SLHD are currently assessing which groups of tenants are most likely to be affected by UC with a view to targeting resources.
4.10 Members noted the Financial Inclusion & WBR Update. 5. Fencing Policy 5.1 Members were advised that the revised Fencing Policy
proposes that any tenancies commenced after 1 April 2017 will be responsible for the maintenance of fencing; this date ties in with the roll out of the voids pilot. Void properties will have post and wire fencing erected.
5.2 At present, SLHD will replace up to 2m of fencing as a
repair; the costs for this are unknown. Should SLHD decide to undertake more radical repairs, the costs will be looked into prior to this.
5.3 Members agreed to recommend the Fencing Policy to
Board with a review scheduled in April 2018. LE
6. Mobility Scooter Policy 6.1 Members were reminded that the Mobility Scooter Policy
was presented to Board in January and following this, suggested changes have been made to the policy.
6.2 A member queried the layout of the policy as item 5 is
labelled ‘policy’ and asked that it is made clear that the whole document is the policy.
JJ/DA
6.3 A member queried whether the Housing Portfolio Holder
has been involved in the production of the policy. The Director of Housing Services confirmed that both the Portfolio Holder and the Mayor have been involved and there are concerns around how the policy is published. It was explained that the policy will be presented at the next round of Councillor Forums.
6.4 A member referred to item 3.2, where it states that
requests for second mobility scooters will be considered and risk assessed, and raised concerns that this could impact on a tenant’s personal choice. The Director of Housing Services advised that requests will only be
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considered where there is a cost implication for SLHD i.e. widening doors etc.
6.5 The Quality Committee agreed to recommend the
Mobility Scooter Policy to Board, following an amendment to the layout of the policy.
JJ/DA
7. Tenancy Fraud Pilot 7.1 The Area Housing Manager advised that the pilot has
taken place in Balby Bridge and Stainforth with these areas selected due to their different types of properties. The pilot involves tenants attending their local area office to provide ID; where tenants do not have ID, webcams have been installed to do this on site.
7.2 SLHD have used data matching with the National Fraud
Initiative (NFI) which is useful in investigating tenancy fraud cases in more depth.
7.3 1,648 tenants across the two areas have been written to
on a phased basis and so far we have received responses from 1,196 tenants. 120 cases have been referred to Estates Officers and of those, 61 are still being investigated.
7.4 A member queried the time period between sending the
first and third letter to tenants. The Area Housing Manager confirmed that the letters are sent around 3 weeks apart.
7.5 A member queried if both tenants are expected to present
ID on a joint tenancy. It was confirmed that this is the case.
7.6 The Director of Housing Services advised that upon
completion of the pilot, the volume of cases will be assessed and if it is thought worthwhile, it will be rolled out throughout the borough.
7.7 The Quality Committee noted the report and agreed to
review the update following the completion of the pilot in May.
LE
8. Q3 Service Standards 8.1 Members were referred to page 4 of the report and
advised that we are not compliant with the ‘resolve and respond to your written enquiries within 10 working days’ standard. The Customer Care Service manager explained that this was partly due to the team concentrating on responding to complaints, which has caused a dip in performance on enquiries.
8.2 A member commented that it was alarming to see that
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people/departments not taking ownership of issues being raised. The Director of Housing Services explained that sometimes enquiries can cover more than one area/service and there is confusion around who would deal with it. It was agreed that the Customer Care Service Manager looks into this and provides feedback at the next meeting.
LR
8.3 A member referred to the ‘answer your call within 20
seconds’ standard detailed on page 4 and queried whether there was an issue with resources. The Director of Housing Services explained that the Homechoice Team have been concentrating their resources on meeting the service standard for registering housing applications. As an interim, the Technical Support Service will be taking some of the calls to alleviate pressure from the Homechoice Team.
8.4 A member referred to item 10b on Appendix A and queried
whether Facebook is well utilised. The Customer Care Service Manager advised that there are 1,062 people who have ‘liked’ the SLHD page. SLHD post every day and receive a handful of enquiries both publically and privately each week. A member queried if repairs can be reported via Facebook. It was confirmed that they can, however it would still follow normal procedures through the Technical Support Service but contact would be maintained privately via Facebook. A member queried whether negative feedback is posted on Facebook. It was confirmed that negative feedback is received and SLHD always apologies publically; posts are only removed from the page when discriminatory posts are made.
8.5 The Quality Committee noted the performance against
SLHD Service Standards for quarter 3.
9. Q3 Complaints Reporting 9.1 Members were advised that all complaints within Q3 were
acknowledged within 3 days and 96% was achieved of responding to 95% of complaints within 10 working days.
9.2 691 complaints were received in Q3 and of these, 29%
were within Housing Services, 3% within Corporate Services and 68% for Property Services. The Director of Property Services commented that complaints within repairs and maintenance are to be expected, however it was displeasing to see that 23% were due to service failure.
9.3 A member queried the complaints due to policy. It was
explained that these complaints are when policies restrict or dictate what can and can’t be done and the tenant is not
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satisfied with this. 9.4 Members were referred to page 7 and were advised that
mandatory customer care training is being rolled out next year to all staff. A member queried how a complaint is deemed to be service failure on staff attitude/actions. The Customer Care Service Manager confirmed that the manager of the employee in question will make this decision.
9.5 Members were advised that the top 3 themes within
Corporate Services were: DMBC – communal areas Time taken to respond to enquiries DMBC – planning of work
It was confirmed that the DMBC theme relates to Service Level Agreements, which are managed by SLHD.
9.6 A member queried if the solar panels had been allocated.
The Director of Property Services confirmed that all of the budget from DMBC was allocated with the exception of £60k.
9.7 A member referred to page 9 and queried tenants having
to wait a long time for replacement toilet seats. The Director of Property Services explained that toilet seats will be replaced, however they are not considered to be urgent repairs, with the exception of replacements for vulnerable tenants.
9.8 Members were advised that 108 MP complaints were
received with 161 from Councillors and 24 Mayoral complaints. A member asked that it be clarified which Councillor Jones is meant in future presentations.
LR
9.9 A member referred to page 11 and requested that training
be held for Board members on the Ombudsman, Freedom of Information and Data Protection.
LE
9.10 The Customer Care Service Manager advised that 99% of
data protection requests were responded to within timescales. Members were also advised that the EU regulations for data protection will be changed in 2018 which may see the response time reduced to 20 days.
9.11 Members referred to page 15 and were pleased to note an
increase in compliments from last year.
9.12 The Customer Care Service Manager advised members
that the action points from the customer journey have all been addressed and the tenant has received and accepted an apology from SLHD, with a full explanation as to how the problem occurred.
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9.13 The Quality Committee noted the Q3 Complaints
Reporting presentation.
10. Any Other Business 10.1 A member suggested that ‘supporting tenants with a
hearing impairment’ is added to a future agenda. Members agreed to this suggestion.
LE
The meeting ended at 17:30.
Page 1 of 8
Company Number 05564649 A Company Limited by Guarantee Registered in England
St. Leger Homes of Doncaster Limited
AUDIT COMMITTEE MEETING
24 February 2016
Present Linda Christon (Chair), Robert Mayo, Maureen Tennison, Allan Jones. In Attendance Julie Crook, Laura Evans, Nigel Feirn, Nicola Frost-Wilson, Peter Jackson, Julie Lyon, Maria Hallows. 1. Apologies and Quorum ACTION 1.1 No apologies were received. 2. Declarations of Interest by Board Members 2.1 No declarations of interest were received. 3. Previous Minutes and Matters Arising 3.1 From agenda item 4.4 – Monitoring of Internal Audit
Programmes - Anti-fraud & corruption – housing tenancy fraud Members were advised that a further update on the tenancy fraud pilot is being presented to the Quality Committee in March.
3.2 From agenda item 4.14 – Monitoring of Internal Audit
Programmes - Aids and Adaptations A member queried the cross referencing within the minutes. It was clarified that the references within the Monitoring of Internal Audit Programmes are always the same in each report.
3.3 From agenda item 4.23 – Monitoring of Internal Audit
Programmes Members were advised that actions that have not reached their target date will be colour coded for ease.
3.4 From agenda item 7.3 – Q2 Financial Information –
Capital Monitoring The Director of Corporate Services advised that up to date figures were presented to the Board around the return of investment on solar panels. It was noted that £2.3m was invested and the projected return over 20 years will be
Page 2 of 8
£3m. An additional budget line has been created to show the flow of income from the solar panels.
3.5 From agenda item 8.2 – Q2 Risk Management
Members were advised that the Board also queried why strategic risk 3, ‘delivery of the investment programme’, was shown as green and it was explained that it is in relation to the tolerance levels.
3.6 From agenda item 13.1 – Audit Committee Annual
Report The Director of Corporate Services confirmed that further detail around the financial action plan was included within the Audit Committee annual report.
4. Audit Plan Overview and External Audit Strategy 4.1 Maria Hallows, Audit Partner at Beever and Struthers,
attended the meeting to present the External Audit Strategy.
4.2 Members’ attention was drawn to page 2 of the strategy
which details the audit timeline from December 2015 through to July 2016.
4.3 Members were reminded that the new Financial Reporting
Standard (FRS) 102 applies for the accounting period ending 31 March 2016.
4.4 The key audit areas, highlighted on pages 10 and 11, will
be: Stock systems Pension scheme Service Level Agreements (SLA’s) Quality Social Housing (QSH) contract Assessment of Fraud Risk
4.5 A member queried the process for stock system audit
checks. It was confirmed that the external auditors review the processes in place for how stock is removed and returned to the depot; auditors also attend a stock take, which is planned for 19-20 March 2016. The stock take will involve SLHD undertaking a complete count with external auditors selecting a sample of stock to check.
4.6 A member commented that it was pleasing to see the QSH
contract as a key audit area. The Director of Corporate Services explained that the external auditors will review the management agreement as part of this audit. Members expressed concern that works have yet to start on the build programme for QSH. It was confirmed that the delay is with QSH and their financial agreement and it was suggested
Page 3 of 8
that an update be provided to Board. Members were re-assured that SLHD have sought legal advice in relation to the delays.
JC/LE
4.7 The Audit Committee agreed to accept the External
Audit Strategy and the proposed fee of £16,500 excluding VAT.
5. Monitoring of Internal Audit Programmes including
2016/17 Audit Plan
5.1 The Interim Head of Finance lead on the report and
referred members to appendix A, which details the 2015/16 programme. From this programme, 5 reviews have been undertaken which has led to internal audit reports being presented to the committee.
5.2 The Director of Corporate Services advised that the
internal audit on aids and adaptations has been requested by the Executive Management Team (EMT) as the process is not managed by SLHD; however the expenditure is captured within HRA budgets and there is a need to ensure value for money is being achieved.
5.3 Members were advised that the work due to take place
during quarter 4 on the Gypsy and Traveller Service has been postponed until 2016/17. This audit has been replaced with a compliance testing exercise, against legislation and policy, of how mutual exchanges are handled.
5.4 A member queried whether the external auditors review the
work undertaken by the internal auditors at any point. The Director of Corporate Services advised that the external auditors will undertake joint working if necessary to gain assurance on some aspects and copies of all Internal Audit reports are provided to External Audit.
5.5 Members were referred to appendix B which details 48
outstanding actions; 14 of these have been confirmed as fully implemented.
5.6 ISS.2 – Monitoring of Scrap
Members agreed to sign off this action.
5.7 ISS.3 Records
Members agreed to sign off this action.
5.8 ISS.4 – Authorisation
A member queried the reason for the hold up on completing this action. It was explained that progress hasn’t been made as quickly as hoped and external
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programming work is required also. The Chair requested that this be looked at with some priority.
5.9 ISS.1 – Ownership of Stock
Members agreed to sign off this action.
5.10 ISS.2 – Annual Stock Takes
Members agreed to sign off this action.
5.11 ISS.11 – Information Asset Register and ISS.13 – IAO
Annual Report Members were advised that work will commence on these actions following the approval of the Data Sharing & Policy Protocols at Board in January 2016 and should therefore be ready for sign off at the next meeting. A member queried whether the target completion date was realistic for this action. The Director of Corporate Service advised that the volume of work required was greater than anticipated, however managers are reminded to create realistic targets.
5.12 ISS.1, ISS.2 and ISS.4 – Gas Purchase Cards
Members agreed to sign off these actions.
5.13 ISS.6 – Staffing Resources
Members agreed to sign off this action.
5.14 ISS.9 – Length of Stay
Members agreed to sign off this action.
5.15 ISS.10 – Procedures
Members agreed to sign off this action.
5.16 ISS.4 – Long Term Solution
Members agreed to sign off this action.
5.17 A member asked that an extra colour is added to the
spreadsheet to show which actions are not yet overdue. NF
5.18 A member referred to appendix C and queried the
difficulties in the management of Gypsy and Traveller tenancies. It was explained that SLHD have built the service up following its transfer across from DMBC in 2014.
5.19 Members noted:
The completion of the 2014/15 audit plan and the progress made against the 2015/16 audit plan
The content of the report and agreed the sign off of completed actions
Approved the 2016/17 Internal Audit Programme
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6. Reports Commissioned by Internal Audit: 6.1 Capital Expenditure Value for Money (VFM)
Members were advised that partial assurance had been given following a risk based audit. One risk was identified which was that the capital programme fails to achieve VFM on internal delivery; this risk was inherently scored as high, however with controls the residual risk is scored as medium. The Director of Corporate Services advised that, whilst we do undertake benchmarking to ensure our rates are competitive, we do not have a process in place to demonstrate this. Members were advised that this will create one outstanding action and it is hoped this will be complete prior to the next Committee meeting.
6.2 Right to Buy (RTB)
Members were advised that partial assurance had been given following a risk based audit. One risk was identified around ensuring illegitimate RTB applications are not processed. Members were advised that, although some elements of RTB fraud are beyond the control of SLHD, 5 recommendations have been made to strengthen the process; these should be completed by the July meeting. A member queried whether the RTB discount is compulsory. It was explained that it is legislation and must be applied.
6.3 Voids
Members were advised that partial assurance had been given following a risk based audit. One risk was identified which was around the inappropriate use of resources. Members were informed that 5 recommendations have been made which includes revising the current Schedule of Rates (SOR). A member queried whether it was possible to use the SOR’s created by the Royal Institute of Chartered Surveyors (RICS). The Director of Corporate Services explained that we will be looking to simplify our current SOR’s. The Chair suggested that a briefing note explaining this process be presented at the next meeting.
JC
6.4 Current Rent Arrears
Members were pleased to note that substantial assurance had been given following a risk based audit. One recommendation has been given which is to review historic cases; this is considered to be low risk.
7. Financial Action Plan 7.1 The Interim Head of Finance informed members that work
has commenced on all actions detailed within the plan; of these actions 3 are complete, 1 is on target and 3 are behind target.
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7.2 The Chair explained that the action plan is expected to be complete by the next meeting in July and suggested that an update report is presented to the Board in July also.
LE
7.3 A member queried whether training is required in relation
to the ERP system provided by DMBC. It was explained that that support is in place with DMBC through our Service Level Agreement (SLA); however the system has not been implemented as quickly as hoped within SLHD.
7.4 The Audit Committee noted the progress on the
Financial Action Plan.
8. Debtors Collection Performance 8.1 The Interim Head of Finance advised members that there
have been very few charges raised since performance was last reported.
8.2 The sundry debtors, as at December 2015, stands at
£214,029 owed to SLHD, with 84.5% of this debt being over 365 days old. It is suggested that the debt over 365 days old is written off, which will leave a total of just over £33,000. A member queried whether this debt is managed as part of the SLA with DMBC. It was confirmed that this is managed by DMBC and we will be looking to renegotiate the £37k fee paid to DMBC following the write off.
8.3 A member queried whether SLHD has the capacity to
manage debtors internally. The Director of Corporate Services advised that we do not have the systems in place to do this.
8.4 In terms of HRA rechargeable repairs debtors, the closing
balance stands at £369,549 as at December 2015, with 87% over 365 days old.
8.5 Members were advised that the responsibility for writing off
debt sits with the Section 151 Officer, which is delegated to the Director of Corporate Services.
8.6 The Audit Committee acknowledged the aged debtor
report and approved the write off of debts detailed within the report.
9. Draft Accounts Receivable Policy 9.1 Members were advised that this policy described the
activities and responsibilities involved in ensuring accounts are raised by SLHD in respect of SLHD accounts and HRA accounts.
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9.2 A member referred to item 5.6 in the policy and queried the phrase ‘dunning cycle’. It was explained that this is a process used by DMBC.
9.3 The Audit Committee noted the policy and
recommended this to Board in April 2016.
10. Q1/Q2 Supplies & Logistics Report 10.1 Kevin Middlebrook, Contract and Compliance Service
Manager, attended the meeting to provide an update on supplies and logistics.
10.2 Members were referred to appendix A and were informed
that staff within the Stores team picks, on average, 15,240 lines of stock each month. To date, 72 van stock checks have been completed against a target of 151 for the year.
10.3 Members were advised that £1,337.62 worth of stock has
been written off during Q1-Q2 in 2015/16 and around £40k worth of adjustments have been made.
10.4 The warehouse at Shaw Lane will receive its 2015/16 stock
take on 19th and 20th March 2016. The Stock Controller will oversee the stock take and investigate any discrepancies that arise.
10.5 A member commented that the ratio of vans did not seem
to be compatible to the volume of warehouse stock. The Internal Audit Manager advised that an internal audit report was undertaken in late 2014 around this. The Contract and Compliance Service Manager agreed that the volume of stock does appear to be high and this will be considered during the reviews listed at 5.3.1 in the report.
10.6 A member queried whether trades staff takes their work
vans home and whether these are subject to break ins. It was confirmed that there are a number of staff that do take home their vehicles and there was a spate of break ins during 2015. Safe boxes have been installed into vans following this and security has been increased to prevent future break ins.
10.7 A member queried whether there was a figure for the total
stock purchased during the year. The Contract and Compliance Service Manager agreed to provide this figure.
KM/LE
10.8 A member commented that it was disappointing to see that
there are ‘no shows’ when it comes to van stock checks. It was explained that a policy has now been implemented and if staff fail to show for van stock checks, the necessary HR processes are now in place.
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10.9 The Audit Committee noted the contents of the Q1/Q2
Supplies & Logistics Report.
11. Review of Fraud Register and Related Activities 11.1 The Director of Corporate Services informed members that
there are three potential allegations; one of which is linked to insurance. The Committee will be kept update on all allegations.
11.2 The Audit Committee noted the Review of the Fraud
Register and Related Activities.
12. Any Other Business 12.1 Forward Plan
Members were advised that the Q2 Financial Information will be presented to the committee on 3rd November 2016. A fourth committee meeting will be arranged at a time when several internal audit reports will be presented.
Date and Time of Next Meeting 8 July 2016 at 2:00pm. The meeting ended at 13:00.
