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Mr M Jeffries
To the Chair and Members
742221
of the
MJ/EVB - R82/32
CABINET
11 July 2008
Dear Sir/Madam
A meeting of THE CABINET will be held in COMMITTEE ROOM 1, CIVIC OFFICES,
MERRIAL STREET, NEWCASTLE on WEDNESDAY, 23 JULY 2008 at 10.00am.
AGENDA
1. To consider the minutes of the previous meetings held on 18 June and 8 July
2008 (copies attached – grey paper).
2. To receive Declarations of Interest from Members on items included in the
agenda.
3. To consider the report of your Officers (copy attached - white paper).
4. To consider any business which is urgent within the meaning of Section 100B(4)
of the Local Government Act 1972.
5. To receive Declarations of Interest from Members on items included in the
confidential agenda.
Yours faithfully
A CAMPBELL
Democratic Services Manager
Officers will be in attendance prior to the meeting for informal discussions on
agenda items.
CABINET MEETING
23 July 2008
(Major Items and those with Significant Financial Implications)
INDEX OF ITEMS
Portfolio Item & Officer to Contact Page No
Resources & 1. Workforce Development Update 1
Efficiency/Customer Service (Ms S Taylor)
& Transformation
Customer Service & 2. Improvement Board Review 4
Transformation (Mrs C Pilawski)
3. Income Generation and The Reporter 6
(P Jones)
4. Write-off Procedures 11
(K Turner)
Neighbourhoods & 5. Nominations and Lettings of Extra Care 16
Regeneration and Shared Ownership
(Ms J Basnett)
6. North Staffordshire Sub Regional Choice 18
Based Lettings Partnership
(Ms S Davies)
Culture & Active 7. Policy For Unsupervised Children‟s 23
Communities Playgrounds
(D A Adams)
Environment & Recycling 8. Replacement Principal Borough Cemetery 28
(A H Hudson)
Environment & 9. Corporate Enforcement Strategy 2008- 33
Recycling/Safer & Stronger 2011
Communities (A H Hudson)
Safer & Stronger 10. BT Proposals for the Removal of Public 35
Communities Payphones
(D Goode)
Resources & 11. Adoption of Records Management Policy 39
Efficiency/Customer Service (P Clisby)
& Transformation
Index page 1
NEWCASTLE-UNDER-LYME BOROUGH COUNCIL
CABINET
23 July 2008
WORKFORCE DEVELOPMENT UPDATE
Why is it here?
To make Members aware of progress being made on Workforce Development initiatives.
What are we being asked to do?
Endorse the progress being made.
IMPROVEMENT BOARD REVIEW
Why is it here?
To ensure that the Improvement Programme is underpinned by robust project management
agreements and to avoid duplication of resources and maximise involvement of all interested
parties.
What are we being asked to do?
To approve the dissolution of the Improvement Board and subsequent changes to the
arrangements for reporting issues relating to Improvement Programme matters.
INCOME GENERATION AND THE REPORTER
Why is it here?
To consider the use of „The Reporter‟ for commercial advertising.
What are we being asked to do?
To accept the principle of advertising in „The Reporter‟ and to engage suitable specialists to
oversee the advertising function in the newspaper.
WRITE-OFF PROCEDURES
Why is it here?
To clarify the procedures adopted for the purpose of writing off outstanding amounts following
recent comment in both the local media and Parliament.
What are we being asked to do?
To approve future reports being submitted for consideration of the writing off of account balances
where the value of items to be written off exceeds the limit defined in Standing Orders and Financial
Regulations dedicated to the Council‟s Section 151 Officer.
NOMINATIONS AND LETTINGS OF EXTRA CARE AND SHARED OWNERSHIP
Why is it here?
To ensure that all types of affordable housing are accessible to those in need through the relevant
allocation policies.
What are we being asked to do?
To adopt the Extra Care Allocation and Lettings Policy together with the Joint Shared Ownership
Allocations Policy, the latter for a pilot period.
NORTH STAFFORDSHIRE SUB REGIONAL CHOICE BASED LETTINGS PARTNERSHIP
Why is it here?
To consider proposals to enter into a contract with Stoke-on-Trent City Council‟s Choice Based
Lettings IT provider which would reduce the time to develop and build a sub regional CBC IT
system.
What are we being asked to do?
To approve negotiations with the IT supplier and to enter into an appropriate contract to provide the
service.
POLICY FOR UNSUPERVISED CHILDREN’S PLAYGROUNDS
Why is it here?
To ensure play facilities provided by the Council are „fit for purpose‟ and to minimise the Council‟s
exposure to risk.
What are we being asked to do?
To approve the programme of work and allocation of finance.
REPLACEMENT AND PRINCIPAL BOROUGH CEMETERY
Why is it here?
To update Members on progress with the scheme and costs.
What are we being asked to do?
To approve the detailed design and to fund the updated cost estimate of the project.
CORPORATE ENFORCEMENT STRATEGY
Why is it here?
To advise Members of the revised Corporate Enforcement Strategy and to seek the views of
Cabinet.
What are we being asked to do?
To approve the Strategy.
BT PROPOSALS FOR THE REMOVAL OF PUBLIC PAYPHONES
Why is it here?
To consider proposals by BT to remove 15 public payphones within the Borough.
What are we being asked to do?
To authorise Officers in consultation with the Portfolio Holder to prepare a draft response.
ADOPTION OF RECORDS MANAGEMENT POLICY
Why is it here?
To consider the draft Records Management Policy to ensure compliance with the Local
Government Act 1972, Data Protection Act 1998 and Freedom of Information Act 2000.
What are we being asked to do?
To approve the draft policy
PORTFOLIO – RESOURCES &
EFFICIENCY/CUSTOMER SERVICE
& TRANSFORMATION
1. WORKFORCE DEVELOPMENT UPDATE
Submitted by: Human Resource Officer (Workforce Development)
Portfolio: Resources & Efficiency/Customer Service & Transformation
Ward(s) affected: None
Purpose of the Report
To report on the progress of the objectives that have been agreed within the „Improvement
Programme Work Plan‟ i.e. Management Development Strategy and Competency Framework.
Recommendation
That the report be received and that Cabinet endorse the progress made.
Reasons
To ensure Members are aware of the progress being made on Workforce Development initiatives.
1. Background
Management Development Strategy
1.1 The Council is introducing a Management Development Strategy (Appendix „A‟ - cream
paper) to help drive improvement and create the capacity to achieve an excellent CPA score
by 2010. It recognises the importance of recruiting and retaining the best people who can
deliver the vision and the aims of the Council to improve „life‟ within the Borough by
consistently delivering excellent and reliable services.
1.2 This strategy will ensure a structured approach to recruit the right managers with the
required attitudes, competencies and the potential for growth and development through a
cost effective „excellent‟ recruitment process. Once the new manager has started in the post
they will go through an induction process which is designed to support new managers to
become fully effective in their roles as quickly as possible. The next stage is to identify their
development needs to enable them to deliver better performance whilst developing their
skills to deal with new challenges. The strategy is competency driven and linked to the
Councils Competency Framework.
Competency Framework
1.3 A Competency Framework (Appendix „B‟ - salmon paper) had initially been developed for all
levels of manager but by introducing three levels to the framework, it can eventually be used
for all employees. This is an established process in relation to employee development, with
a common language for all to understand and will drive all Human Resources processes that
are linked to the Corporate/ Service and Financial Plans and will include:
Selection and Recruitment
Job descriptions and Job Evaluation
Development
Performance Management
Culture Change
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Succession Planning
2. Proposals
Management Development Strategy
2.1 It is proposed to issue the Strategy to all managers direct in the near future and also to
place it on the employee intranet. There are contact details on the document for employees
who may have any queries, along with a timetable of initiatives.
Competency Framework
2.2 Dates are to be arranged for a pilot programme; initially a briefing document will be
communicated to the staff within selected pilot areas.
2.3 Once members of staff in the pilot areas have undertaken the assessment, we will have
more of an idea of how long the implementation process will take and an implementation
programme will be established across the remaining service areas.
2.4 Senior and Middle Managers will be invited to attend a presentation informing them of the
benefits of the framework and explaining how it will be used.
2.5 The HR Officer (Workforce Development) will work with the service areas to assist with the
180 degree employee self- assessment (Appendix „C‟ - yellow paper) of core competencies
whilst embedding the core competencies into Person Specifications.
2.6 Once manager and employee have completed an assessment, they will meet to discuss the
outcomes/ comparisons and agree a development/ performance plan. This will link back to
the Management Development Strategy which will identify the Council‟s priorities and
recommend specific development activities/ workshops they will need to attend as part of
their ongoing continuous improvement.
2.7 Embedding the Competencies into Person Specifications - Core competencies will be
introduced to Person Specifications at the recruitment stage as posts become vacant.
2.8 Recruitment and Selection - A library of competency based interview questions has been
established to effectively measure/ evaluate each of the management competencies within
the Council‟s framework. The manager will be able to select questions that relate to the
core competencies for the specific post which they can use along with the usual technical
based questions (Appendix „D‟ - blue paper).
2.9 Monitoring and Evaluation - The framework will be reviewed annually or when Corporate
objectives change and can easily be adapted.
3. Equality Impact Assessment
There are no adverse implications and complies with the Council‟s Equal Opportunities
Policy.
4. Financial and Resource Implications
4.1 The cost of training courses will be met from within the approved Corporate Training
Budget. The Council‟s interest has also been registered with the WMRIEP Leadership and
Development (Programme £2.3 million funding across Staffordshire) and also a low cost has
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been negotiated for our managers to attend an accredited programme under the Institute of
Leadership and Development – (funding through NVQ).
5. Major Risks
There are no significant risks arising from implementation of the Strategy or the Framework.
6. Key Decision Information
This is not a key decision as it does not involve significant expenditure.
7. List of Appendices
Appendix „A‟ (cream paper) – Management Development Strategy
Appendix „B‟ (salmon paper) – Competency Framework
Appendix „C„ (yellow paper) – Competency Assessment
Appendix „D‟ (blue paper) – Competency Based Interview Questions
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PORTFOLIO – CUSTOMER
SERVICE & TRANSFORMATION
2. IMPROVEMENT BOARD REVIEW
Submitted by: Corporate Improvement Manager
Portfolio: Customer Service and Transformation
Ward(s) affected: All
Purpose of the Report
To consider proposals to establish monitoring of the Improvement Programme and its activities
through the Cabinet and recently developed and improved Overview and Scrutiny structure; and to
disband the Improvement Board.
Recommendations
(a) To approve the integration of the Improvement Board management and monitoring
responsibilities into Informal Cabinet on a bi-monthly basis, with six monthly reports to
Cabinet.
(b) To approve scrutiny of the Improvement Programme through the individual Overview
and Scrutiny committees on priority specific issues and in full by the Transformation and
Resources Scrutiny Committee
(c) To approve the dissolution of the Improvement Board.
Reasons
To ensure that the Improvement Programme is underpinned by robust project management
arrangements. To avoid duplication of resources in the management, monitoring and scrutiny of
improvement activities. To maximise the involvement of all Councillors and interested parties in the
Improvement Programme.
1. Background/Position Statement
1.1 The Improvement Board was set up to ensure that the Improvement Programme was
underpinned by robust project management arrangements and resources. It was set up
with particular focus on the delivery of a programme of culture change and continuous
improvement within the Council.
1.2 The Improvement Board is an advisory working party for the Executive Cabinet and as such
has no decision making powers.
1.3 Initially the Board met on a monthly basis, the servicing of the monthly meetings, whilst
necessary in the early stages for the Board to facilitate the change culture, was detracting
key staff from the delivery of the improvements required. It was agreed that the
Improvement Board would therefore meet on a bi-monthly basis with one month being on an
informal discussion basis for officers to explore proposals with members and the second
month, being the formal Board meeting with peers in attendance.
1.4 In October 2007 the role of the Board went through its last review. Members considered the
regularity of its meeting timetable in light of the review of the Improvement Programme and
given the increased support that the programme had from both officers and members. The
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Improvement Board was integrated into Informal Cabinet with bi-monthly meetings on
Wednesday mornings and the Board was arranged to meet formally, every 6 mouths at an
open meeting (open to all councillors, outside agencies and partners).
1.5 The initial meeting of the Board on a six monthly basis occurred on 21 May 2007.
2. Issues
2.1 During the last six months a number of initiatives have taken place providing an opportunity
to review the governance arrangements of the Improvement Programme. The role of the
Audit and Risk committee has been expanded and the new Scrutiny committees reflecting
the Council‟s priorities have been established. Performance is improving and performance
management is becoming embedded with the new Scrutiny framework having a clear
responsibility for performance management.
2.2 The „informal‟ Cabinet provides a regular review of the Improvement Programme with Audit
and Risk Committee focusing upon assurances and exceptions. On the operational side,
there is to be a quarterly enhanced Senior Management Review focusing amongst other
things on the delivery of projects within the Improvement Programme with Executive
Management being held accountable for delivery in their respective areas. Changes to
policies, processes and of significance are reported to Cabinet and other Council
committees in line with the Constitution
3. Proposal
3.1 To continue with the present governance framework in respect of the Improvement Board
would add another layer of bureaucracy to the process and duplicate, with the risk of
conflicting with one another, processes set to deliver management, monitoring and scrutiny
of the Improvement Programme.
3.2 To disband the Improvement Board, instigate performance reports to the Overview and
Scrutiny committees and to continue to report on progress and any areas of concern directly
to Cabinet, Audit and Risk and Executive Management Team would seem more appropriate
demonstrating an improved rationalisation of resources.
4. Reasons for Preferred Solution
4.1 To improve efficiencies by reducing the level of committee servicing whilst maintaining the
input from officers and members as part of the process.
5. Outcomes Linked to Corporate Priorities
5.1 The Improvement Programme and therefore its delivery and challenge of that delivery,
provides a direct contribution to the Council‟s priority of transforming our Council to Achieve
Excellence.
6. Legal and Statutory Implications
There are no new legal or statutory implications
7. Equality Impact Assessment
There are no differential equality impact issues identified from this proposal.
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8. Financial and Resource Implications
There are no financial issues.
9. Key Decision Information
9.1 The Improvement Programme is a key decision and is included in the Forward Plan.
10. Earlier Cabinet/Committee Resolutions
Cultural Change and Improvement Board, Cabinet, 2 August 2006
Improvement Board Review, December 2007.
11. Background Papers
Improvement Programme and Board file.
3. INCOME GENERATION AND THE REPORTER
Submitted by: Communications Manager Phil Jones
Portfolio: Customer Service and Transformation
Ward(s) affected: All
Purpose of the Report
To inform Members of income generation opportunities associated with the Reporter civic
newspaper and the website.
Recommendations
That Members:-
(a) Accept the principle of commercial advertising in the Reporter.
(b) Authorise officers to engage a suitable media sales specialist to oversee the
advertising function in the civic newspaper.
(c) Authorise officers to explore the option of advertising on the Council’s website.
Reasons
The Council‟s decision to double the number of Reporters produced each year from five to ten
makes the civic newspaper a more attractive and value for money proposition for local advertisers.
Many other local authorities across the country already use their civic publications as an
appropriate vehicle to generate revenue from selected businesses and organisations. There is now
an opportunity for the Reporter to be used in a similar way.
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1. Background
1.1 The Council‟s Transformation and Resources Overview and Scrutiny Committee on 16 April
2008 considered a confidential report on developing corporate communications.
1.2 Members received a report advising them of the results of a tender process carried out for
the procurement of the Reporter civic newspaper. The outcome of the tender process was
duly noted and decisions taken by Cabinet in December 2007 to develop corporate
communications were supported by the committee. This decision meant the Reporter would
be produced 10 times a year instead of the previous five.
1.3 At the same, the Transformation and Resources Overview and Scrutiny Committee meeting
resolved that officers be asked to produce a future report detailing whether approved
organisations could place advertising in the Reporter to generate income.
1.4 This report explores this proposal from members while at the same time examining wider
issues surrounding the use of advertising in the Reporter as well as the Council‟s website.
2. Issues
2.1 Since its inception, the Reporter has been published five times a year. The number of
editions has now been doubled as the Council looks to develop its corporate
communications and enhance the way it communicates with residents and other stake
holders.
2.2 Previously, there has been limited external advertising and content in the Reporter with only
selected „partner‟ public sector organisations such as Staffordshire Police, the Primary Care
Trust and Staffordshire Fire and Rescue Service approached and allowed to book and pay
for space.
2.3 The only non-public sector advertiser has been the New Vic Theatre which it was felt
prudent to include as it has an historic relationship with the public sector and receives
significant funding from the public purse each year.
2.4 Discussions have taken place with a number of other local authorities over their approach to
the issue of funding opportunities and civic publications. A significant number do include
advertising and the revenue generated can be used to offset additional costs while at the
same time providing a source of income for the Council and improving communications with
stakeholders.
2.5 One of the main considerations for previously avoiding external advertising was the fact that
inclusion in the civic publication could be seen as an endorsement for advertisers. That
could have implications for the Council if it then found itself in conflict with an advertiser,
either through a prosecution or enforcement action for instance.
2.6 Discussions with other local authorities has resulted in guidance as to how this potential
conflict of interests can be avoided. Most tend to use advertisers from an approved list of
contractors and suppliers already linked to the Council rather than taking advertising from
any external source.
2.7 By following this approach, none of those Councils approached had found themselves in a
difficult position with advertisers.
2.8 The inclusion of advertisements can have other benefits for the Council in addition to
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serving as a mechanism for generating income. The inclusion of external adverts can serve
to:-
Increase the respect of the readership for a newspaper. Advertisements from the
private sector are an indicator that organisations other than the Council are prepared
to invest in the publication.
Vary the content of the newspaper and make it more of an interesting read for
residents. This added value can result in enhanced awareness of, and therefore
interest in, the news articles/features published in the newspaper.
Enable greater pagination without additional cost or loss of editorial content.
Combining advertising with interesting and informative editorial content, recruitment
and some public notices, would result in a publication with wider appeal and would
almost certainly result in a longer shelf-life with readers.
2.9 Lincolnshire County Council has just become the first local authority in the country to
consider commercial advertisements on pages on its website. The advertising will create
extra revenue that the county council says it will use in its provision of services to the
residents of Lincolnshire.
2.10 The advertising on the Lincolnshire County Council website will be subject to review and
requires no maintenance from Council employees, with adverts coming from a service
provider directly to the website.
2.11 In addition to carrying out all the advertising function for the Reporter, a media sales
specialist will also be able to oversee this revenue generating opportunity for the Council
with the same arrangements regarding cold-calling, advertisement design, billing and so on.
2.12 Revenue sharing arrangements would be similar to those outlined in the Proposals Section
below. It is difficult at this stage to pinpoint how much such an exercise could generate for
the Council as this is a new area which so far only one county authority has begun to
explore.
2.13 However, development work over the last two years on the Borough Council‟s website has
led to a virtual doubling of the number of unique users who now log on to our site to do
business with the authority. Most recent figures show the Council‟s site is averaging just
over 8,000 unique users visiting each week. This is another market which may be of
interest to advertisers.
3. Options Considered
3.1 There are a number of options which the Council could consider if Members accept to the
principle of commercial advertising in the Reporter. All of the options use as a starting point
an agreement to use the Council‟s approved suppliers as the basis from which to pursue
advertising opportunities. It should be noted that the Council would retain the final say over
which advertising could be used.
3.2 This would ensure the Reporter, and website, deal mainly with businesses or organisations
who already have an established and acceptable link with the Council. Although this should
act as a starting point for seeking advertisers, Members are advised that this should not
necessarily preclude businesses, companies and organisations that may show an interest
and are acceptable. Select lists of suppliers and contractors which are held by departmental
managers could also be used.
3.3 Other civic publications use adverts from an array of outlets including legal firms;
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broadcasters; fitness equipment providers; construction companies; visitor attractions;
housing associations and so on.
3.4 Members would also be advised to agree the ratio of advertising to editorial space. The
main reason the Reporter has gone up from five editions to 10 is to increase the flow of
information to residents both from the Council and key partners such as he PCT, the
voluntary sector, Staffordshire Police and so on. To ensure advertising does not become an
over-riding and intrusive factor and compromise the flow of information to stakeholders, it is
recommended that an upper limit of 20 per cent of advertising per edition be the recognised
norm.
3.5 Selling advertising space is a specialised area of employment. There is an element of time-
consuming cold calling to be done, details of advertisements need to be agreed with
customers, designs produced which meet customer requirements and industry/consumer
standards, invoicing customers, chasing payments and taking appropriate action over bad
debts.
3.6 Option A - Use existing resources within the Council‟s Communications Department
There are a number of difficulties with this course of action. Firstly, none of the existing staff
in the Communications Department have the necessary skills to undertake this area of work.
Secondly, if existing staff resources were re-directed to advertising responsibilities, this
would have a significant and negative impact on other key areas of work which would have
to stop.
Option B – Recruit a part-time sales person
To adequately cater for 10 editions a year, it is estimated it would take a 0.4 FTE member of
staff on Grade Six to be recruited. With on-costs, it is considered that this option would not
prove to be cost-effective for the Council and costs could out- strip revenue.
Option C – Use a specialist media sales organisation
Research has shown that a large number of public sector organisations follow this
approach. It would involve the specialist company approaching the potential advertisers,
securing agreements and then carrying out all the work through from design to billing. It
would be preferable if the company could carry out the work for both the Reporter and the
website – if members approve this course of action. The Council‟s only involvement in this
process would be to provide contact details of potential advertisers. At the end of the
financial year, the Council would receive 50 per cent of all advertising income generated
with the other 50 per cent being retained by the specialist media sales organisation.
Option D – do not pursue commercial advertising income
The Reporter is a successful local „brand‟ with frequent surveys showing it to be valued by
residents as the single most important source of information for them about the Council, our
services and activities. The civic publication has won national awards previously and was
„Highly Commended‟ in last year‟s Chartered Institute of Public Relations „Excellence in
Communications‟ awards. A lack of external advertising has not adversely affected the
publication, so the Council could retain the status quo and pursue selected advertising
opportunities from partner organisations as we do at present. Commercial advertising on
public sector websites is yet unproven and may not generate any significant income for the
Council.
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4. Proposal
4.1 A preliminary discussion has taken place with a media sales organisation to help the Council
ascertain the potential income opportunities available from using the advertising to editorial
ratios mentioned above in the Reporter.
4.2 Members should be advised that it will take time for interest in a new venture such as
commercial advertising in the Reporter to grow. Much will depend on how advertisers view
the potential of the civic newspaper to generate income for them. However, if the venture
proved to be a success, it is estimated that seven 8-page Reporters each year combined
with three 12-page Reporters could yield an annual income of up to £12,500 for the Council.
5. Reasons for Preferred Solution
5.1 Generating income from advertisements placed in the Reporter, and possibly on the
Council‟s website, is a new area of work for the Council and there is no experience or
capacity within the existing establishment to meet these additional demands. It is
recommended that the Council pursues Option C as the most cost-effective, efficient and
value for money option.
5.2 Using the skills and experience of an existing media sales specialist would allow the Council
to generate income without additional expenditure. It would also present an opportunity to
minimise risk. Information from other authorities suggests agreements can be reached
whereby bad debts are met from the specialist‟s share of any profits generated in a year.
5.3 Other Councils also insist on disclaimers appearing which make it clear that the authority
does not endorse products or services available from advertisers.
6. Outcomes Linked to Corporate Priorities
6.1 Communications underpins each and every one of the Council‟s priorities by encouraging
stakeholder awareness of and involvement in all of the authority‟s services, events and
activities.
6.2 It would be difficult from the outset to set a specific performance indicator and income target
for these proposed income growth area because they area a new venture for the Council. It
may be more appropriate to monitor initial advertiser take-up and then revise the
Communications Department‟s Service and Financial Plan accordingly.
7. Legal and Statutory Implications
There is no legal or statutory duty for the Council to produce a civic newspaper.
8. Equality Impact Assessment
8.1 Every edition of the Reporter carries a panel which alerts all residents to the fact that the
publication can be made available in other formats or languages if a request is made to the
Council. The agreement with the company which was awarded the contract to distribute the
Reporter is for all postal addresses in the Borough to receive a copy of the publication.
8.2 Electronic versions of the Reporter are put on the Council‟s website which can be viewed in
English, plus 11 other languages by using free facilities provided by Google and AltaVista.
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9. Financial and Resource Implications
9.1 If the Council agrees to pursue Option C, there could be a positive financial outcome without
any direct resource implications as a media sales specialist would take responsibility for the
day-to-day operation of the advertising element of Reporter production and web advertising
content. Members should be assured that the final decision on content in both areas will
remain with the Council.
9.2 Agreements with the Council‟s current print and distribution companies are for eight page
publications, therefore, if production remains at this level there will be no additional costs.
However, for each 12-page Reporter produced, the Council will incur additional expenditure
per edition for print, distribution and typesetting. This additional expenditure has been taken
into account and captured in the income generation forecast outlined in 4.2.
10. Major Risks
10.1 A full risk assessment on a separate corporate pro-forma is attached to this report as
Appendix „E‟ (lavender paper)
11. Earlier Cabinet/Committee Resolutions
Cabinet – December 2007 – Developing Corporate Communications Transformation and
Resources Overview and Scrutiny Committee April 2008
12. List of Appendices
Appendix „E‟ (lavender paper) – Risk Assessment
4. WRITE-OFF PROCEDURES
Submitted by: Revenues and Benefits Manager
Portfolio: Customer Service and Transformation
Ward(s) affected: All
Purpose of the Report
To confirm the Council‟s procedures when considering the writing-off of outstanding account
balances for the annual statement of accounts.
Recommendations
(a) That it be noted that the administrative procedures followed in writing-off debt in
2007/08 were the same as in previous years.
(b) That the procedures outlined in the report be noted.
(c) That future reports be submitted for consideration of the writing-off of account
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balances, where the value of items to be written-off exceeds the limit defined in Standing
Orders and Financial Regulations, delegated to the Section 151 Officer.
Reasons
It is essential that the Council‟s annual statement of accounts reflects an accurate position of the
financial status of the Council. Where the Council becomes aware that amounts outstanding will
not be collected, for a specified reason after every effort has been made, the value of these sums
should be removed from the Council‟s accounts to maintain this accuracy. Items considered for
write-off during the financial years 2006/07 and 2007/08 have been subject to recent comment in
both Parliament and the local media, resulting in the Leader of the Council requesting that
clarification of procedures adopted for the purposes of writing-off amounts outstanding be
confirmed.
1. Background
1.1 Part of any procedures for the collection of monies due to an organisation is to have in place
a robust mechanism that recognises a point when it becomes impossible or improbable that
a debt is likely to be realised. This can be for a number of reasons. The procedures
currently in place at Newcastle have largely been unchanged for many years, with only a
variation on the amounts to be written-off by officers under the scheme of delegation being
amended from time to time.
1.2 Following the writing-off of account balances in March 2008, there have been a number of
questions tabled in Parliament and articles in the local media regarding certain written-off
balances and questioning the processes in writing these amounts off.
1.3 The Leader of the Council requested on 2 June 2008 that a report be brought to the Cabinet
in July to outline the process that was followed in 2007/08 and to answer specific questions
connected with that process.
2. Issues
2.1 The Council endeavours to collect all monies due to it in a timely and effective manner.
However, when it becomes apparent that it is not possible to collect an outstanding amount,
for whatever reason, it is also necessary to have procedures in place to remove these
balances from the Council‟s accounts, so that resources may be better channelled towards
other debts that are still collectable.
2.2 The annual statement of accounts, which is subject to authorisation by the Council‟s
external auditors, needs to reflect an accurate position of the Council‟s financial status. It is
essential therefore that this statement does not include sums which the Council knows will
not be collected.
3. Options Considered
3.1 That guidelines be reviewed and confirmed, which define the circumstances when an
amount due may be considered to be irrecoverable and therefore suitable to be written-off.
4. The Process
4.1 Initially, it is essential that billing and collection procedures are in place to ensure timely and
effective collection of monies due. The collection procedures adopted in respect of the
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debts to be written-off were included in the Cabinet report of 26 March 2008.
4.2 An account due to the Council may be considered irrecoverable at any stage depending on
the individual circumstances of the account. It will not always be the case that write-off can
only be considered after protracted recovery procedures have taken place, although this is
normally the case. In the case of Council Tax and Business Rates, the procedures outlined
for the issuing of accounts and any necessary recovery action is set out in legislation. For
other debts, the Council is able to determine its own processes. At any time during these
processes it may become apparent that a debt is irrecoverable for one of the following
reasons:
(a) The debtor has absconded and cannot be traced.
(b) The debtor is deceased and there are insufficient funds in the estate .
(c) The debtor is bankrupt or a company is in liquidation.
(d) The amount outstanding is less than the cost of instigating proceedings to recover
the sum and there is no ongoing liability.
(e) There is no further legal remedy available to enforce collection.
(f) Hardship (for example, debtor in permanent residential care with no assets).
In addition, a debtor may voluntarily ask the Courts to administer their debts, a process
which may be used instead of bankruptcy. In these circumstances, payments are only
received at infrequent intervals, often over much extended periods and normally only total a
minor proportion of the total amount outstanding. In these circumstances, the whole value of
the debt is written off for administrative practicality and the value of the write-off reduced
when payments are received.
4.3 When an amount is considered irrecoverable, approval to write the debt off is sought as
follows:
(a) For debts below the amount defined in Standing Orders and Financial Regulations
(currently £2,500), by authority of the Section 151 Officer
(b) For debts above this amount, by authority of Cabinet
5. Specific Questions from the Council Leader
On 2 June 2008 the Council Leader requested that the Executive Director – Resources and
Support Services prepare a report on the processes followed to write off debts and to
specifically answer the following questions in relation to 2007/08.
5.1 Who knew what when?
The first time any elected member was aware of the debts to be written off for 2007/08 was
following the circulation of the pre-Cabinet agenda papers to Cabinet members on Friday
7 March 2008. Following the pre-meeting on Wednesday 12 March the final report was
issued to all members of the Council on Thursday 20 March as a confidential agenda item
on green paper. The only amendments to the report were the incorporation of the
procedures that are followed in the collection of debt at the request of cabinet members at
their pre-meeting.
5.2 Why was it a confidential item on the Cabinet agenda?
The report was treated as confidential due to the inclusion of personal details of 37
individuals and companies having consideration for Data Protection principles. The report
included the debtor‟s names, the address of the property to which the debt relates, the
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amount outstanding and the reason the amount is considered irrecoverable. The Council
does not wish to openly promote that it will write off bad debt for fear it may encourage a
culture of non or slow payment.
5.3 How has this issue been historically handled in Newcastle?
The administrative procedures followed this year are the same as those followed in previous
years. Officers have examined reports going back to 1988 to confirm this.
5.4 How is this issue dealt with in other Councils?
Attached as Appendix „F‟ (grey paper) is a summary of procedures for the 8 district councils
and 1 unitary authority in Staffordshire that have the responsibility for the collection of
council tax and business rates. Newcastle is authority number 4. It can be seen that the
majority of authorities deal with this issue in the same way as Newcastle – the main
difference is the financial amount that is delegated for the Section 151 Officer‟s approval.
5.5 Is there any government legislation that governs this issue?
There is no specific legislation governing the procedures that an authority must follow in the
writing off of its debts.
5.6 Can the officers give an explanation as to how Paul Farrelly MP got to know about various
figures from the confidential report?
It is not known how some of the information contained within the report was made known to
Mr Farrelly. This is subject to a separate investigation by the Council. As stated under 5.1
above the final report was sent out to all members of the Council as a confidential item on
green paper on Thursday 20 March 2008 prior to the Cabinet meeting on Wednesday
26 March 2008.
5.7 Should we change the process for next year?
The Section 151 Officer does not feel there is any reason for the administrative process to
be changed. The only part of the procedure that needs to be kept under review is the
financial amount up to which the Section 151 Officer has delegated authority to write debts
off – this currently stands at £2,500.
6. Reasons for Preferred Solution
6.1 Having timely and effective procedures in place for writing-off irrecoverable items enables
resources to be more effectively channelled towards the collection and recovery of other
debts.
6.2 Writing-off irrecoverable debts enables the Council‟s statement of accounts to show the
correct financial standing of the authority.
7. Outcomes Linked to Corporate Priorities
7.1 Collection of monies due and amounts to be written-off potentially impacts on all the
Council‟s Corporate Policies.
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8. Legal and Statutory Implications
8.1 This report raises no new statutory or legal implications
9. Equality Impact Assessment
9.1 There are no differential equality impact issues identified from this report
10. Financial and Resource Implications
10.1 This report raises no additional financial or resource implications in itself. Any financial or
resource implications identified when submitting future reports of amounts for consideration
to be written-off will be brought to members attention in the relevant report.
11. Major Risks
11.1 The risk to the Council of not having a robust procedure in place for the consideration of
amounts to be written-off is that the annual statement of accounts may be qualified by the
Council‟s external auditor.
12. List of Appendices
Appendix „F‟ (grey paper) Write-off procedures for Authorities in Staffordshire
15
PORTFOLIO – NEIGHBOURHOODS
& REGENERATION
5. NOMINATIONS AND LETTINGS OF EXTRA CARE AND SHARED OWNERSHIP
Submitted by: Joanne Basnett
Portfolio: Neighbourhoods & Regeneration
Ward(s) affected: All
Purpose of the Report
To inform Members on the progress in taking forward the allocation of the Mill Rise Extra Care units
that are been developed at Lower Milehouse and to consider the proposed Nominations and
Lettings Policy. This will include the social rented and shared ownership units. Then to consider
the overall shared ownership policy to be used in conjunction with Aspire‟s shared ownership units.
Recommendations
(a) To adopt the Extra Care Allocations and Lettings Policy.
(b) To adopt the Joint Shared Ownership Allocations Policy for a pilot period to be
reviewed in line with the development of Choice Based Lettings.
Reasons
In granting planning permission to develop affordable housing the Council can secure nomination
rights to the properties and can ensure that all types of affordable housing are accessible to those
that need it through the relevant allocation policies.
1. Background
1.1 The Council has an adopted Joint Allocations Policy with Aspire Housing, which sets out
how applicants are assessed and awarded points to reflect the individual housing need.
When a social rented property becomes available it is then allocated to the household in
greatest need.
1.2 To ensure that affordable housing is available to those in greatest need the Council can use
the planning process to ensure that the affordable housing is accessible to those prioritised
within the Council‟s strategies and policies. The majority of s106 agreements refer to the
allocation of social rented properties in line with the Joint Housing Allocations Policy.
1.3 Through the planning system the Council is permitting the development of a range of
affordable housing from social rented to shared ownership, plus specialist provision such as
Extra Care. Shared Ownership varies but in essence it is where the households buys a
proportion of the home then rents the remaining share from the developer or Registered
Social Landlord.
1.4 When new affordable housing is developed the Council often refers to the Joint Allocations
Policy, however, this policy predominantly deals with the allocation of social rented
properties.
1.5 The Council is currently investigating and working with sub-regional partners to establish a
Choice Based Lettings (CBL) scheme which will alter the way in which properties are
allocated and will therefore require amendments to be made to the Joint Allocations Policy.
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Whilst the aim is to advertise all types of affordable housing through the CBL it is not yet
decided how the policy will operate. At this stage it is appropriate to investigate developing
separate policies for different types of affordable housing.
2. Issues
2.1 There are two issues which require two policies, the first is the allocations for share
ownership and the second is the nomination and lettings for Extracare.
2.2 Planning permission is being considered on a range of sites which will include shared
ownership. Officers at the Council and Aspire Housing are keen to commence establishing
procedures and marketing of shared ownership to increase the housing offer within the
Borough. Whilst the generic Housing Corporation criteria is designed to ensure that
properties are sold to people who cannot afford to purchase a suitable property on the open
market, there is no transparent way of letting the properties. This policy, which has been
drafted with Aspire, shows how the applicants will be assessed and how prioritisation will
occur where there may be more demand than supply. The policy is split into 2 sections, one
for general needs Shared Ownership and one for the Elderly (over 55s). The section for
Shared Ownership for the Elderly applies to properties that are ring-fenced for people over
the age of 55 (e.g. bungalows), excluding Extra Care schemes, which will have bespoke
lettings policies and eligibility criteria to reflect the specialised nature of the accommodation.
2.3 The attached draft Joint Shared Ownership Allocations Policy could be used as a pilot policy
enabling the Council and our partners, primarily Aspire Housing, to establish if the policy is
appropriate and will enable any early schemes to develop before Choice Based Lettings is
established.
2.4 Similarly, Aspire Housing are currently developing Mill Rise Extra Care in Lower Milehouse
and wish to progress with marketing and lettings before Spring 2009. It is also appropriate
that a separate policy is developed to take into consideration that Extra Care is intended to
meet both housing and care needs. Those with care needs may need to be prioritised to
access the care rather than simply their housing needs. Officers from the Council, Aspire
and the County Council have considered the implications of prioritisation and which issues
should be considered in which order. This policy and procedure can be used in other
schemes which maybe developed in the Borough.
3. Options Considered
3.1 To amend the Joint Allocations Policy to cover all types of affordable housing.
3.2 To develop new policies that cover Shared Ownership and Extracare.
4. Proposal and Reasons for Preferred Solution
4.1 The Joint Allocations Policy will need to be revised in the near future to facilitate Choice
Based Lettings. However, due to the plans to market and begin the allocations procedure
for the new development at Lower Milehouse it is appropriate that the Council works with our
partners to introduce the new policies prior to the launch of the sub-regional CBL.
5. Outcomes Linked to Corporate Priorities
5.1 Addressing the housing needs of the borough fits within all the corporate priorities especially
that of „creating a healthy and active community‟.
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6. Legal and Statutory Implications
6.1 The Council has a legal duty to assist homeless households, by assisting households in
housing need the Council is preventing future homelessness. By implementing policies such
as these proposed the Council is ensuring that households in housing need are prioritised.
7. Equality Impact Assessment
7.1 An Equality Impact Assessment has been completed on the overall Housing Strategy and
the homelessness, housing register and housing advice contract which operates the Joint
Allocations Policy.
8. Financial and Resource Implications
8.1 There are no financial implications.
9. Major Risks
9.1 There are no major risks. The only risk is loss of prioritisation of households in housing
need, if the affordable housing units were not subject to any lettings policies the Registered
Social Landlord or Private developer would rent or sell them direct to the public.
10. Key Decision Information
10.1 Although these policies will impact on the developments in Lower Milehouse they can be
used on any similar developments in the Borough. This means that the policies could affect
every ward.
11. Earlier Cabinet/Committee Resolutions
The Joint Allocations Policy was adopted on 10th March 2004.
12. List of Appendices
Appendix „G‟ (orange paper) - Joint Shared Ownership Allocations Policy.
6. NORTH STAFFORDSHIRE SUB REGIONAL CHOICE BASED LETTINGS PARTNERSHIP
Submitted by: Sue Davies
Portfolio: Neighbourhoods and Regeneration
Ward(s) affected: All wards
Purpose of the Report
To seek Cabinet‟s approval to waive standing orders and normal financial regulations in the
procurement of an IT system by the Council on behalf of the North Staffordshire Sub-regional
Choice Based Lettings Partnership.
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Recommendations
(a) To waive Standing Orders and financial regulations and to consent to the Council on
behalf of the North Staffs Sub Regional CBL Partnership to enter into negotiations with the
third party IT supplier as procured by Stoke-on-Trent City Council.
(b) That subject to successful negotiations the Director of Regeneration and
Development with the support of the Portfolio Holder for Neighbourhoods and Regeneration
is given delegated approval to contract with the IT provider.
Reasons
In 2006/2008 Stoke on Trent City Council, a partner in the North Staffordshire Sub-regional Choice
Based Lettings Partnership went through a lengthy procurement process to procure their current
CBL IT system.
It is possible for the remaining partners in the Sub-regional Partnership to enter into a contract with
Stoke‟s CBL IT provider and for this IT system to be further developed, using the partnership funds,
to suit the needs of the partnership members. This will allow the partnership to:
Reduce the length of time to develop and build a sub regional CBL IT system.
Save costs.
Achieve an excellent lettings service.
1. Background
1.1 Members will recall from the Cabinet report in September 2007 the requirements to
introduce Choice Based Lettings (CBL). The Government's 5-year housing plan ‘Homes for
All (2005)‟, sets out plans for taking forward its choice based lettings (CBL) policy, with the
aim to have nationwide choice based lettings in place by 2010. The objective is to increase
choice in housing and to increase customer involvement.
1.2 The Borough Council transferred its housing stock to Aspire Housing Limited (formerly
Newcastle-under-Lyme Housing) in 2000 and as a strategic housing authority, the Council
continued to have a statutory duty to provide and maintain a Waiting List for housing
residents in the Borough. The Waiting List is currently managed and administered by Aspire
Housing as part of the Homelessness, Housing Advice and Housing Register Contract and a
Joint Allocations Policy is in operation.
1.3 The current waiting list uses a points scheme to prioritise the allocation of housing to those
whose circumstances may disadvantage them in accessing affordable rented
accommodation and is framed to give additional preference to applicants with specific
housing needs. The Joint Allocations Policy sets out the criteria and the relative priority
points given to applicants and staff at Aspire Housing use the policy to assess applications
and offer properties to applicants on the waiting list with the highest priority need.
1.4 A CBL system moves away from the traditional points scheme and administrative process of
making allocations and nominations, and is replaced by a system based on the active
participation of applicants making bids for properties being advertised for letting. These
systems retain principles firmly based on offering housing association homes to meet priority
housing needs. CBL is considered to create a more effective social market for housing in
which housing applicants can make decisions about social housing, based on clear
information on all available housing options, including Homebuy (shared ownership) and the
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private rented sector.
1.5 CBL schemes give households a choice and a stake in where they live. This ultimately
leads to more satisfied tenants, who stay longer, pay their rent and look after their homes,
which results in more “stable, viable and inclusive communities”. The introduction of such a
scheme does not however, increase the supply of social housing but changes the way it is
allocated.
1.6 A North Staffordshire CBL partnership has been created and this partnership has
successfully secured financial assistance from Communities and Local Government to
develop a CBL scheme by Spring 2009. Each partner has also agreed to contribute £20K to
the scheme and these monies will be used to develop the scheme and to build a CBL IT
system that will meet the specifications of the partnership.
1.7 Stoke-on-Trent City Council has a CBL scheme that has been in operation since 2003.
Over the course of the last 18 months, using Stoke‟s detailed procurement process, they
have procured a CBL IT system from a leading supplier of bespoke CBL IT systems. This
system was chosen following a full tendering exercise that was then followed by a detailed
option appraisal and value for money exercise by Stoke.
2. Issues
2.1 The North Staffordshire CBL Partnership has set a target of implementing their sub regional
scheme by Spring 2009. Communities and Local Government are aware of this target and
their financial assistance with the scheme has been agreed on this basis.
2.2 The partnership has researched other sub regional CBL schemes in the UK and based on
this research and Stoke‟s experience have evidence that that procurement of CBL IT can
take up to 18 months. This would severely jeopardise the Partnership‟s Spring 2009 target.
3. Options Considered
3.1 The Partnership has considered the following two options:-
(a) To go through the full procurement process, including tendering, option appraisal
and value for money assessments.
(b) To build and develop on Stoke-on Trent City Council‟s CBL IT system, using the
Partnership fund to develop a best in class bespoke CBL IT system on behalf of the
Partnership and so entering into a contract with Stoke‟s current CBL IT supplier.
4. Proposal and Reasons for Preferred Solution
4.1 The above options were considered as follows:-
(a) This option would not allow the partnership to meet their Spring 2009 target as it
would take the partnership several months to competitively tender and would not be
as cost effective as option b.
(b) This option was considered to be most favourable by the Partnership as it would
reduce the timescales involved and would also provide efficiencies around costs and
service development. The contract is not an OJEU issue but the council would need
to waive standing orders and financial regulations. Section 29 of Part III Standing
Orders in Relation to Contracts also states that any joint procurement arrangements
with other local authorities or public bodies including membership or use of
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Purchasing Consortia shall be approved by the appropriate Executive Director in
consultation with the Legal Services Manager prior to the commencement of any
procurement on behalf of the Council.
4.2 Stoke-on-Trent City Council have invested a substantial amount of time, money and IT
specialist resources to procure and build their CBL IT system. The Partnership can benefit
from this investment, saving:
Time – procurement rules have already been followed by Stoke, therefore this
extremely timely stage of the project could be reduced if we are allowed to waiver
standing orders and normal financial regulations
Costs – as Stoke have already paid for the initial build of the system, costs will be
saved here compared to building a system from scratch with an alternative supplier.
IT resources – Stoke can share their positive experience of working with an external
IT provider, providing advice and assistance to the Partner‟s own IT teams.
4.3 The above savings will be re invested into the scheme allowing time, resources and monies
to concentrate on the development and build of a scheme that meets the requirements of an
excellent customer service.
5. Outcomes Linked to Corporate Priorities
5.1 CBL is linked to the Corporate Priorities for Creating Active and Healthier Communities and
Creating a Cleaner, Greener and Safer Borough – working with partners to establish more
balanced and sustainable communities. As previously stated CBL schemes give
households a choice and a stake in where they live. This ultimately leads to more satisfied
tenants, who stay longer, pay their rent and look after their homes, which results in more
“stable, viable and inclusive communities”.
5.2 CBL also links to the Corporate Priority „Transforming Our Council to Achieve Excellence –
the proposed scheme would contribute to creating the maximum positive effect on the
quality of life for the communities of Newcastle. As stated in the priority „We will achieve this
through the delivery of excellent services that the public want and need and deliver them in
the most effective and efficient way possible with the resources we have at our disposal‟.
6. Legal and Statutory Implications
6.1 When the Department of Communities and Local Government‟s consultation document
„Allocation of „Accommodation: Choice Based Lettings, Code of Guidance for Local Housing
Authorities (2007)’ comes into force it should be followed under Part VI of the „HOUSING
ACT 1996‟ as amended by the „HOMELESSNESS ACT (2002)‟, ensuring that choice is
afforded to an applicant for housing.
7. Equality Impact Assessment
7.1 A CBL scheme would compliment the priorities of the ‘Homelessness, Housing Advice &
Housing Register Service - Equality Impact Assessment’, by ensuring that all applicants with
housing needs are able to make decisions about their housing situation and are re-housed
appropriately and equitably.
8. Financial and Resource Implications
8.1 The Partnership has successfully secured financial assistance from Communities and Local
Government to develop the CBL scheme by Spring 2009. Each partner has also agreed to
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contribute £20K to the scheme and these monies will be used to develop the scheme and to
build a CBL IT system that will meet the specifications of the partnership. Therefore at this
stage we are not asking for additional finances as the costs for the set up of the scheme will
be met from the Partnership fund.
8.2 More detailed confidential financial information regarding benchmarking costs and indicative
set up costs for the CBL scheme are available to Members on request.
9. Major Risks
9.1 Grant funding has been issued under s.31 of the Local Government Act 2003. The Council,
as lead authority, is accountable for the funding and responsible for the monitoring and
evaluation of the project. If the proposed CBL scheme is abandoned with CLG funding
wholly or partially unspent, then the Council would also be responsible for returning unspent
monies.
9.2 If we are unable to comply with the agreed implementation schedule due to delays with the
project there will be additional project management costs.
10. Key Decision Information
10.1 The Government require all local authorities to operate a Choice Based Lettings Scheme by
2010. As funding for the development and set up of a Sub Regional CBL scheme is in
place, it is now essential that the project moves forward and makes essential decisions
around the preferred IT solution quickly to ensure that the target implementation date of
spring 2009 is achieved.
11. Earlier Cabinet/Committee Resolutions
Report on Choice Based Lettings was submitted to Cabinet and approved on 5 September
2007.
12. Background Papers
Copies of the bid to CLG for funding and their grant determination – are available from the
Housing Strategy Team on request.
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PORTFOLIO – CULTURE & ACTIVE
COMMUNITIES
7. POLICY FOR UNSUPERVISED CHILDREN’S PLAYGROUNDS
Submitted by: D A Adams
Portfolio: Culture and Active Communities
Wards affected: All
Purpose of the Report
To monitor progress against the 5-year Improvement Plan contained within the adopted Policy.
To approve the proposed annual programme of repair and replacement of play equipment and
associated items.
To consider making financial provision for future repair and replacement requirements.
Recommendations
(a) That the progress made against the Improvement Plan be noted.
(b) That the attached programme of work is approved and that the Executive Director for
Operations be authorized to seek tenders for the repair and replacement and accept the
lowest suitable tender received within the approved capital budget.
(c) That provision be made in the General Fund Capital Programme of £150,000 in
2009/10 and £150,000 in 2010/11 for future repair and replacement requirements.
Reasons
To ensure the Children‟s playgrounds provided by the Council are maintained in a fit for purpose
condition, and in accordance with the Council‟s adopted European Safety Standards.
To minimize the Council‟s exposure to risk in respect of reducing accidents and improving the
Council‟s ability to defend claims that may arise.
1. Background
1.1 The Policy for Unsupervised Children‟s Playgrounds, which covers the period to 2011, was
adopted in February 2006 following a review process, which included consultation with
residents, focus groups and key local organizations.
The Policy, copies of which are available in the Members Room, contains five fundamental
objectives or „Rights‟ of children and young people. These are the rights to high quality
opportunities, safe play environment, involvement, high quality play work and improvement
in the value of play spaces.
1.2 A range of actions to achieve the five „Rights‟ are contained in the 5-year Improvement Plan
section of the Policy. Appendix „H‟ (cream paper) attached to this report details where
progress has been made.
Key achievements over the last 2 years include:
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Securing £245,000 for local voluntary bodies and charities involved in play work from
the Big Lottery Children‟s Fund.
Extensive consultation with users and non-users, through the People‟s Panel, youth
groups and on site surveys.
Established community led „Friends of Parks‟ groups at Lyme Valley and Bathpool
Park and in each case securing significant investment from external sources.
Secured funding and provided 5 additional playgrounds including two in high priority
ranked wards of Chesterton and Bradwell as follows:-
The Dingle, Bradwell
Bamber Place, Chesterton
Lilleshall Road, Clayton
Lyme Valley, Clayton
Moorland Road, Mow Cop
Projects and funding for a further 4 playgrounds, 3 of which are in priority ranked
wards, are being developed in the following locations:
Bathpool Park, Ravenscliffe
St. Edmunds Avenue, Wolstanton
Poolfields, Thistleberry
Thistleberry Parkway, Thistleberry
1.3 Playground inspection, repair and replacement.
Playgrounds are inspected weekly by Streetscene playground engineers, backed up by an
annual independent inspection carried out by the Royal Society for the Prevention of
Accidents (Rospa). Through this process, the need for repair and replacement of play
equipment, impact-absorbing surfacing, fencing, hard surfaces etc. are identified.
Advice given by the National Playing Fields Association (NPFA) is that it is necessary to
address the high-risk items in the short-term, tackle moderate items when finance is
available and monitor low items without taking any immediate action.
Repair and replacement works are an ongoing requirement in order to maintain children‟s
play equipment in accordance with the European Safety Standard, and ensure ancillary
equipment and surfaces are fit for purpose.
2. Issues
2.1 Positive progress has been made towards achieving the local standard for playground
provision over the last 2 years. However, efforts are needed to seek opportunities to provide
further play sites, especially in priority ranked wards. Priority 1 areas for new facilities
remain at the following locations:
Slacken Lane, Butt Lane – suitable location and funding to be identified.
West Butt Lane – suitable location and funding to be identified.
Bentley Avenue, Cross Heath – suitable location and funding to be identified.
West Silverdale – suitable location to replace the removed Ash Grove site and
funding to be identified.
24
St. Giles/St. Bernards Road, Knutton – suitable location on The Wammy, funding to
be identified.
Thames Road, Seabridge – funding to be identified to replace removed equipment.
2.2 The provision, location and quality of facilities for children‟s play remains a high priority for
residents in successive consultations and residents surveys. This places a demand on the
Council‟s finances and needs to be balanced against competing priorities for funding. In the
majority of cases over the last ten years, the cost of providing new or replacement facilities
have been secured via external funding either through grants or developer contributions.
However, the cost of ongoing repairs and replacements have fallen to the Council to meet
and has implications for revenue budgets. (Where playgrounds are provided through
developer contributions, a commuted sum for future maintenance is normally paid to the
Council. This can be for periods up to 15 years).
2.3 Provision has been made in the General Fund Capital programme for the repair and
replacement of playground equipment over the last 3 years. Currently there is the sum of
£229,450 remaining unspent. This sum is sufficient to meet the cost of the current year‟s
required work. Any under-spend will be carried forward to the next financial year.
Consideration is now required of continuing the provision of capital funding over the next
2 years. It is recommended that the sum of £150,000 be allocated in the capital programme
for 2008/09 and 2009/10. It is anticipated that this will provide for repairs and replacements
of broadly the same levels of playgrounds over that period.
3. Options Considered
3.1 Continue funding a similar level of play provision that currently provided, with new
playgrounds being provided when opportunities arise, concentrating on priority wards
wherever possible.
3.2 Review the current service level by reducing the current number of playgrounds, and
focusing on larger multi-functional sites at major parks and open spaces.
4. Proposal
4.1 Option 1 is proposed as it allows the Council to target playground provision in local
neighbourhoods where demand exists. This ensures the availability and accessibility of
playgrounds.
4.2 Option 2 would require a significant policy shift away from local provision to centralized
provision.
4.3 Transformational Route Mapping and a Benefits Card have been completed as part of the
Council‟s Project Management Approach to considering priorities and are attached to the
report as Appendix „I‟ (white paper)
5. Reasons for Preferred Solution
5.1 Option 1 is proposed as this is the most likely option to improve customer satisfaction,
maintain opportunities for residents to be able to access neighbourhood-based playgrounds
and make further progress towards the local standards contained in the Policy for
Unsupervised Playgrounds.
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6. Outcomes Linked to Corporate Priorities
6.1 Creating a cleaner, greener and safer Borough:
People are safe and feel safe in their homes, neighbourhoods, parks and open spaces.
6.2 Creating a healthy and active community:
Access to parks and open spaces for informal recreation opportunities.
7. Legal and Statutory Implications
7.1 The Council has a statutory duty to maintain the facilities it provides in a safe condition and
to reduce the risk of injury to the public. It has adopted the European Standards (EN1176
and EN1177) applicable to children‟s playgrounds as its standard.
8. Equality Impact Assessment
8.1 An equality impact assessment has been carried out in respect of the provision of children‟s
play facilities through the Policy. No differential equalities impacts have been identified.
9. Financial and Resource Implications
9.1 The repair and replacement work arising from the condition assessments carried out last
year can be met from the provision of £229,450 remaining within the approved Capital
Programme. Any underspending can be rolled forward into future years to part fund future
required sums.
9.2 Consideration is required of continuing provision within the Capital Programme for ongoing
repair and replacement of facilities and equipment from 2008/09 onwards. It is anticipated
that an allocation of £150,000 will be required in each of the following 2 years, and it is
recommended that provision in this sum is made in the capital programme.
This project will be managed by in-house staff from the Streetscene Service and, therefore,
there are no additional human resource implications arising from this report.
9.3 In respect of providing new playgrounds in areas currently under served, external funding
will continue to play a major role in delivering progress towards achieving policy objectives.
It is not proposed to consider making financial provision for new play areas as part of this
report, rather, as and when new opportunities present themselves, separate reports
including any funding implications for the Council will be brought.
10. Major Risks
10.1 The major risks associated with the proposal relate to the possibility of accidents occurring
whilst playgrounds are in use, and the Council‟s ability to defend any subsequent action.
In continuing to maintain playgrounds to the requirements of the European Standards
applicable and to have a prioritized rolling programme of inspection, repairs and
replacement, the Council exposure to risk is reduced.
11. Key Decision Information
11.1 The proposal involves significant expenditure and impacts on more than 2 wards. It has
therefore been included in the Forward Plan.
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12. Earlier Cabinet/Committee Resolutions
Cabinet – 18 May 2005 (77/06)
Cabinet – 8 February 2006
Cabinet – 22 March 2006
13. List of Appendices
Appendix „H‟ (cream paper) – 5-year Improvement Plan – progress.
Appendix „I‟ (white paper) – Transformational Route Mapping and a Benefits Card
14. Background Papers
Policy for Unsupervised Children‟s Playgrounds 2006-2011.
27
PORTFOLIO – ENVIRONMENT &
RECYCLING
8. REPLACEMENT PRINCIPAL BOROUGH CEMETERY
Submitted by: Executive Director – Operational Services
Portfolio: Environment and Recycling
Wards affected: All
Purpose of Report
To update Cabinet members on progress with the project, the project plan and timescale.
To seek approval of the detailed design of the scheme.
To brief Cabinet members on the updated cost estimate for the scheme and to seek approval to
make provision for the costs in the General Fund Capital Programme.
Recommendations
(a) That the detailed design of the scheme be approved.
(b) That provision be made in the General Fund Capital Programme of £565,000 to fund
the updated cost estimate for the project.
Reasons
To progress the project in line with the project plan and timescale.
To provide an important and sensitive community facility, which will give residents of the Borough
an appropriate choice of burial place.
1. Background
1.1 New burial space at the existing Newcastle Cemetery will no longer be available from
September 2009 therefore it is critical that the replacement principal Borough Cemetery at
Keele is operational and available for new burials by this date. A report on the project
progress, timescale, risks and the proposed detailed layout of the site was considered by
Cabinet at the meeting of 5 December 2007. It was resolved:-
(a) That the scale and scope of the proposals be approved.
(b) That the officers be authorised to submit a full planning application.
(c) That the officers be authorised to progress a Compulsory Purchase Order to acquire
the site should negotiations be not successfully concluded with the landowner.
(d) That the cost estimate for the project be updated and reported to a future meeting of
the Cabinet.
(e) That the letter of representation received from Keele Parish Council in respect of the
project be forwarded to the Planning Department.
1.2 Since this time, the following additional progress has been made:
Further negotiations have been held with the landowner to try to reach an agreement
for acquisition of the site, but no such agreement has yet been achieved.
A Compulsory Purchase Order has been made.
28
Planning permission was granted by Planning Committee on 15th April 2008, subject
to a number of conditions.
The scheme was presented to Urban Vision Design Review Panel and the
comments of the Panel been addressed in amendments to the scheme.
A procurement route has been proposed and approved by the Portfolio Holder for
Resources and Efficiency.
The cost estimate for the project has been updated in accordance with the
implications of the above issues.
The project plan has been updated and is currently on schedule to deliver the project
by the required deadline of September 2009 at which point the existing Cemetery is
predicted to reach capacity.
2. Issues
2.1 The scheme design, including the site layout, building location, footprint and internal layout
is at an advanced stage and has been through an extensive public consultation process.
It has been refined to take account of the comments of the Urban Vision Design Review
Panel and to attempt to ensure that it can be considered acceptable development in the
green belt.
The main function of the building is visitor orientated/administrative rather than ceremonial.
Very few funeral services are anticipated to be held on site as consultation responses
appear to show that most people prefer to hold services at their own place of worship.
However, a small multi-purpose room has been included in the building for occasional
services should users wish to access such a facility.
Therefore, the building design has been refined to be more modest in scale and
appearance. It is considered that if further fundamental changes to the building scale and
design are to be contemplated, it will not be possible to deliver the project on time and there
will be an impact on the cost of the scheme.
2.2 The scheme includes the following elements:
Land acquisition/CPO.
Main office/administrative building and store.
Site services.
Highway access and alterations to A525.
Internal roads and car parks.
Internal footpath network.
Sustainable Urban Drainage System.
Landscape works and fencing.
Professional fees.
2.3 The cost estimate for the project has been updated since it was originally prepared in 2004
to take into account inflationary increases (15.5% from 2004 to 2008), construction industry
cost increases, the cost of additional works to meet highway requirements (provision of
footpath link from site to existing footway and alterations to A525 to provide dedicated right
turn facility not included in previous estimate) and the cost of the CPO (not included in
previous estimate).
The greatest budget differential between the original and current estimates is in the cost of
the combined office/visitor/chapel facility.
29
At the time when the initial concept of a building was considered, no details were available
of its required size, use or standard.
Following extensive public consultation, detailed design and development of this facility
through the various planning stages, the realistic cost of the building has only recently been
available.
It is also considered prudent to establish a contingency sum to allow for unforeseen
pressures on the overall budget both during the development and construction phases of the
project.
The current cost estimate for the total Phase 1 project costs including site acquisition, fees,
construction and contingency is £2,665,000 (Appendix „J‟ - salmon paper)
2.4 Sustainable features and building techniques have been extensively explored through the
design and cost estimating process.
With regard to the surfacing of roads and car parks within the site, it is recognised that
people attending burials are often dressed formally and may wear heeled footwear.
Therefore, it is important from a service user perspective to provide safe, accessible
surfacing in car parks and on footpaths or roads where people are going to be walking.
However, it is also recognised that sustainability and appearance is important, especially in
sensitive green belt locations such as this site. It is therefore proposed to utilise a surfacing
material, which is open textured to allow some permeability, but bound to provide a hard
wearing and accessible surface for pedestrian and vehicle traffic.
Copies of the detailed design drawings and photographs of examples of building and road
materials will be on display at your meeting.
2.5 It is considered that the current scheme represents the most efficient, economic and
sustainable solution available that will enable the facility to operate properly and meet
customer needs.
The project costs will be spread over two financial years; 2008/2009 and 2009/2010.
2.6 The Compulsory Purchase Order for the portion of the site not currently in the ownership of
the Council has been made on 13 June 2008.
The landowner will have the right to appeal against the Order and there is the potential that
a Public Inquiry could be called, the timescale for which is unknown at this time.
It is possible for Phase 1 of the project to be implemented entirely on land owned by the
Council, in accordance with the current planning permission for the site. Phase 1 would
provide the highway access, building and infrastructure for the site and burial space for an
estimated 30 years.
The remaining land is not estimated to be physically required for burial purposes until
approximately 2039.
Therefore, should the CPO process be protracted, it would not necessarily prevent the
project proceeding.
30
However, there is a risk that if the outcome of the CPO process is not favourable, the site
would have a service life-span of 30 years as opposed to the intended 100 years.
3. Options Considered
3.1 A number of options have previously been considered in relation to this project during its
development.
The current options are considered to be the most efficient, economic and sustainable
option available.
4. Proposal
4.1 It is proposed to progress the project as per the detailed design and cost estimate.
5. Reasons for Preferred Solution
5.1 To deliver an important and sensitive community facility within the defined timescale for the
project.
6. Outcomes Linked to Corporate Priorities
6.1 The provision of a replacement cemetery will contribute to the continuity of important local
bereavement services.
6.2 The provision and maintenance of suitable and accessible burial space at less than full cost
to the community makes a direct and significant contribution to the Council‟s social inclusion
agenda.
7. Legal and Statutory Implications
7.1 The local authority is a Burial Authority with the duty to provide for the disposal of the dead
and the power to acquire land and lay out and maintain land for burial purposes (Local
Authority Cemeteries Order 1977 and Local Government Act 1972).
7.2 Whilst there are a number of other Acts relating to National Assistance Funerals, Medical
Referees and Control of Diseases, the main duty of the Council as a statutory Burial
Authority is to ensure at all times the disposal of the dead will be carried out in accordance
with the requirements of the various regulations.
8. Equality Impact Assessment
8.1 The new cemetery will be a multi-denominational facility where every possible provision will
be made for differing religions, beliefs and faiths. It will be accessible to all and fully
compliant with the requirements of the Disability Discrimination Act.
Therefore, there have been no negative differential impacts identified as a result of this
proposal.
9. Financial and Resource Implications
9.1 Capital Costs – the updated cost estimate for providing a new burial facility as per the
proposed scheme is £2,665,000 including site acquisition, fees, construction and
31
contingency. Provision of a further £565,000 in the next General Fund Capital Programme
is required to meet the total estimated project cost.
9.2 Revenue Costs (budget estimates) – there are no additional revenue implications to those
previously approved arising from this report.
10. Major Risks
10.1 The risk assessment for the project has been considered with the previous report. It has
been updated and the following risks have been identified as high after applying existing
control measures.
Risk Identified Potential Further Action Target Date
Consequence Required
Capital costs Scheme cannot Value engineering Dec 2008
increase proceed in agreed
form
Land not acquired Phase II and III Progress CPO Dec 2008
in required cannot proceed
timescale
Scheme not Disruption to service Cabinet Approval July 2008
complete in Reputational damage Procure Contracts Dec 2008
required timescale
11. Key Decision information
11.1 This decision does not involve significant additional capital and revenue expenditure to that
previously approved.
11.2 It impacts on all wards and has been identified in the Forward Plan.
12. Earlier Cabinet/Committee Resolutions
Cabinet – Res 62/04 29 April 2003
Scrutiny – Res 7/04 4 June 2003
Cabinet – Res 291/04 23 July 2004
Cabinet – Res 377/05 22 September 2004
Cabinet – Res 402/05 29 September 2004
Cabinet – Res 17/06 20 April 2005
Cabinet – Res 465/07 25 October 2006
Cabinet – Res 15 5 December 2007
13. List of Appendices
Appendix „J‟ (salmon paper) – Summary of updated costs, risk assessment,
transformational route mapping and Benefits card.
32
PORTFOLIO – ENVIRONMENT &
RECYCLING/SAFER & STRONGER
COMMUNITIES
9. CORPORATE ENFORCEMENT STRATEGY 2008-2011
Submitted by: Executive Director – Operational Services
Portfolio: Environment & Regulatory/Community Safety
Wards affected: All
Purpose of the Report
To inform Members of the revised Corporate Enforcement Strategy 2008-2011 and to seek the
views of Cabinet in respect of the draft document.
Recommendation
To approve and adopt the Corporate Enforcement Strategy 2008-2011.
1. Background
1.1 The Council carried out a Best Value Review of all Enforcement actions taken by the
authority in June 2006 (minute 131/07 refers). Part of the subsequent Improvement Plan
identified that a Corporate Enforcement Strategy be adopted.
1.2 A revised version of the initial strategy has been drafted taking into account legislative
changes, revised government guidance and new powers and duties that have been given to
local authorities.
1.3 The document sets out the aims and objectives and links with partner organisations (a copy
of which is attached at Appendix „K‟ - cream paper).
1.4 The revised strategy covers a wider range of enforcement actions delivered by the authority
and identifies actions that will be taken to secure compliance. It should be noted that the
Enforcement Concordat, to which the Council were signatories, has been superseded by a
new Code of Practice, a copy of which is attached at Appendix „L‟ (grey paper). Additionally
this overarching strategy is in turn linked to more detailed enforcement policies which
identify specific enforcement actions taken within the Service Directorates.
2. Outcomes Linked to Corporate Priorities
2.1 The strategy identifies links with the Council‟s Corporate Priorities creating a Cleaner,
Greener, Safer Borough. This has also been identified as a corporate priority through
consultation with both Members and the general public.
3. Financial Implications
3.1 There are no financial implications resulting from the report.
4. Legal and Statutory Implications
4.1 The purpose of reviewing the strategy is to ensure compliance with new legislation,
government guidance and enforcement powers, it also presents an opportunity to improve
enforcement of the Council‟s statutory functions and ensures a consistent approach across
the Council.
33
5. Equality Impact Assessment
5.1 An Equality Impact Assessment of the Enforcement Strategy has identified that no
disproportionate impacts have been identified.
6. Risks
6.1 A risk log is attached at Appendix „M‟ (white paper).
7. Earlier Cabinet/Committee Resolutions
The approval of the previous strategy for 2006-2008 was approved by Cabinet in August
2006.
8. List of Appendices
Appendix „K‟ (cream paper) – Draft Enforcement Strategy 2008-2011.
Appendix „L‟ (grey paper) – Statutory Code of Practice for Regulations 2007
Appendix „M‟ (white paper) – Risk Log
34
PORTFOLIO – SAFER & STRONGER
COMMUNITIES
10. BT PROPOSALS FOR THE REMOVAL OF PUBLIC PAYPHONES
Submitted by: Directorate for Regeneration and Development
Portfolio: Safer and Stronger Communities
Ward(s) affected: Halmerend, Loggerheads & Whitmore, Holditch, Chesterton, Westlands,
Bradwell, May Bank, Madeley and Ravenscliffe
Purpose of the Report
To inform Cabinet of proposals by BT to remove a number of public payphones within the Borough
Decision Required
To authorise officers, in consultation with the Portfolio Holder to draft a response to BT’s
proposals
Reasons
The Borough Council has received correspondence from BT detailing proposals for the removal of
15 payphones within the Borough which will be subject to formal consultation. Ofcom guidance
states that it is the responsibility of the local authority to coordinate this consultation process and to
submit a formal response within 90 days
1. Background
1.1 The Borough Council has received correspondence from BT detailing proposals for the
removal of a number of payphones within the Borough. Current Ofcom guidance states that
BT has no obligation to carry out local consultation on the removal of a payphone where an
alternative payphone is sited within 400m. However, where there is no alternative payphone
within that distance, BT must undertake a formal 90 day consultation to canvas the views of
the local community. Ofcom guidance states that it is the responsibility of the local authority
to coordinate this consultation process and draft the formal response.
1.2 Within the Borough, 15 of the payphones proposed for removal do not have a nearby
alternative; as such these are subject to full consultation commencing on 8 June 2008 and
closing on 6 September 2008. The wards potentially affected by these proposals are –
Halmerend, Loggerheads & Whitmore, Holditch, Chesterton, Westlands, Bradwell, May
Bank, Madeley and Ravenscliffe. Notices informing the public of the proposed removals will
be displayed on the relevant call boxes. BT has provided no information regarding the
number and location of removals not subject to statutory consultation. A request for this
additional information has been made.
1.3 The table below provides details of the payphones subject to consultation -
35
Telephone No. Address Borough Ward Parish
01270820318 Main Road, Wrinehill Halmerend Betley, Balterley &
Wrinehill
01630647213 Aston, Market Drayton Loggerheads & Maer
Whitmore
01630672137 Rock Lane, Mucklestone, Market Loggerheads & Loggerheads
Drayton Whitmore
01630672313 Lower Road, Ashley, Market Loggerheads & Loggerheads
Drayton Whitmore
01782561328 Beasley Avenue, Newcastle Holditch
01782563445 Hawthorn Rd, Newcastle Chesterton
01782680230 Whitmore, Newcastle Loggerheads & Whitmore
Whitmore
01782680367 Chapel Chorlton, Newcastle Loggerheads & Chapel & Hill
Whitmore Chorlton
01782680375 Nantwich Rd, Blackbrook, Loggerheads & Maer
Newcastle Whitmore
01782714363 Pilkington Avenue, Newcastle Westlands
01782714386 Riceyman Rd, Newcastle Bradwell
01782714563 Leycett Rd, Scot Hay, Newcastle Halmerend Audley
01781714806 High St, May Bank, Newcastle May Bank
01782750223 Swan Bank, Madeley Heath Madeley Madeley
01782782376 Oldcott Drive, Kidsgrove Ravenscliffe Kidsgrove
2. The Consultation Process
2.1 An Ofcom Direction published in 2006 identifies local District Councils as the „Relevant
Public Body‟ responsible for coordinating the consultation process. This means that Parish
Councils must submit their views to the Borough Council rather than directly to BT, the
guidance states that the Council should consider all responses to the consultation received
within the stipulated period.
2.2 The Direction also provides procedural guidelines on the consultation process. The various
stages of the consultation procedure are set out in Appendix „N‟ (lavender paper) to this
report.
2.3 In deciding whether to consent or object to the proposals the Council must be satisfied that
its decision is –
Objectively justifiable in relation to the networks, services, facilities, apparatus or
directories to which it relates
Not such as to discriminate unduly against particular persons or against a particular
description of persons
Proportionate to what it is intended to achieve
In relation to what it is intended to achieve, transparent
36
2.4 In addition the Council must be satisfied that it has acted in accordance with the six
Community requirements set out in section 4 of the Communications Act 2003. These are
outlined in Appendix „O‟ (lavender paper) to this report.
2.5 In assessing whether to consent or object to the proposals, the Council should consider the
following factors –
Housing types and tenures in the local area
The number of households in the area
The revenue generated by the payphone (if needed this information can be provided
by BT)
The need for a payphone for „emergency‟ calls
Local mobile phone coverage
3. The Consultation Timetable
3.1 There are no further Cabinet meetings prior to the end of the 90 consultation period,
therefore Officers are requesting authorisation to draft a response to BT in consultation with
the Portfolio Holder. A letter has been sent to all of the relevant Parish Councils informing
them of the proposals and requesting that any comments are forwarded to us by July 20 at
the latest. Officers will present details of any comments received, at the meeting
3.2 The proposed timetable for the consultation is as follows –
Date Action
W/E 13 June Letter sent to all relevant Ward Members and Parish Council Clerks
20 July Final date for receiving comments
21 - 25 July Collate/analyse responses to consultation. Draft and publish First
Notification
25 - 29 August Collate/analyse responses to first notification. Draft Final Notification
6 September Closing date of consultation
4. Conclusions
4.1 If the Borough Council can present a credible case for objecting to specific removals, a
„local veto‟ can be enforced, effectively preventing the proposed removal. This veto may
however, be then subject to appeal by BT.
5. Outcomes Linked to Corporate Priorities
5.1 There are no direct links to the four Corporate Priorities. However, good access to facilities
such as public payphones is an important element in creating and maintaining sustainable
and inclusive communities.
6. Legal and Statutory Implications
6.1 Ofcom guidance published in 2006 places responsibility for coordinating the statutory
consultation process upon the Council.
37
7. Equality Impact Assessment
7.1 This is not a matter that requires any formal Equality Assessment to be undertaken by the
Council, but equality issues will undoubtedly be involved in any comments made on BT‟s
proposals.
8. Financial and Resource Implications
There are no financial implications for the Council in responding to this consultation.
9. Major Risks
There are no major risks for the Council in responding to this consultation.
10. List of Appendices
Appendix „N‟ (lavender paper)
11. Background Papers
Ofcom guidance on the removal process is accessible at –
http://www.ofcom.org.uk/consult/condocs/uso/uso_statement/removals.pdf
38
PORTFOLIO – RESOURCES &
EFFICIENCY/CUSTOMER SERVICE
& TRANSFORMATION
11. ADOPTION OF RECORDS MANAGEMENT POLICY
Submitted by: Paul Clisby
Portfolio: Resources & Efficiency/Customer Service & Transformation
Ward(s) affected: All
Purpose of the Report
For Cabinet to adopt the draft Records Management Policy.
Recommendation
That Cabinet adopt the Records Management Policy.
1. Background
1.1 To ensure compliance with the Local Government Act 1972, the Data Protection Act 1998
and the Freedom of Information Act 2000, the Council needs to have in place a document
which sets out a framework sufficient for the Council to be able to meet its legal and
regulatory obligations as well as professional standards relevant to records management. A
copy of the draft policy is attached at Appendix „O‟ (orange paper). The document has been
circulated for comments to the Executive Management Team, Service Management Team
and the Corporate Management Team.
1.2 Compliance with this policy will ensure that the Council can demonstrate evidence and
accountability in addition to providing information about decisions and activities for as long
as is required. The role of records management is to ensure that the Council is supported in
its aim to be a well-managed organisation. The policy will be reviewed every three years
and may be amended from time to time to reflect any legislative changes that occur.
1.3 Records Management training is to be provided in August for key staff who are involved in
record keeping.
2. Legal and Statutory Implications
2.1 The Council needs to comply with the Local Government Act 1972, the Data Protection Act
1998 and the Freedom of Information Act 2000.
3. Equality Impact Assessment
No differential impact has been identified.
4. Financial and Resource Implications
There are no financial implications flowing from this report.
5. Major Risks
5.1 That the Council fails to comply with its statutory duty and its reputation for probity is
compromised.
39
6. List of Appendices
Appendix „O‟ (orange paper) – Records Management Policy
40
NEWCASTLE-UNDER-LYME BOROUGH COUNCIL
SUPPLEMENTARY REPORT OF THE EXECUTIVE MANAGEMENT TEAM
TO THE CABINET
23 July2008
12. AFFORDABLE HOUSING
Submitted by Regeneration and Development
Portfolio Regeneration & Planning
Ward(s) affected All
Purpose of the Report
To present to Cabinet the recommendations of Planning Committee on 22 July concerning the draft
SPD on Affordable Housing to be used for consultation purposes
Recommendation
That Cabinet accepts the recommendation of Planning Committee and approves the
document submitted.
Reasons
The Council needs to ensure that the right amount and type of affordable housing is developed in
the Borough. For this purpose, we need robust evidence and to show clearly how it is to be
interpreted and used in determining planning applications. This document uses the findings of the
Strategic Housing Market Assessment and presents clear guidance to developers. To be able to
have the status of SPD, it needs to be subject to public consultation.
Planning Committee on 22 July (the evening before the Cabinet) considered the report and
recommended that it be approved. The original intention was to ask Cabinet in September to
approve this recommendation, but to allow consultation to commence beforehand (subject to
discussion with the Portfolio Holder). However, on the basis that this is purely a consultation draft,
and given that all Elected Members have been sent a copy with the agenda for the Planning
Committee, the Leader and Portfolio Holder indicated that it would be appropriate to submit the
recommendation to this Cabinet as a late item.
1. Background
1.1 Supplementary Planning Documents (SPDs) are one of the “Local Development
Documents” that planning authorities can prepare as part of the “Local Development
Framework” (LDF). The preparation of an SPD on Affordable Housing was not included in
the Local Development Scheme agreed early in 2007, but it has become clear that such a
document was needed urgently. Its preparation forms part of the work plan of the planning
policy service (contained in the Service and Financial Plan for the Planning and Housing
Strategy Service.)
41
1.2 The need for clear guidance for developers, to manage the supply of affordable housing, is
recognised in the Service Improvement Plans for both the planning service and the strategic
housing service, having been identified as a weakness in inspections of both areas. Every
effort is therefore being made to produce such guidance and adopt it at the appropriate level
in the planning system.
1.3 SPDs do not set policy but can only elaborate on, or interpret, existing policy, and for this
reason they do not have the same status as Development Plan Documents. The headline
requirements put forward in this draft SPD have already been included in the Core Spatial
Strategy approved by the Council in May for later submission to the DCLG.
2. Content of the SPD and the consultation on it
2.1 The document is set out in eight sections explaining the context, the scope of the SPD and
how the need for affordable housing is assessed. It includes, as an appendix, excerpts from
the Strategic Housing Market Assessment, and other useful data, and sets out precise
requirements that will be imposed on developers who seek permission for residential
development. In brief, these are that 25% of the housing shall be “affordable”, being 15%
social rented and 10% intermediate housing.
2.2 Consultation on the document must be undertaken over a period of at least 6 weeks.
Members will recall that consultation is currently taking place on the SPD on the Town
Centre, and staff resources need to be managed carefully. It is therefore proposed that
public consultation will not commence until the beginning of September. However,
discussion with Registered Social Landlords and house builders can start well before then.
The results of the consultations will be brought to a subsequent meeting of the Planning
Committee this current year for final adoption of the SPD.
2.3 During the consultation process, it is hoped to elicit comments, particularly from Registered
Social Landlords and from developers, on the proposed requirements, the way they have
been formulated, (including the reliability of the evidence) and the mechanisms through
which the Council will ensure that the requirements are met.
2.4 The Scrutiny Committee on Economic Development and Enterprise has taken a particular
interest in affordable housing as part of its overview of the Housing Service Improvement
Plan. They have set up a sub group to look into the matter, concentrating in the first
instance on involvement in the consultation process on this SPD. The first meeting of this
group is taking place on 6 August.
3. Planning Committee 22 July
3.1 Planning Committee approved the document without any amendment and recommended
that the Cabinet approves it for the purposes of consultation. The original intention was to
ask Cabinet in September to approve this recommendation, but to allow consultation to
commence beforehand (subject to discussion with the Portfolio Holder). However, on the
basis that this is purely a consultation draft, and given that all Elected Members have been
sent a copy with the agenda for the Planning Committee, the Leader and Portfolio Holder
indicated that it would be appropriate to submit the recommendation to this Cabinet meeting
as a late item.
4. Outcomes Linked to Corporate Priorities
4.1 The provision of affordable housing is central to providing a borough of opportunity and a
healthy and active community.
42
5. Legal and Statutory Implications
5.1 The way in which we must produce local development documents is set out in changing
national regulations, guidance and best practice. In this case, the plan making programme
has been carried out in accordance with the Local Development Regulations 2004, which
have now been amended, though they are being brought in during a period of transition up
to September. In respect of the preparation of SPDs the changes are not particularly
significant. The production of SPDs is optional but the regulations include a requirement
that the all SPDs are included in the Council's approved Local Development Scheme (LDS),
although it is not thought that there is any prohibition on adopting an SPD that is not so
included. The SPD on Affordable Housing is not listed in the current LDS, but now the new
regulations have come in, a new LDS is to be prepared which will specifically include this
SPD.
6. Financial and Resource Implications
6.1 Costs of preparing and publicising the draft SPD can be covered in the budget agreed for
policy planning.
6.2 SPD production has no bearing on the amount of Planning and Housing Delivery Grant
awarded annually to the Council.
7. Equality Impact Assessment
7.1 An EIA has been carried out in accordance with the Council‟s programme on the planning
policy function as a whole and will be reviewed in accordance with the corporate
programme. The community involvement to which each local development document is
subjected is carried out within the terms of the Council's adopted Statement of Community
Involvement, August 2006.
8. Major Risks
8.1 In supporting the recommendations in this report the Borough Council will not be subject to
major risks. The purpose of the SPD is to reduce the risk of misunderstanding between the
Council and applicants and to demonstrate a clear justification for the approach to be
adopted.
43
APPENDIX A
(Cream Paper)
NEWCASTLE-UNDER-LYME BOROUGH
COUNCIL
Leading the Way to Achieve
Excellence…………
MANAGEMENT DEVELOPMENT
STRATEGY
JUNE 2008
1
Contents Page No
Background
1. Introduction 2
2. Aspirations 2
3. Development Principles 2
4. Aims and Objectives 3
5. Equality and Diversity 3
The Strategy
1. Management Development Strategy Overview 4
2. The Foundation Triangle of Management Development 4
3. Manager Recruitment 5
4. Manager Induction 6
5. Manager Development 8
6. Talent Management 10
7. Timetable 11
8. Linked Documents 11
9. Contact Details 11
1
Background
(1) Introduction
Newcastle Borough Council‟s vision is to improve „life‟ within the Borough and in doing so
understand the expectations of the local community for a forward looking and modern
Council that consistently delivers excellent and reliable services. It has never been more
important for us to motivate and develop our Managers to ensure they deliver the vision and
aims of the Council.
The Council recognises the importance of recruiting and retaining the best people and is
committed to introducing a Management Development Strategy that will drive improvement
and create the capacity to achieve an excellent (or equivalent star rating) CPA score by
2010.
It is based on existing best practice and maximises the benefits of collaborative working and
experience sharing across the Staffordshire Plus Improvement Partnership (SPIP). It also
aligns outputs to National Standards and incorporates external models of excellence and
latest thinking within the Public and Private Sector. It outlines a common approach towards
the full management life cycle and is underpinned by a selection of guides to support
implementation.
(2) Aspirations
Through effective utilisation of best practice and working in partnership with SPIP, it is
anticipated that implementing the Strategy will result in the following benefits:
A more structured approach to developing and supporting our managers, including the
sharing of resource and expertise will have been adopted;
An increased representation of managers from minority groups;
A best practice framework in manager recruitment, induction and development;
Opportunities for joint working and collaborative initiatives; and
Newcastle Borough Council will be recognised both within the Council and externally as
providing excellence in the development and delivery of management development.
(3) Development Principles
The Management Development Strategy is built on the following principles.
The Strategy should:
Align with the aims and objectives of the Council;
Command wide ownership at the level of the individual and senior teams;
Be a key driving tool to support performance improvement;
Utilise current best practice and build on the benefits of collaborative working;
Be relevant to all managers, at all levels;
2
Be built on a set of common management values, standards, behaviours and
competencies and provide a structured approach to developing and supporting
managers; and
Ensure that there is a clear management development annual cycle that includes and
embeds key organisational processes.
4) Aims and Objectives
The aim of the Management Development Strategy is to provide a framework for managing
the management life cycle in order to meet and overcome current and future challenges in
management recruitment, development and retention.
The objectives of the Strategy are to:
Link together the key strands of an effective Management Development process;
Provide opportunities for individuals to reach their full potential;
Identify and develop future leaders;
Assist the Council to meet its business goals and objectives;
Develop skills, attitudes, competencies and competitive capabilities to increase
capacity;
Reinforce this strategy by management practice; and
Increase the representation of women, black and minority ethnic groups and other
under-represented groups in management.
5) Equality and Diversity
The Council will actively promote diversity and equality issues to attract and retain the most
qualified and talented employees who are best able to deliver the services to the diverse
communities that the Council serves. The following core principles underpin all aspects of
the Management Development Strategy, from recruitment to the management of talent:
Take positive action to prevent discrimination in relation to recruitment, selection,
induction, development and promotion processes on the grounds of sex, race,
disability, age, sexual orientation, and religion or belief;
Value the diversity of management styles and build on its strengths;
Continue to develop and implement conditions of service for employees that are
recognised models of good practice and meet or surpass the requirements of
legislation in this area;
Use our external and internal communications to actively encourage applications from
under represented groups; and
Monitor and review all aspects of the Strategy on an annual basis to ensure that no
direct or indirect discrimination has been introduced.
3
The Strategy
(1) Management Development Strategy Overview
The Management Development Strategy links recruitment, induction, development and the
identification and development of future leaders. Central to the approach is the belief that all
development must be focused on delivering real time performance results in a manner that is
consistent with the Council‟s values and culture and that all development should be
measured and evaluated.
The Management Development Strategy is summarised in the following model:
Foundation Triangle Management Newcastle Borough
of Management Development Life Cycle Council Model
Development
1. Manager Recruitment 1. Manager Recruitment
2. Manager Induction
2. Manager Induction
2. Manager Induction
Co
Co
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om
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4. Talent Management
4. Talent Management
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l ts
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Dr
Dr
Dr
Re
Re
ive
ive
v
en
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Performance Measured Performance Measured
3. Manager Development 3. Manager Development
(2) The Foundation Triangle of Management Development
The whole of the Management Development Life Cycle should be measured and revolves
around delivering performance results (the „what‟) and „how‟ those results are achieved.
All aspects of the Management Development Life Cycle should be:
a) Competency Driven - Consistently applied, effective management behaviours and
attitudes have a major impact in the successful achievement of Service delivery,
differentiating „excellent‟ from average performance. The Council‟s Competency
Framework describes, in observable and measurable terms, the „non technical‟ skills
and behaviours all managers need, in order to perform at the highest level. The
framework comprises of 3 competency clusters that consist of the following:
Managing Ourselves Working with Others Moving Forward
Planning and Communication Strategic Thinking
Organising
Continuous Customer Service and Change Management
Improvement Support
Job Knowledge Leadership/Management Managing Performance
4
The Management Competencies should be embedded in all aspects of the
Management Development Life Cycle including recruitment, induction and
development. This will provide clear measures of what is important and reinforce the
values and working styles required to enable the Council to constantly improve,
achieve successful change management and to meet our customer expectations.
b) Results Focused - At the heart of our agenda is the need to provide excellent services
and to continue to build an even better service provision in the future.
To achieve this, the whole of the Management Development Strategy must be results
focused, ensuring a clear link is made between all activities within the Management
Development Life Cycle, delivering the results of Corporate and Service and Financial
Plans and the expectations of key service users and key stakeholders.
c) Performance Measurement – The following principles apply to all stages of the
Management Development Life Cycle:
Set and agree targets and objectives;
Provide appropriate support to the individual;
Monitor and track progress;
Measure results; and
Identify opportunities for continuous process improvement and personal
development.
These principles should underpin each element of the management life cycle. This
ensures recruitment, induction, development and talent management each have clarity
of direction, are monitored during their implementation and that benefits of each activity
are measured and evaluated. This will also act as a driver for continuous improvement.
(3) Manager Recruitment 1. Manager Recruitment
2. Manager Induction
a) Overview - The recruitment of managers is the first
C
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4. Talent Management
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stage of the Management Development Life Cycle
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and this section outlines the main principles for
Fo
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implementation.
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ive
i e
The overall aim of this part of the Strategy is to
n
ensure that the right managers with the required Performance Measured
attitudes, competencies and the potential for growth
and development are recruited through a cost
3. Manager Development
effective „excellent‟ recruitment process.
This Strategy recognises that manager recruitment differs from non-manager
recruitment in the emphasis placed on the individual‟s ability to work through others, as
opposed to their technical competence and that recruiting senior managers is a
specialised skill.
b) Manager Recruitment Principles - The key principles that underpin manager
recruitment are:
5
Manager recruitment should not only consider the ability of the candidate to fulfil the
requirements of the current vacancy but must also take into account their potential
to lead and manage at higher levels in the organisation;
The recruitment and selection process must be customised for each manager/
executive director vacancy. This customisation must ensure that both internal and
external processes are effective and attract suitable candidates;
The recruitment of managers must focus on the suitability of the candidate for the
role using the Council‟s Competency Framework as its backbone;
Manager recruitment must consider the leadership and people management
aspects of the candidate along with technical capabilities; and
Representation from women, BME groups and other under-represented groups,
especially at Senior and Executive levels, needs to be increased through positive
action to redress the balance.
c) Implementation Principles - The following forms the basis of the Council‟s approach to
implementing the Manager Recruitment Strategy:
The role of Human Resources within the recruitment process must be maintained as
a project management one with key responsibilities for the quality of the overall
recruitment process. In brief, the Human Resources role is to provide governance
and support Line Managers through the recruitment process and to determine the
most appropriate recruitment and selection process for the vacancy to be filled;
Human Resources must ensure that all staff and elected members involved in the
recruitment of managers are trained and competent in each of the recruitment
activities in which they participate;
The Line Manager and Human Resources should work together to develop a Job
Description and Person Specification, based on the Council‟s Competency
Framework;
Human Resources must customise the manager recruitment process to suit the
specific management post and determine the degree of involvement of executive
search consultancies;
Human Resources must develop an effective advertising/candidate attraction
campaign which effectively considers both internal and external prospective
candidates;
Human Resources, with input from Line Managers must determine the most
appropriate selection and testing method, for each vacancy; and
Human Resources should ensure that an evaluation and review of the recruitment
process is carried out regularly in order to „learn lessons‟ which will drive future
improvement. This review should include feedback from the Line Manager,
interviewing panel, the successful candidate and any external support used.
1. Manager Recruitment
(4) Manager Induction
2. Manager Induction
Co
a) Overview - The manager induction aspects of the
d
4. Talent Management
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strategy are designed to support new managers (including
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internal promotions) and individuals returning from long
e
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cy
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periods of absence, to become fully effective in their roles
su
Dr
as quickly as possible.
Re
ive
iv
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n
Performance Measured
6
3. Manager Development
This Induction Strategy recognises that managers must gain a broader working
knowledge of the organisation than other new staff. The strategy identifies those
additional activities, needed to be undertaken by managers that are not included in
existing new employee induction procedures.
b) Induction Principles - By the end of the induction period, managers should:
Be engaged in the Corporate Plan;
Have aligned themselves and their teams to Corporate and Service and Financial
plans and be delivering measurable results against them;
Have clarity about the accountabilities and responsibilities of their role and
competence expectations in how they achieve results through others;
Understand the Council‟s policies and procedures relating to managing the
performance of staff and can confidently fulfil their role in them;
Have developed an effective peer network and working relationships with their
team;
Have attended all mandatory training requirements linked specifically to their role;
and
Have identified/ addressed individual development needs through the Competency
Assessment.
c) Implementation Principles - The following form the basis of the Council‟s approach to
delivering effective manager induction:
Line managers (with appropriate support from Human Resources) are accountable
for planning, co-ordinating, monitoring, supporting and ensuring delivery of an
effective induction/ return to work programme. However, responsibility for ensuring
that Induction Objectives are achieved lies with the new/ returning to work manager
and they are to be reviewed against their success during and at the end of the
induction period;
Although each individual manager‟s induction programme will differ in its content
and flow they should all to be planned around the delivery of the seven Induction
objectives outlined above;
Planning, monitoring and recording the induction process should be achieved
through a checklist approach. The programme of activities (objectives and target
dates) should be jointly developed and agreed by the new manager and their line
manager;
Induction programmes should be tailored to the specific needs of the individual
manager and include any additional job specific or technical aspects that reflect and
meet the specific needs of the new manager‟s role. The individual‟s programme
should also take account of previous experience, qualifications, knowledge of the
Council etc;
Line managers should conduct regular „catch ups‟ to monitor progress, review
learning, confirm and clarify understanding and identify specific next steps and the
support required;
The induction process should be planned to last no more than six months; and
New managers should be paired with a „buddy‟ with the appropriate attributes for the
duration of their induction.
7
(5) Manager Development
a) Overview - The overall aim of the manager 1. Manager Recruitment
development elements of the Strategy is to provide a
2. Manager Induction
generic framework that will identify development
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d
support to managers throughout their management
4. Talent Management
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careers.
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It recognises that manager development is an
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ive
ongoing process of continuous improvement, which
n
should be firmly rooted in current reality, supporting
managers at all levels of the organisation to deliver Performance Measured
better performance today whilst developing their
managerial skills to take on tomorrow‟s challenges. 3. Manager Development
This part of the Strategy deals with the continuous development throughout the careers
of all managers and Section 6 identifies a strategic approach to, developing, deploying
and retaining future managers and leaders.
b) Principles – The following key principles underpin the Council‟s approach.
Management Development should be:
A shared responsibility between the individual and their line manager;
Directly linked to the individual skills, attitudes and behaviours needed to deliver
against strategic objectives;
Consistent, fair and provide opportunities for all;
A simple process – that is measured and evaluated;
Embedded in the Council‟s context and provide positive measurable impact;
Based on learning that is real, direct, frequent, conscious, substantial and makes a
difference;
Flexible and delivered as „modular‟ (pick and mix) bite sized developmental
opportunities that are directly linked to identified meaningful development needs;
and
Customised to the individual using an appropriate blend of learning approaches.
c) Overview and framework – The Development Framework builds on the principle that
manager development is a continuous process and that managers need to learn
different things at different stages during their career. Central to the development
framework is the belief that any development opportunities provided need to link
directly to the delivery of performance results and competency working. There are
three core, sequential programmes that provide the foundation skills required at each
management level and a selection of mandatory training activities. Whilst the core
programmes provide the building blocks, there are also a broad range of development
opportunities that should be used, as appropriate, to address specific needs. The
following illustrates how the main components link together to form the overarching
framework.
8
Delivering
Manager of others Manager of managers
Results
Core - Management Core - Leadership and
Development Change Management
Programme Programme
Competency
Working
Mandatory Trng-Perf Appraisal, Recruitment/Sel, Equality/Diversity, Atten Mgmt
Technical - Continuous Professional Development
d) Core Programmes – Central to the Management Development Strategy are three
programmes which are seen as „gateway courses‟ for success and which focus on
providing the specific skills and competencies needed at each management level. The
programmes are:
Manager of Others - Management Development Programme - A foundation or
generic programme based on the needs of middle managers and team leaders that
aims to provide a broad range of practical tools and techniques to enhance and
launch an individual‟s management career. The programmes should focus on
supporting participants to convert knowledge and understanding into practical
application
Manager of Managers - Leadership and Change Management Programme - Aimed
at senior managers who wish to develop their strategic management skills and
further refine their management style to become more effective leaders. The
programme should be based on an action learning methodology, dealing with real
time issues and providing a range of practical strategic tools.
e) Mandatory Training - The following should be regarded as mandatory for all managers
and provide the practical knowledge and understanding to allow managers to maximise
the benefits of the Council‟s existing systems and processes whilst developing a
working knowledge of the legal aspects of managing others. The mandatory
programmes are:
Performance Appraisal Training;
Equality/ Diversity;
Recruitment, Selection and Induction;
Attendance Management; and
Managing Capability.
9
f) Other Development Opportunities – The Management Development Strategy
recognises that development cannot be confined to training courses alone and that
learning from experience, coaching, engaging with others and experiential
developmental opportunities are important development tools that should be
incorporated at the appropriate time within the individual‟s development. Development
opportunities available include secondments, assignments, networking, coaching,
mentoring, 360 degree feedback and action learning sets.
(6) Talent Management
a) Introduction - The work of talent management cuts 1. Manager Recruitment
across traditional Human Resources silos. It
2. Manager Induction
2. Manager Induction
functions in a more facilitative, Organisational
Co
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ed
Development nature. It will also reach higher up the
4. Talent Management
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organisation than other Human Resources initiatives
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and will require the attention of the EMT and the
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Heads of Service.
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This Talent Management Strategy recognises the
Performance Measured
need to manage talent proactively and develops a
systematic way of accomplishing this aim.
3. Manager Development
b) Defining Talent Management - Talent Management
is a strategic and holistic approach to both Human Resources and corporate planning.
This improves the performance and the potential of people – the talent – who can
make a measurable difference to the Authority and ultimately to Staffordshire now and
in future. In the long term it aspires to yield enhanced performance among all levels in
the workforce, thus allowing everyone to reach his/her potential, no matter what that
might be.
For the purpose of this strategy Talent Management is defined as …..
A Programme that aligns talent with „business‟ need. It, therefore, seeks to improve
processes and service by improving people. It must be endorsed by and involve the
leaders of the Council, supported by Human Resources
A process that can raise the bar by setting higher performance expectations and
providing the opportunities to develop potential to meet these expectations
A programme that provides a clear, structured process which enables individuals
who have the perceived ability to work at EMT and / or Heads of Service level to be
identified and developed, and to help ensure that this talent is retained in the
Council in the future
10
(7) Timetable
By April 2008
- Appraisal of leaders and managers to make use of information and guidance during
February/March 2008
2008 – 2009
- Evaluation of existing provision for all managers and supervisors
2008 – 2009
- Embed the Competency Framework
- Assessment of all managers to pull together a Learning and Development Plan
2008 – 2009
- Develop and implement new leadership and management accredited development
programme
2008 – 2010
- Research on Succession Planning for different roles to link to Workforce Planning
and recruitment processes.
2008 – 2010
- Proposals for focused development for new leaders and managers
- Review of use of provision and developments
2008 – 2011
- Review of links between organisational objectives, performance, strategy and
implementation
- Revision of Learning and Development Strategy
(8) Linked Documents
Competency Framework
Recruitment and Selection Code of Practice
(9) Contact Details
Sarah Taylor
Human Resources Officer – Workforce Development
June 2008
11
APPENDIX B
(Salmon Paper)
Newcastle-Under-Lyme Borough Council
COMPETENCY FRAMEWORK
Managing Ourselves
Competency Behaviours
Planning and Organising 1. Has the ability to organise own time effectively and creates
own work schedules, prioritises, prepares in advance and sets
realistic timescales.
2. Accepts constructive feedback and makes adjustments
accordingly.
3. Shows an awareness of how their actions affect others.
4. Deals with ambiguity and remains focussed/positive and
able to adjust to changes.
5. Adapts and works effectively in different situations in order
to carry out a variety of tasks, whilst remaining calm and level
headed under pressure.
Continuous Improvement 6. Has the ability to set and meet challenging goals, creating
own measures and consistently seeks ways of improving
performance.
7. Awareness of own shortfalls and takes charge of personal
development to keep skills up-to-date whilst developing
knowledge within a particular area through learning.
8. Demonstrates „lean thinking‟ techniques. Encourages
others to challenge existing ways of doing things.
9.Can identify market opportunities within the service area to
generate external income within limits allowed by legalisation.
Job Knowledge 10. Is well informed and educated in performing to the level
expected for the job.
11. Seeks to understand how their job supports the strategic
direction of the Authority.
1
Managing Ourselves
Planning and
Organising
Level 1
Provides work on time and to the required
standard. Planning wide range of simple tasks or a
small number of complex ones.
Level 2
Workload delivered within deadlines and to agreed
standards. Makes medium plans for a project.
Level 3
Completion of work within area for which
responsible within deadlines and to agreed
standards. Makes long term plans which impacts a
function or the wider authority.
2
Managing Ourselves
Continuous
Improvement
Level 1
Makes suggestions for improvements to current
working methods. Shows willingness to learn.
Level 2
Looks to improve efficiency and quality of service
via input to procedures and processes. Keeps own
skills up-to-date and develops a depth of
knowledge in a particular area through learning.
Level 3
Revises or develops, procedure/policy and
contributes to their successful implementation.
Keeps up-to-date with developments in own field
and keeps abreast of issues internal/external.
3
Managing Ourselves
Job
Knowledge
Level 1
Has a basic level of understanding/experience and
is able to apply it with guidance.
Level 2
Has a good level of understanding/experience and
is able to apply it with no guidance.
Level 3
Has an expert level of understanding/experience
and is able to apply and develop it. Guides others.
4
Working with Others
Competency Behaviours
Communication 12. Communicates information clearly, accurately,
positively and in a timely manner.
13. Listens attentively and responds thoughtfully to the
needs, ideas and opinions expressed by others.
14. Demonstrates required skill in all forms of written, oral
and technological communication.
15. Changes communication style and approach to meet
the preference of those with whom they are dealing with
or of people from diverse backgrounds.
16.Explains reasons for the actions and seeks others
opinions.
Customer Service 17. Provides excellent service to external/internal
and Support customers by focusing on understanding and meeting
customer needs.
18. Regularly seeks feedback in order to identify areas of
improvement within the customer focussed
systems/processes.
19.Treats diverse range of customers with respect and
understanding.
20. Responds to requests in a timely and courteous
manner and always strives to represent a positive image
of the Authority.
21. Actively seeks customers‟ views to shape strategies
and plans through: questionnaires, surveys, suggestion
box, interactive internet pages.
Leadership/Management 22. Has the ability to inspire individuals to give their best
to achieve a desired result.
23. Promotes a trusting and empathetic environment and
equality of opportunity.
24. Has the ability to motivate and lead a team to ensure
effective performance against performance indicators.
25. Provides effective leadership and values to the team,
passing on own skills and knowledge where possible, by
using an effective coaching style.
26. Gives credit to others in recognition of their
contribution/achievements.
1
27. Exhibits confidence in financial management, uses the
appropriate language i.e. budget, forecast, assets,
revenue, shortfall, surplus etc. Discusses the financial
implications of decisions, linking decisions to budget
provisions.
28. Champions „value for money‟ in their dealings with
others. Says „no‟ if not good value, explaining reasons
why in order to continuously improve service.
29. Has the ability to negotiate and influence others to
obtain a „win win‟ solution.
30. Plans the use of deployment of resources and shares
information about how things are progressing against
plans and what changes will be made to plans as a result.
31. Has the ability to delegate the appropriate tasks taking
in to consideration subordinates skills and abilities
32. Makes decisions confidently and quickly when
necessary.
33. Involves staff and others in decisions that affect them
and invites people to ask questions about decisions.
34. Influences key stakeholders and partners to contribute
to the Authority‟s objectives.
35. Is aware of risk and uses this knowledge when making
decisions.
2
Working with Others
Communication
Level 1
Is able to exchange basic information in a
courteous and effective manner to peers, line
managers and customers.
Level 2
Is able to exchange detailed and more complex
information to a broad range of staff.
Level 3
Has the ability to effectively transfer key and
complex information to all levels of staff, Elected
Members & others, adapting the style of
communication as necessary and ensuring that this
information is understood. Excellent and accurate
standard of written and verbal communication.
3
Working with Others
Customer Service
& Support
Level 1
Receives customer feedback and responds
positively, reviewing own performance.
Level 2
Understands customer needs and provides
customer satisfaction. Is able to give timely advice
in response to enquiries from customers.
Level 3
Actively seeks customer feedback. Gives advice
which leads to valuable outcomes. Looks at
continuously reviewing and improving performance
standards of self and team.
4
Working with Others
Leadership/
Management
Level 1
Organises own and others activities. Has
operational planning for a particular area. Provides
professional management of a team with a well
defined staff group which deals mainly with issues
which occur regularly.
Level 2
Motivates and leads team to ensure effective
performance against goals. Provides effective
leadership and values the team, passing on own
skills and knowledge where possible. Leads and
plans the work of the team which deals with more
diverse issues.
Level 3
Develops, manages and motivates staff actively
within service area. Provides leadership and plans
the work of a dispersed Directorate wide team.
Secures and directs resources for wide area with
diverse staff with clear risk attached to decisions.
5
Moving Forward
Competency Behaviours
Strategic Thinking 36. Takes an overview and identifies patterns, terms and
long term possibilities.
37. Creates and shapes a vision for the future and fits in
with the Authority‟s long term objectives.
38. Agrees shared goals and processes with key
stakeholders where there may be benefit in collaborating.
39. Creates or contributes to the creation of long term
plans for the service area based on the vision for the
service area and the overall Authority.
40. Summarises the likely risks and rewards associated
with the proposed approach.
Change Management 41. Ability to modify style in order to reach goals and to
maintain effectiveness within changing environments and
with varying responsibilities.
42. Coaches others to understand what steps they need to
take to implement a change situation, whilst referring to
change as an opportunity.
43. Helps others to understand what steps they need to
take to implement a change situation.
44. Demonstrates a continuous positive attitude whilst
embracing change initiatives.
Managing Performance 45. Effectively plans, monitors and controls their own and
subordinates performance.
46. Actively helps others to improve performance and
provides constructive feedback.
47. Tackles issues of poor performance by agreeing clear
SMART objectives.
48. Ensures that people are clear about their own
responsibilities and accountabilities.
49. Treats mistakes and problems as an opportunity for
learning.
50. Celebrates successes and treats them as an
opportunity for learning.
51. Promotes a culture where feedback on performance is
encouraged, using examples of behaviour and asks
people to share with each other at meetings how they
6
think things are going.
52. Gives clear and honest feedback on performance,
using plain language and examples to describe person‟s
behaviour and not referring to personality.
7
Moving Forward
Strategic
Thinking
Level 1
Has awareness and generates ideas which
contribute to the service area.
Level 2
Identifies best practice and applies to area.
Analyses ideas and develops ideas for the strategy
of the service area. Has an awareness of the
Authority‟s strategy and own place within it.
Level 3
Excellent quality of planning links to strategy.
Proposals for policy which meet both internal and
external requirements. Develops service area
strategy and contributes actively to the Authority‟s
strategy.
8
Moving Forward
Change
Management
Level 1
Takes a positive approach to dealing with change
initiatives.
Level 2
Contributes to the creation of long term plans for
the service area. Ability to handle conflicting
priorities.
Level 3
Generates new ideas and suggestions for change.
Remains resilient whilst working under adverse or
conflicting demands.
9
Moving Forward
Managing
Performance
Level 1
Is proactive in managing their own performance.
Strives to improve own and team‟s performance.
Regularly evaluates and reflects own performance.
Level 2
Looks to assist others in improving performance
whilst providing constructive feedback and
monitoring progress.
Level 3
Deals effectively with issues of poor performance.
Provides effective constructive feedback to others.
Sets team/individual objectives in line with the
Authority‟s Corporate Priorities.
10
APPENDIX ‘C’
(Yellow Paper)
COMPETENCY ASSESSMENT Newcastle under Lyme Borough Council
Competency Competency Assessment
improvement (NI)
Meets the needs
To be completed by the Line Manager
of the job (MN)
Managing Ourselves
L Mgr Rating
demonstrate
Needs some
where appropriate.
Strength (S)
Summarize the overall performance for
Does not
Planning and Organising
the competency in the spaces provided.
(ND)
Include areas for development/
N/A
improvement.
1. Has the ability to organise own time effectively and creates own work
schedules, prioritises, prepares in advance and sets realistic timescales.
2. Accepts constructive feedback and makes adjustments accordingly.
3. Shows an awareness of how their actions affect others.
4. Deals with ambiguity and remains focussed/positive and able to adjust
to changes.
5. Adapts and works effectively in different situations in order to carry out a
variety of tasks, whilst remaining calm and level headed under pressure.
Tick the box to demonstrate the level that is appropriate to this √ Summarize the current overall level of competency in the space
particular post provided. Include areas for development/ improvement.
Level 1 – Provides work on time and to the required standard. Planning
wide range of simple tasks or a small number of complex ones.
Level 2 - Workload delivered within deadlines and to agreed standards.
Makes medium plans for a project.
Level 3 - Completion of work within area for which responsible within
deadlines and to agreed standards. Makes long term plans which impacts
a function or the wider authority.
Page 1 of 11
Competency Competency Assessment
improvement (NI)
Meets the needs
To be completed by the Line
of the job (MN)
Managing Ourselves
demonstrate
Needs some
Manager where appropriate.
Strength (S)
Appr Rating
Summarize the overall performance for
Does not
the competency in the spaces provided.
Continuous Improvement
(ND)
Include areas for development/
N/A
improvement.
6. Has the ability to set and meet challenging goals, creating own measures
and consistently seeks ways of improving performance.
7. Awareness of own shortfalls and takes charge of personal development to
keep skills up-to-date whilst developing knowledge within a particular area
through learning.
8. Demonstrates „lean thinking‟ techniques. Encourages others to challenge
existing ways of doing things.
9. Can identify market opportunities within the service area to generate
external income within limits allowed by legalisation.
Tick the box to demonstrate the level that is appropriate to this √ Summarize the curent overall level of competency in the
particular post spaces provided. Include areas for development/
improvement.
Level 1 - Makes suggestions for improvements to current working methods. Shows
willingness to learn.
Level 2 - Looks to improve efficiency and quality of service via input to procedures
and processes. Keeps own skills up-to-date and develops a depth of knowledge in a
particular area through learning.
Level 3 - Revises or develops procedure/policy and contributes to their successful
implementation. Keeps up-to-date with developments in own field and keeps abreast
of issues internal/external.
Page 2 of 11
Competency Competency Assessment
improvement (NI)
Meets the needs
To be completed by the Line Manager
of the job (MN)
Managing Ourselves
demonstrate
Needs some
where appropriate.
Strength (S)
Appr Rating
Summarize the overall performance for
Does not
the competency in the spaces provided.
Job Knowledge
(ND)
Include areas for development/
N/A
improvement.
10. Is well informed and educated in performing to the level expected for the
job.
11. Seeks to understand how their job supports the strategic direction of the
Authority.
Tick the box to demonstrate the level that is appropriate to this √ Summarize the current overall level of competency in the spaces
particular post provided. Include areas for development/ improvement.
Level 1 - Has a basic level of understanding/experience and is able to apply
it with guidance.
Level 2 - Has a good level of understanding/experience and is able to apply
it with no guidance.
Level 3 - Has an expert level of understanding/experience and is able to
apply and develop it. Guides others.
Page 3 of 11
Competency Competency Assessment
improvement
demonstrate
To be completed by the Line Manager
Needs some
needs of the
Strength (S)
Appr Rating
Working with Others
Meets the
where appropriate.
Does not
job (MN)
Summarize the overall performance for the
(ND)
competency in the spaces provided. Include
N/A
(NI)
Communication areas for development/ improvement.
12. Communicates information clearly, accurately, positively and in a
timely manner.
13. Listens attentively and responds thoughtfully to the needs, ideas and
opinions expressed by others.
14. Demonstrates required skill in all forms of written, oral and
technological communication.
15. Changes their communication style and approach to meet the
preference of those with whom they are dealing with or of people from
diverse backgrounds.
16. Explains reasons for the actions and seeks others opinions.
Tick the box to demonstrate the level that is appropriate to this √ Summarize the current overall level of competency in the spaces
particular post provided. Include areas for development/ improvement.
Level 1 – Is able to exchange basic information in a courteous and
effective manner to peers, line managers and customers.
Level 2 - Is able to exchange detailed and more complex information to a
broader range of staff.
Level 3 - Has the ability to effectively transfer key and complex
information to all levels of staff, Elected Members & others, adapting the
style of communication as necessary and ensuring that this information is
understood. Excellent and accurate standard of written and verbal
communication.
Page 4 of 11
Competency Competency Assessment
improvement
demonstrate
To be completed by the Line Manager
Needs some
needs of the
Strength (S)
Appr Rating
Working with Others
Meets the
where appropriate.
Does not
job (MN)
Summarize the overall performance for the
(ND)
competency in the spaces provided. Include
N/A
(NI)
Customer Service and Support areas for development/ improvement.
17.Provides excellent service to external/internal customers by focusing
on understanding and meeting customer needs.
18. Regularly sees feedback in order to identify areas of improvement
within the customer focussed systems/processes.
19. Treats diverse range of customers with respect and understanding.
20. Responds to requests in a timely and courteous manner and always
strives to represent a positive image of the Authority.
21. Actively seeks customers‟ views to shape strategies and plans
through: questionnaires, surveys, suggestion box, and interactive internet
pages.
Tick the box to demonstrate the level that is appropriate to this √ Summarize the current overall level of competency in the spaces
particular post provided. Include areas for development/ improvement.
Level 1 – Receives customer feedback and responds positively,
reviewing own performance.
Level 2 - Understands customer needs and provides customer
satisfaction. Is able to give timely advice in response to enquiries from
customers.
Level 3 - Actively seeks customer feedback. Gives advice which leads
to valuable outcomes. Looks at continuously reviewing and improving
performance standards of self and team.
Page 5 of 11
Competency Competency Assessment
improvement (NI)
Meets the needs
To be completed by the Line Manager
of the job (MN)
Working with Others
demonstrate
Needs some
where appropriate.
Strength (S)
Appr Rating
Summarize the overall performance for
Does not
the competency in the spaces provided.
Leadership/Management
(ND)
Include areas for development/
N/A
improvement.
22. Has the ability to inspire individuals to give their best to achieve a
desired result.
23. Promotes a trusting and empathetic environment and equality of
opportunity.
24. Has the ability to motivate and lead a team to ensure effective
performance against performance indicators.
25. Provides effective leadership and values to the team, passing on own
skills and knowledge where possible, by using an effective coaching style.
26. Gives credit to others in recognition of their contribution/achievements.
27. Exhibits confidence in financial management, uses the appropriate
language i.e. budget, forecast, assets, revenue, shortfall, surplus etc.
Discusses the financial implications of decisions, linking decisions to
budget provisions.
28. Champions „value for money‟ in their dealings with others. Says „no‟ if
not good value, explaining reasons why in order to continuously improve
service.
29. Has the ability to negotiate and influence others to obtain a „win win‟
solution.
30. Plans the use of deployment of resources and shares information
about how things are progressing against plans and what changes will be
made to plans as a result.
31. Has the ability to delegate the appropriate tasks taking in to
consideration subordinates skills and abilities.
32. Makes decisions confidently and quickly when necessary.
33. Involves staff and others in decisions that affect them and invites
people to ask questions about decisions.
Page 6 of 11
34. Influences key stakeholders and partners to contribute to the
Authority‟s objectives.
35. Is aware of risk and uses this knowledge when making decisions.
Tick the box to demonstrate the level that is appropriate to this √ Summarize the current overall level of competency in the spaces
particular post provided. Include areas for development/ improvement.
Level 1 Organises own and others activities. Has operational planning for
a particular area. Provides professional management of a team with a well
defined staff group which deals mainly with issues which occur regularly.
Level 2 - Motivates and leads team to ensure effective performance
against goals. Provides effective leadership and values the team, passing
on own skills and knowledge where possible. Leads and plans the work of
the team which deals with more diverse issues.
Level 3 Develops, manages and motivates staff actively within service
area. Provides leadership and plans the work of a dispersed Directorate
wide team. Secures and directs resources for wide area with diverse staff
with clear risk attached to decisions.
Page 7 of 11
Competency Competency Assessment
improvement (NI)
Meets the needs
of the job ((MN)
Moving Forward To be completed by the Line Manager
demonstrate
Needs some
where appropriate.
Strength (S)
Appr Rating
Summarize the overall performance for
Does not
the competency in the spaces provided.
Strategic Thinking
(ND)
Include areas for development/
N/A
improvement.
36. Takes an overview and identifies patterns, terms and long term
possibilities.
37. Creates and shapes a vision for the future and fits in with the
Authority‟s long term objectives.
38. Agrees shared goals and processes with key stakeholders where there
may be benefit in collaborating.
39. Creates or contributes to the creation of long term plans for the service
area based on the vision for the service area and the overall Authority.
40. Summarises the likely risks and rewards associated with the proposed
approach.
Tick the box to demonstrate the level that is appropriate to this √ Summarize the current overall level of competency in the spaces
particular post provided. Include areas for development/ improvement.
Level 1 – Has awareness and generates ideas which contribute to the
service area.
Level 2 - Identifies best practice and applies to area. Analyses ideas and
develops ideas for the strategy of the service area. Has an awareness of
the Authority‟s strategy and own place within it.
Level 3 - Excellent quality of planning links to strategy. Proposals for
policy which meet both internal and external requirements. Develops
service area strategy and contributes actively to the Authority‟s strategy.
Page 8 of 11
Competency Competency Assessment
Meets the needs
of the job (MN)
Moving Forward To be completed by the Line Manager
improvement
demonstrate
Needs some
Strength (S)
Appr Rating
where appropriate.
Summarize the overall performance for
Does not
the competency in the spaces provided.
Change Management
(ND)
Include areas for development/
N/A
(NI)
improvement.
41. Ability to modify style in order to reach goals and to maintain
effectiveness within changing environments and with varying responsibilities.
42. Coaches others to understand what steps they need to take to
implement a change situation, whilst referring to change as an opportunity.
43. Helps others to understand what steps they need to take to implement a
change situation.
44. Demonstrates a continuous positive attitude whilst embracing change
initiatives.
Tick the box to demonstrate the level that is appropriate to this √ Summarize the current overall level of competency in the
particular post spaces provided. Include areas for development/ improvement.
Level 1 – Takes a positive approach to dealing with change initiatives.
Level 2 - Contributes to the creation of long term plans for the service area.
Ability to handle conflicting priorities.
Level 3 - Generates new ideas and suggestions for change. Remains
resilient whilst working under adverse or conflicting demands.
Page 9 of 11
Competency Competency Assessment
improvement (NI)
Meets the needs
To be completed by the Line Manager
of the job (MN)
Moving Forward
demonstrate
Needs some
where appropriate.
Strength (S)
Appr Rating
Summarize the overall performance for
Does not
the competency in the spaces provided.
Managing Performance
(ND)
Include areas for development/
N/A
improvement.
45. Effectively plans, monitors and controls their own and subordinates
performance.
46. Actively helps others to improve performance and provides
constructive feedback.
47. Tackles issues of poor performance by agreeing clear SMART
objectives.
48. Ensures that people are clear about their own responsibilities and
accountabilities.
49. Treats mistakes and problems as an opportunity for learning.
50. Celebrates successes and treats them as an opportunity for learning.
51. Promotes a culture where feedback on performance is encouraged,
using examples of behaviour and asks people to share with each other at
meetings how they think things are going.
52. Gives clear and honest feedback on performance, using plain
language and examples to describe person‟s behaviour and not referring to
personality.
Page 10 of 11
Tick the box to demonstrate the level that is appropriate to this √ Summarize the current overall level of competency in the
particular post spaces provided. Include areas for development/improvement
Level 1 – Is proactive in managing their own performance. Strives to
improve own and team‟s performance. Regularly evaluates and reflects
own performance.
Level 2 - Looks to assist others in improving performance whilst providing
constructive feedback and monitoring progress.
Level 3 - Deals effectively with issues of poor performance. Provides
effective constructive feedback to others. Sets team/individual objectives
in line with the Authority‟s Corporate Priorities.
Page 11 of 11
APPENDIX D
(Blue Paper)
RECRUITMENT AND SELECTION
COMPETENCY BASED QUESTIONS
Managing Ourselves
Planning and Organising
1. Give me an example of a time when you had too much to do. How did you set
about prioritising?
2. Give me an example of some feedback you had, which you found
uncomfortable. How easy did you find it accept such criticism?
3. What of your natural behaviours do you think colleagues find most helpful and
most unhelpful?
4. Give me an example of a time when you had to implement some change you
disagreed with. How easy did you find this?
5. (As 1)
Continuous Improvement
6. Give me an example of when you set yourself and others a really challenging
goal. What happened?
7. What are your biggest strengths and weaknesses? What action have you
taken to try and hide your weakness(es)?
8. Give me an example of a time when you completely changed a process, or
way of doing something, to improve costs and/or service?
9. Give me an example of an initiative you undertook to generate external
revenue. How did it work out?
Job Knowledge
10. N/A
11. What do you think the most important element of this role is in support of the
Authority‟s key strategic objectives
Working with Others
Communication
12. Give me an example of an occasion where you felt you really communicated
something successfully. What did you do?
13. Give me an example of a time when you decided to change course because
of the comment or input of someone who worked for you.
14. N/A
15. Give me an example of a time when you had to change your preferred
communication approach to meet a particular situation. Why did you do this?
How did it turn out?
16. How important do you think it is to get feedback about decisions that have
been firmly made? How do you deal with contrary opinions in such
circumstances?
1
Customer Service
17. Give me an example of a time when you changed a service/process in
response to a customer need. How did you discover and understand this
particular customer requirement?
18. How do you find out the views of your „customers‟ in your current role?
19. Give me an example of a time when you had conflicting customer
requirements? How did you resolve this?
20. How do you prioritise requests and demands on your time particularly from
external bodies?
21. (As 18)
Leadership/Management
22. Give me an example of a time when you had to work really hard to motivate
individuals to go along a particular course of action. What did you try?
23. Give me an example of a time when you worked in a team that was especially
trusting and empathetic with each other. Why do you think that was the case?
24. How do you monitor performance against targets? What works particularly
well with your style?
25. Give me an example of a time when you successfully coached a direct report
to improve in a particular area. How did you set about this?
26. How do you tend to recognise good performance? Give me an example of
something that went down particularly well
27. Give me an example of a time when you found it particularly tough to
understand the potential financial consequences of a particular course of
action. What did you do?
28. Give me an example of a time when you had to turn down a seemingly good
idea because it simply was not value for money. How easy did you find this?
29. Give me an example of a time when you compromised on something to
achieve a „win/win‟ situation on something that you needed to unblock. Did it
work?
30. Give me an example of a time when you had to change your plans because
of new information. How easy did you find this?
31. How do you decide what to delegate and what to do yourself and/or keep a
close eye on?
32. Give me an example of a time when you made a decision too slowly. What
did you learn from this?
33. How much do you involve staff and others in issues or decisions that affect
them? Give me an example of a time this worked well.
34. (as 38)
35. (as 40)
Moving Forward
Strategic Thinking
36. How do you set about balancing longer and shorter term needs? Give me an
example of a time when you found this particularly difficult.
37. How easy do you find it align your plans and goals with those of the overall
organisation?
38. Give me an example of a time when you have had to move an issue forward
in partnership with a number of stakeholders. How easy did you find this?
39. (as 37)
2
40. Give me an example of a time when you took a calculated risk to achieve
something important. How did you balance the potential risks and rewards in
this situation?
Change Management
41. (as 30)
42. Give me an example of a situation where you had to work hard to make
others understand and co-operate with change. What did you try?
43. How do you set about communicating the steps needed to effect successful
change? What seems to work particularly well for you?
44. How easy do you find it to remain positive when there is a lot of change going
on?
Managing Performance
45. (as 24)
46. Give me an example of where you felt you had to intervene to stop something
going off course. What did you do? How did it work out?
47. How do you deal with poor performance?
48. Give me an example of a time where you were working in a situation where
accountabilities were not clear. What happened? What did you learn?
49. Give me an example of a time when something you were responsible for went
wrong. What did you learn?
50. Give me an example of something that you are particularly proud of. What
have you learnt from this success?
51. Give me an example of a time when you wish you had said something at a
meeting, but did not do so because you felt it was too unsupportive to a
colleague. Was that the right decision?
52. When some-one is trying their hardest, but just not delivering the right results,
how do you approach feedback?
3
APPENDIX ‘E’
{Lavender Paper)
Item No Corporate Risk Risk Main areas of risk Risk Risk Specify Existing Final Final
Priority Category Score Rating Control Measures Score Risk
I*L I*L Rating
1 Legal Potential for the Council to 3x3=9 M Disclaimers in both the Reporter 3 x 2 = 6 L
become embroiled in legal and on the website which make
Stakeholders view actions from consumers. it clear the Council does not
adverts which are Damage to the reputation of endorse advertisers. The
carried in the civic the Council if linked to Council retains the final
publication or on the suspect companies. approval for all advertisements.
Council's website as an A specialist media sales
endorsement by the company be recruited to
Council of a particular oversee all advertising
product, service, functions.
organisation or
company.
2 Service delivery Increased pressure on 3x3=9 M Ensure details of alternative 3x2=6 L
existing staff and more media sales specialists are held
stress as they could be by the Comms Team.
Media sales specialist asked to work in areas
goes out of business where they have no
resulting in difficulties for expertise.
advertisers. Not enough
capacity within the
existing Comms Team
to take over these duties
if selected company can
no longer function.
3 Service delivery There is a lack of take Advertising is a fluctuating 3 x 3 = 9 M Maintaining the quality of the 3x2=6 L
up from potential market and establishing Reporter and the website will
advertisers resulting in a and then maintaining levels ensure it remains an attractive
substantially reduced of income is notoriously proposition to advertisers and
level of income for the difficult. therefore a reliable source of
Council. income for the Council.
1
APPENDIX ‘F’
(Grey Paper)
Write-off procedures for Authorities in Staffordshire
Council Stage 1 Stage 2 Stage 3 Stage 4
1 Section 151 Officer up to £1,000+ Confidential
£1,000 report to Members
2 (*) Section 151 Officer up to £100 up to £100,000 by £100,000+ report to
£100 Deputy Leader Members, some open,
some confidential.
3 Recovery Manager up to Section 151 Officer £250 £25,000+ Confidential
£250 to £25,000 report to Members
4 (Newcastle) Section 151 Officer up to £2,500+ Confidential
£2,500 report to Members
5 Section 151 Officer up to £1,000+ Confidential
£1,000 report to Members
6 Section 151 Officer up to £100 up to £500 written £500 up to £1,000 £1,000+ Confidential
£100 consultation with consultation with report to Members
Members Corporate Director
7 Section 151 Officer up to £1,000+ by Deputy
£1,000 Leader
8 Section 151 Officer up to £2,500+ Open report to
£2,500 Members
9 Assistant Director up to Director £5,000 up to £10,000+ Confidential
£5,000 £10,000 report to Members
* Write-offs dealt with on schedule/report value rather than individual account value
1
APPENDIX ‘G’
(Orange Paper)
Aspire Housing and Newcastle-under-Lyme Borough Council
Joint Shared Ownership Allocations Policy
1) General Needs Housing
An applicant must:
Demonstrate that they cannot afford to buy a suitable home without help
from the scheme
Have sufficient income to be able to afford the combined mortgage and
rent for the scheme
Be a British National or have permanent leave to remain in the UK
Not be in mortgage arrears, rent arrears or breach of tenancy agreement
Have satisfied any CCJ’s or be clear of bankruptcy/creditor agreements
Be in permanent employment, although people on fixed term contracts may
apply
Not have debts in excess of £15,000 (up to £20,000 for student loans)
Not own a property which already meets their housing needs
Have access to £3,000 to cover the initial costs of buying a home
Be aged 18 or over and have a bank account
Sell any existing home in their ownership upon purchase of a shared
ownership home
Be an existing customer of Aspire Housing or be registered on the joint Aspire
Housing/Local Authority waiting list (and have a registration number)
1
Additional criteria:
The new open market scheme sets an upper limit for family income of
£60,000, £12,000-30,000 for individuals and £18,000-50,000 for couples. This
may vary according to number of dependents and amount of savings.
Applicants must have a local connection to be considered under priorities 1-
5. This would include having been a resident of the Borough for at least 6
months, or having lived in the Borough for 3 out of the past 5 years.
In cases where there is competition for a scheme, priority will be given in the
following order:
Priority 1: Emergency cases – individuals at risk of being made homeless or being
requested to relocate as part of the RENEW programme
Priority 2: Individuals with a high need for suitable accommodation due to
medical or social reasons
Priority 3: Existing customers of Aspire Housing
Priority 4: First time buyers (or first time in their own right after marriage
breakdown)
Priority 5: Owner-occupiers who are unable to purchase a suitable property on
the open market
Priority 6: Individuals with no local connection who are unable to buy a suitable
property on the open market
2
2) Shared Ownership for the Elderly
This section of the policy applies specifically to general needs accommodation built
for people over the age of 55 (e.g. bungalows). This excludes Extra Care housing
schemes, which will have their own allocations policies and criteria.
An applicant must:
Be aged 55 or over
Sell any existing home in their ownership upon purchase of a shared
ownership home
Have sufficient income/savings to afford the purchase and ongoing costs of
living within the scheme
Be a British National or have permanent leave to remain in the UK
Not be in mortgage arrears, rent arrears or breach of tenancy agreement
Have satisfied any CCJ’s or be clear of bankruptcy/creditor agreements
Not have debts in excess of £15,000
Not own a property which already meets their housing needs
Have access to £3,000 to cover the initial costs of buying a home
Have a bank account
Be an existing customer of Aspire Housing or be registered on the joint Aspire
Housing/Local Authority waiting list (and have a registration number)
Additional criteria:
The new open market scheme sets an upper limit for family income of
£60,000, £12,000-30,000 for individuals and £18,000-50,000 for couples. This
may vary according to number of dependents and amount of savings.
Applicants must have a local connection to be considered under priorities 1-
4. This would include having been a resident of the Borough for at least 6
months, or having lived in the Borough for 3 out of the past 5 years.
In cases where there is competition for a scheme, priority will be given in the
following order:
3
Priority 1: Emergency cases – individuals at risk of being made homeless or being
requested to relocate as part of the RENEW programme
Priority 2: Individuals with a high need for suitable accommodation due to
medical or social reasons*.
Priority 3: Existing customers of Aspire Housing
Priority 4: Individuals who are unable to afford to buy a suitable property outright
on the open market
Priority 5: Individuals with no local connection who are unable to afford to buy a
suitable property outright on the open market
*Disabled applicants who are under the age of 55 may be considered for bungalow
accommodation where it meets their specific housing needs. Any such requests
must be referred to and approved by the Borough Council on a case-by-case basis.
4
APPENDIX ‘H’
(Cream Paper)
5-YEAR IMPROVEMENT PLAN 2005-2010
Objective Action Target Completion Milestones Lead Officer/Agency Progress to May 2008
1. The right to high quality Review the „Policy for Play‟ November 2005 Report to Cabinet approving D.A. Adams Completed.
appropriate and accessible strategy and set priorities for the reviewed Policy. Policy approved by Council
play opportunities for all next 5 years. February 2006.
children and young people
in the Borough.
Review progress towards September 2005 Report to Cabinet approving D.A. Adams Completed.
establishing strategic provision reviewed priorities. Provision priorities within
of play areas and priorities areas Policy.
of deprivation.
Working partnership with Ongoing Annual report to Cabinet on D.A. Adams Ongoing.
relevant agencies, organisations progress. Current joint working with
and voluntary groups to achieve Policy, Newcastle Play
policy objectives. Council and Aspire Housing.
Undertake accessibility audit of March 2006 Completion of initial audits and S. Middlehurst Part complete.
all playgrounds and open play training. R.J. Tait Audits of playgrounds and
spaces in conjunction with the Programme of audits on all parks, initial pilot number of parks
DDA requirements. play spaces and greenspaces. complete.
Remaining audits to be
completed when resources
permit.
Review the provision, location December 2005 Secure funding. R.J. Tait Complete
and use of all public open Appointment of consultant. Audit of greenspace
spaces and greenspaces through Final report received. provision and Household
a “Green Audit” of current Survey complete. Draft
facilities. Greenspace Strategy
approved by Cabinet for
consultation.
1
Objective Action Target Completion Milestones Lead Officer/Agency Progress to September 2007
2. The right to a safe play Consult users and non-users of July 2005 Peoples Panel Consultation. S. Middlehurst Complete.
environment for children, play facilities to determine Young peoples groups/relevant Consultation with users and
young people, parents and current reasons for concern over organisations consultation. non-users through Peoples
carers. personal safety issues. Panel, focus groups and on-
site surveys.
Place child, parent and carer June 2006 Development of child and parent R.J. Tait Part complete.
safely at the heart of all new safety guide. User safety issues considered
playground projects and as a key part of new design
refurbishments. process.
Regularly work with Policy, Ongoing Annual report to Cabinet on D.A. Adams Ongoing.
Probation Service to improve progress. Regular liaison and joint
safety in play areas. operations with Police, e.g.
Clough Hall Park,
Chesterton Park.
Reparation work undertaken
by youth offending teams.
Undertake a structured Ongoing Annual Independent Playground S. Middlehurst Ongoing
programme of play equipment Inspections. Annual independent
inspection, maintenance, repair inspections carried out by
and replacement. Royal Society for Prevention
of Accidents in 2006 and
2007.
Adopt the latest European Completed Completed. D.A. Adams Complete.
Standards as the Council‟s Contained in the approved
standard for play provision in Policy February 2006.
conjunction with a risk
assessment approach.
2
Objective Action Target Completion Milestones Lead Officer/Agency Progress to September 2007
3. The right to be consulted, Consult children, young people, July 2005 and July Peoples Panel Consultation. D.A. Adams Complete.
become involved and work parents and carers on the aims 2007 Peoples Panel surveys
with other agencies in the of the Policy and current undertaken in July 2005 and
planning and delivery of provision of facilities. October 2007.
play facilities.
Facilitate a network of „Friends Ongoing First „Friends‟ meeting for Lyme S. Middlehurst Complete.
of Parks‟, which can provide Valley. Friends Groups established
regular views on current and for Lyme Valley, Bathpool
future provision. Park and Brampton Park.
Further group Queen
Elizabeth Parks to be set up.
Consult children, young people, Ongoing Scheme by scheme consultation. R.J. Tait Ongoing.
parents and carers on new Scheme by scheme
development proposals. consultation carried out.
Raise awareness of the Ongoing Promotional/awareness raising D.A. Adams Ongoing.
opportunities for and the activities. Development of new play
importance of play. opportunities publicised
through Reporter and local
media outlets.
3
Objective Action Target Completion Milestones Lead Officer/Agency Progress to September 2007
4. The right to expect high Provide staff with relevant March 2007 Various training programmes. S. Middlehurst Part complete.
quality playwork practices training and development P. Pickerill A range of development and
by promoting the opportunities including R.J. Tait maintenance staff
development of training accessibility, inspection, play opportunities ongoing.
and appropriately qualified leadership.
staff.
Complete Criminal Records March 2006 Completion of checks. R. Durrant Complete.
Bureau checks on all existing CRB checks carried out on
and new staff involved with regular basis and for all
playwork. relevant new staffs.
Undertake child protection March 2006 Programme of training. C. Ayres Part complete.
training and awareness of All relevant staff completed. Training of staff in progress,
Council‟s policy. some completed NSPCC
course, training programme
being established for further
employees.
4
Objective Action Target Completion Milestones Lead Officer/Agency Progress to September 2007
5. The right to expect Increase the number of new March 2006, 2007, Completion of new playgrounds. R.J. Tait Ongoing
continuous improvement in playgrounds by a minimum of 2 2008, 2009, 2010 2006 and 2007 targets met.
the value of play spaces. each year. New playgrounds provided
at Lyme Valley; Buckmaster
Ave., Clayton; Bamber
Place, Chesterton and
Moorlands Road, Mow Cop
and the Dingle, Bradwell.
Seek opportunities for funding Ongoing Annual progress report to R.J. Tait Ongoing.
play space improvements Cabinet. Funding secured through
through the Corporate and external grants, local
Amenities Division external developer contributions and
funding groups. Big Lottery.
Working partnership with all Ongoing Annual progress report to D.A. Adams Complete.
relevant agencies, organisations Cabinet. Local play partnership
and programmes to achieve established to develop Big
improvements. Lottery funding bid. New
playgrounds developed on
Aspire sites at Bamber Place
and Moorlands Road.
Carry out regular maintenance, Weekly, ongoing Redevelopment schemes. S. Middlehurst Complete.
repair and redevelopment of and annual Annual independent inspection R.J. Tait Weekly checks and annual
existing play areas. report. inspections carried out.
Contract completed for
repair and replacement of
play areas.
Undertake regular consultation Ongoing Scheme by scheme and „friends‟ R.J. Tait Complete.
with members of the community consultations. S. Middlehurst Friends Groups, residents
to encourage ownership of associations, individual
areas. residents consulted on a
range of issues to encourage
greater ownership.
5
APPENDIX ‘I’
Project: Policy for Unsupervised Children’s Playgrounds
(White Paper)
The Driver for Change: That children‟s playgrounds provided by the Council are up to date,
fit for purpose, safe and meet the needs of the community
Enablers of Horizon of Change
Change - Q1&2 Q3&4
Stakeholder 2009/10 2009/10 2010/11 onwards
Q1 2008/9 Q2 2008/9 Q3 2008/9 Q4 2008/9
group Q20068/0 222008/9
Managers 220/2007/ Managers Manager
have the 8 ensure s ensure
Managers resources to value for value for
develop money money
children‟s
play services
Members Members use performance reports to inform
own the decisions about priorities for service delivery
Members
Stakeholders
vision for the
service
provision
Access to safe and modern play Community
Partners/ opportunities need and
Stakeholders aspiration is
met
Staff Staff have the resources to Staff are
deliver service motivated due to
improvements service
improvements
being achieved
Service monitoring of
improvement programme
Programme &
Project
Management
Enablers
Annual risk based
Systems & inspection systems
Tools are embedded and
inform service
improvement
Customer Customer satisfaction is improved
Satisfaction
Outcomes
The Council has managed
Performance risk associated with
children‟s play whilst
providing improved play
facilities
1
Enablers of Horizon of
Change - Q1&2 Q 3& 4 Change -
Stakeholder 2009/10 2009/10 2010/11 onwards
Q1 2008/9 Q2 2008/9 Q3 2008/9 Q4 2008/9
Scheme design, Scheme design, Projects
Report to
tender and tender and delivered on
Managers Cabinet on
construction construction time on budget
resource
implications
Members
receive Members
Inclusion within receive
Members Approved Capital annual
Stakeholders
monitoring annual
Programme monitoring
report
report
Annual Annual Customer
customer customer views are
Partners/
satisfaction satisfaction known & are
Stakeholders survey survey involved in
service design
Staff
Undertake Undertake Customer
Annual Annual views are up
Customer Customer to date and
Satisfaction Satisfaction understood
Customer
exercise exercise
Satisfaction
Enablers
Annual risk Annual risk Independent
Systems & based based qualification
Tools inspection inspection and
completed completed assessment of
risk
Customer Improved Improved satisfaction
Satisfaction satisfaction
Outcomes
Improved Risks are managed
Performance
performance/satisfaction and claims are
defendable
2
Benefits Card – SB 0106
Links to Corporate Creating a Healthy & Active Community – access to facilities and
Priorities and/or activities that will improve Quality of Life
Improvement Themes
Directorates Affected Operational Services
Budget & Benefit Owner Executive Director – Operational Services
Benefit Type Improved Customer Satisfaction
Target Completion Date March 2010
Rationale for Change/Improvement Project & Lifetime Benefit Lifetime Benefit
Benefit Opportunity based on 5 year plan based on 5 year
(Non-Financial) plan(£)
Customer/residents surveys consistently identify Higher quality
Reduced costs of
children‟s play areas as one of their highest services. Customer
litigation.
priorities and one that should be improved. satisfaction. Risk
Reduced un-planned
Management.
Investment in play area improvements over the last and one-off repairs &
Corporate image.
3 years has raised the quality of provision so that a replacement costs.
Health improvement.
lower level of annual investment over the next 2
years is realistic.
Annual Ongoing Annual Ongoing
The project ensures services provided by the Benefit (Non- Benefit (£)
Council are maintained in a fit for purpose condition Financial)
and in accordance with the Council‟s adopted Progressive
European Safety Standards. As above
achievement of life
time benefits
The Council‟s exposure to risk in respect of identified above.
accidents is minimised, resulting in a more
defendable position should claims be made.
The project is the most likely option to improve
customer satisfaction, maintain opportunities for
residents to be able to access neighbourhood-
based play facilities and make further progress
towards the local standards contained in the Year 1 Benefit Year 1 Benefit (£)
adopted Policy for Unsupervised Playgrounds and
(Non-Financial)
emerging Greenspace Strategy.
Initial progress
As above
towards achievement
of life time benefits
above.
Benefit Calculation Assumptions
Potential Financial Benefits are not quantified due to the difficulty in identifying the reduction of „future‟
claims that will be either avoided totally, or dealt with without liability or with reduced liability.
Packaging improvements works in the way the project suggests will ensure, through economies of
scale and competitive procurement, that better value for money will be achieved in both tender pricing
and officer time when compared to ad-hoc replacement and repair.
3
What are the costs of achieving these changes/improvements? Lifetime costs
based on 5 year
plan (£)
Design, purchase and installation of repair/replacement, play equipment, safer £750,000*
surfacing, fencing, seating etc.
Annual Ongoing
*Total lifetime costs will only be incurred if similar levels of funding are approved Costs (£)
in the 3 years following the 2 year period proposed for this project.
£150,000
***
Year 1 Costs (£)
£150,000
What actions need to be undertaken to enable these benefits to be realised?
1. Timely consideration and approval of funding requirements.
2. Prioritisation of the project delivery through in-house Streetscene Division.
What do our partners or others need to do to realise these benefits?
1. Ongoing support from Police and local residents in tackling misuse of the improved facilities such
as vandalism/anti-social behaviour.
Timing Start Pre Implementation Test Go Live Target
Oct.2008 - Jan.2009
Organisational Dependencies to Realise Benefits
1. Legal support – completion of contracts.
2. Landscape Team resource/capacity.
Role Name Signature
Identified
Financial
Validation
Authorised
Sign Off
Benefit Net Year 1 Net Annual Ongoing Cost/Benefit Net Lifetime
Summary Benefit Cost/Benefit based
on 5 year plan
Net - £150,000 (cost) £300,000 for 2 yrs.
Financial
(£750,000 for 5 yrs.
Cost/Benefit
If continued)
Contribution
Non- Higher Quality Services Achievement of
Initial
Financial achievement of Improved Customer Satisfaction benefits identified
Benefits net annual as net annual over
benefits Risk Management lifetime of project
Corporate Image
Health Improvement
4
SERVICE DEPARTMENT RISK SCORING
POLICY FOR UNSUPERVISED CHILDRENS PLAY AREAS
Item Corporate Risk Risk Main Areas of Risk Risk Specify Existing Final Final Further Action Required Owner Target
No. Priority Category Risk Score Rating Control Measures Score Risk Date
I*L I*L Rating
Failure to establish No clear plans 3x4 = M Policy for 3x2 L Funding decisions
1 Planning and and communicate for 12 Unsupervised =6 continue to reflect aims Cabinet July 08
Performance clear plans and development Children‟s Play and priorities set out in the
objectives and of children‟s Areas in place and adopted Policy.
monitor play leading to adopted by Council
performance ad-hoc in 2005.
resulting in poor provision and
prioritisation of lack of focus
work, unclear on priority
direction, business areas
disruption, reduced
service levels and
non-achievement of
local and national
targets.
2 Service Failure to maintain Appropriate 3x4 M Programme of 3x2 L Consideration of Cabinet July 08
Delivery day to day service facilities =12 repair and =6 continued funding by
provision where become replacement Cabinet
service quality, unavailable in approved and
availability and terms of funded until
continuity of service location, 2007/08
is affected by partial quality and
or total loss of use. Public
resources such as dissatisfaction
staff, equipment,
systems,
information and
premises which
would result in
reduced levels of
service.
1
Item Corporate Risk Risk Main Areas of Risk Risk Specify Existing Final Final Further Action Required Owner Target
No. Priority Category Risk Score Rating Control Measures Score Risk Date
I*L I*L Rating
8 Corporate Failure to ensure the Costs increase 3x4=12 M Current programme 3x2= L Continuation of Cabinet July 08
Procurement procurement due to ad-hoc of repair and 6 programme for further 3
process provides reactive works replacement years.
best value resulting being approved and
in reduced levels of commissioned funded up to
service provision 2007/08
and increased costs.
10 Legal Failure to comply Ineffective 3x4 M Programme of 3x2 = L Continuation of Street Ongoing
with key legislation repair and =12 regular inspections. 6 inspection programme, scene
or legal replacement External annual risk risk audit and repair Manager
requirements programme audit. Prioritised programme.
resulting in external results in repair and
censure and accidents, replacement
financial loss and insurance programme.
damage to claims and
reputation. HSE censure.
11 Finance Failure to provide Funding is 3x4= M Funded programme 3x2 = L Consideration of Cabinet July 08
sufficient finance to insufficient to 12 of repairs and 6 continued funding by
enable the Council adequately replacement in Cabinet.
to meet its maintain place to 2007/08
objectives resulting playgrounds.
in loss of reputation Claims for
and external accidents
censure. increase
2
PLAY AREA REFURBISHMENT PROGRAMME 2008/09
List of Sites to Receive Replacement Equipment/Signs/Modifications to Ensure
Compliance with EN 1176 and PAS 35
Acacia Avenue, Knutton/Silverdale
Arnold Grove, Bradwell
Birchenwood and Birchenwood Skate Park, Kidsgrove
Bradwell Dingle Skate Park, Bradwell
Bradwell Lodge, Porthill
Chester Road, Talke
Chesterton Park, Chesterton
Crackley, Chesterton
Douglas Road, Cross Heath
Guernsey Drive, Seabridge
Ilkley Place, Silverdale/Parksite
Ironbridge Drive, Knutton/Silverdale
Meadow Lane, Cross Heath
Moran Road, Knutton/Silverdale
Mount Road, Kidsgrove
Orme Road Skate Park, Thistleberry
Salop Place, Kidsgrove
Silverdale Park, Silverdale/Parksite
Thompstone Avenue, Cross Heath
Townfields Close, Butt Lane
Underwood Road, Silverdale/Parksite
Waterhayes 2, Chesterton
Waterhayes 3, Chesterton
Wilson Street, Town
Woodhall Park, Newchapel
1
APPENDIX ‘J’
(Salmon Paper)
BOROUGH OF NEWCASTLE-UNDER-LYME – MAJOR RISKS – NEWCASTLE CEMETERY – REPLACEMENT OF PRINCIPAL BOROUGH CEMETERY
RISK SCORE RISK RATING
Potential Impact (R) Likelihood/Probability (L) Score
(worst outcome)
5 – Catastrophic 5 – Frequent 20 = HIGH Must be managed down as matter of urgency
4 – Critical 4 – Probable
3 – Serious 3 – Possible Seek to influence medium term/monitor
2 – Marginal 2 – Remote chance 10 – 19 MEDIUM
1 – Negligible 1 – Extremely unlikely Live with and monitor
0–9
(review) LOW
Item Corporate Risk Potential Risk Risk Specify Existing Final Final Further action Owner Target
No Priority Identified Consequence Score Rating Control Measures Score Risk required Date
RxL RXL Rating
1. - Failure to Loss of local choice 4x5= High Demand recognised by 4x5= High Secure funding ED OS July
meet available to bereaved 20 Cabinet and finance 20 for land 2008
community families, public made available for site acquisition and
demand and dissatisfaction, poor investigation construction of
expectation image of Council new Cemetery
4x3= Medium Respond to ED OS Dec
Negotiations with 12 representations/ 2008
2. - Suitable land Disruption/cessation of 4x4= Medium landowner concluded. objections.
not services. Public 16 CPO made and served Prepare case for
available/CPO inconvenience and inquiry if
not initiated financial loss required
Demographic trends
3. Failure to Services not tailored to 3x4= Medium associated with ageing 3x3= Low Design and ED OS Sept
identify and age profile of 12 population have been 9 provide new 2009
plan for community identified facility to take
demographic needs of
change community
groups into
account
- Options presented to
4. Failure to Intervention from 4x3= Medium Cabinet and approval to 4x3= Medium Approval of ED OS July
meet statutory regulatory bodies, poor 12 progress new burial land 12 project and 2009
responsibilities public image sought funding required
to progress
project
1
5. Risk of Intervention from 4x3= Medium Final approval obtained 4x2= Low Burial space to ED OS Sept
adverse regulatory body, 12 from Environment 8 be laid out to 2009
impact on financial loss, poor Agency avoid sensitive
ground public image area of site
- water/pollution
6. Replacement Disruption of services, 4x4= High Project plan and 4x4= High Approval of ED OS July
Cemetery not public dissatisfaction 16 timescale proposed. 16 project and 2009
available and poor public image. Approval and funding funding from
before existing Financial loss. sought from Cabinet Cabinet
space is
exhausted
7. Cost of project Budget pressure, poor 4x4= High Detailed design and cost 4x4= High Tender process ED OS Dec
increases public image, delay to 16 estimate prepared 16 and use of 2008
project following consultation framework
and planning process agreements/ter
m contracting
arrangements
2
Project: Replacement Principal Borough Cemetery
The Driver for Change: That residents of the Borough have access to an appropriate
choice of high quality Bereavement services.
Enablers of Horizon of Change
Change - Q2 09/10 Q3
Stakeholder 09/10 2010 onwards
Q2 2008/9 Q3 08/09 Q4 08/09 Q1 09/10
group Q20068/0 222008/9
have
Managers 220/2007/ Managers have Managers have
resources 8 to resources to resources to
Managers develop project implement project maintain and
manage facility
Members own
Members vision for project
Stakeholders
Partners are engaged in project development Community need is met and
Partners/ and implementation facility is accessible to wider
Stakeholders audience
Staff are
Staff Staff have resources to develop and deliver project
trained and
motivated
due to
success of
project
1
Project is successfully managed in accordance with agreed project
management methodology and within timescale and budget
Programme &
Project
Management
Enablers
Risk based
Systems & inspection
Tools regimes are
embedded and
used to
maintain quality
of facility
Customer Customer satisfaction is
Satisfaction improved
Outcomes
Performance Project is Project is Facility
developed in delivered in achieves
accordance with accordance quality
programme with standard
programme
Project: Replacement Principal Borough Cemetery – Establishing the Milestones
The Driver for Change: That residents of the Borough have access to an appropriate
choice of high quality bereavement services.
Enablers of Horizon of
Change - Q2 Q3 Change -
Stakeholder 2009/10 2009/10 2010 onwards
Q2 2008/9 Q3 2008/9 Q4 2008/9 Q1 09/10
Implement
Report to Implement project Management
Managers Cabinet on Plan for
resource facility
implications
Inclusion Members
of project Approval of receive
in capital tenders annual
Stakeholders
Members programme monitoring
report
Partners
Partners are briefed deliver
on progress with services in
Partners/
construction of facility
Stakeholders
facility
Staff Detailed design, Award contract Deliver range
preparation of and implement of new and
contract project improved
documents, services to
tendering process customers
and tender report
2
Prepare detailed Approve and Monitor delivery
Project Plan and monitor of activities and
set milestones contractors report
Programme &
programme
Project
Management
Enablers
Two Stage Utilisation of
Systems & tendering process appropriate Form
Tools of Contract
Consult Measure Measure
Customer satisfaction with satisfaction
Satisfaction customers and
measure implementation with outcome
Outcomes
satisfaction
with project
Performance
development Measure Measure Deliver
performance performance project within
against project against budget and
plan contractors timescale
programme
3
Benefits Card – SB 0106
Links to Corporate Creating a cleaner, greener, safer Borough
Priorities and/or Transforming our Council to achieve excellence
Improvement Themes
Directorates Affected All Directorates
Budget & Benefit Owner Executive Director – Operational Services
Benefit Type Improved quality of service
Improved access to service
Services aligned to community need
Greater range of services
Improved performance
Target Completion Date 2009
Rationale for Change/Improvement Project Lifetime Benefit Lifetime Benefit
& Benefit Opportunity based on 5 year based on 5 year
plan plan(£)
(Non-Financial)
The existing principal Borough cemetery is Risk management Better value for
nearing capacity and it is predicted that no new money
Higher quality, more
burial space will be available from September
accessible service Reduced unplanned
2009. The project aims:
and one-off repairs
Customer
and replacement
To acquire an appropriate site and construct satisfaction
costs
the necessary highway access, visitor facility,
Corporate image
infrastructure and burial grounds to offer Income through
choice and serve the bereavement needs of Progress provision of burial
the residents of the Borough for the next 100 implementation of service maintained
years. corporate policy
Service aligned to
To engage and involve the local community in
community need
the development of the facility to ensure it
meets identified need and offers the
appropriate choice. Annual Ongoing Annual Ongoing
Benefit (Non- Benefit (£)
To raise the quality and standard of service the Financial)
Council provides and make it more accessible
to a wider audience of users. Progressive Better value for
achievement of money
To improve customer satisfaction, drive up lifetime benefits
Reduced unplanned
performance and manage risk. identified above
and one-off repairs
and replacement
To make progress in delivering the Council‟s costs
Best Value Review and Improvement Plan for
Bereavement Services. Year 1 Benefit Year 1 Benefit (£)
(Non-Financial)
Initial progress Income through
towards provision of burial
achievement of service maintained
lifetime benefits
above.
Benefit Calculation Assumptions
Financial
Better value for money from existing budgets and enhanced quality and satisfaction from
additional investment
Income from provision of burial service maintained
Non-financial
Project implemented in line with identified community needs
Partners remain engaged and involved in project
1
What are the costs of achieving these changes/improvements? Lifetime costs
based on 5 year
plan (£)
Capital Investment = £2,665,000 £2,867,500
Revenue investment = £202,500 (over 5 years)
Annual Ongoing
Costs (£)
£40,500
Year 1 Costs (£)
£2,665,000
What actions need to be undertaken to enable these benefits to be realised?
3. Approval of detailed design
4. Approval of provision in capital programme
5. Completion of Section 278 Agreement and implementation of highway works
6. Progress Compulsory Purchase Order
7. Two Stage Tender process for main building and infrastructure contract
8. Award of contracts and construction phases co-ordinated
7. Continued engagement with partners
What do our partners or others need to do to realise these benefits?
2. Continued involvement in project and subsequent activities
3. CPO successfully concluded/compensation package agreed
4. Implement Framework Agreements/Term contract arrangements
Timing Start Pre Implementation Test Go Live Target
July 08 July 08 July 08
Organisational Dependencies to Realise Benefits
3. Progress CPO
4. Make provision in capital programme
5. Discharge planning conditions
6. Resource project development and implementation
7. Staff training and development
8. Progress Section 278 Agreement
Role Name Signature
Identified
Financial
Validation
Authorised
Sign Off
Benefit Net Year 1 Net Annual Ongoing Cost/Benefit Net Lifetime
Summary Benefit Cost/Benefit based
on 5 year plan
Net £2,665,000 £40,500 £2,867,500
Financial
Cost/Benefit
Contribution
2
Non- Progress toward Risk management Risk management
Financial achievement of
Benefits Higher quality, more accessible service Higher quality, more
non-financial accessible service
benefits Customer satisfaction
Customer satisfaction
Corporate image
Corporate image
Progress implementation of corporate
policy Progress
implementation of
Service aligned to community need
corporate policy
Service aligned to
community need
3
REPLACEMENT PRINCIPAL BOROUGH CEMETERY
UPDATED COST ESTIMATE – JUNE 2008
Scheme Element Notes 2004 2004 Budget Notes – 2008 2008 Updated
Pre-Scheme Design Cost Estimate Scheme Design Prepared Detailed
Planning Permission Secured Cost Estimate
1. Land Acquisition 45 acres (19ha) required to meet Purchase cost (based on independent £175,000
120 year design life. valuation). 35 acres agricultural land.
Purchase cost. £225,000 CPO (estimate).
No allowance made here for cost £25,000
of CPO if necessary.
2. Buildings and Structures Combined Chapel and office Combined Chapel and office
building. building/visitor convenience + £820,915
Visitor convenience and shelters. £480,000 maintenance/operational store (inclusive of
Architects/QS and Planning preliminaries).
costs. Architects/QS/Project Management.
Maintenance/operational store. (10.71% of build cost inc. C of W). £205,880
3. Site Services Provision of gas, water, Provision of water, electricity, telecoms.
electricity, telecoms. £150,000 Gas not required due to sustainable ground £271,200
Dependent greatly on site water heating system (inc.).
location and accessibility of
services.
4. Internal Roads and Main loop road. Main loop road.
Footpath Layout Pedestrian access paths. £500,000 Pedestrian access paths. £684,000
Maintenance access. Lighting and drainage.
Lighting and Drainage. Separate maintenance access not required.
1
Scheme Element Notes 2004 2004 Budget Notes – 2008 2008 Updated
Pre-Scheme Design Cost Estimate Scheme Design Prepared Detailed
Planning Permission Secured Cost Estimate
5. Highway Access Connection to highway. Connection to highway/visibility/turning
Visibility, turning facility. £245,000 facility/off-site highway improvements. £245,000
Consultant Engineers costs.
£36,100
6. Car Parking Say for 50 cars and disabled. Parking for cars, coach parking, staff Included in item 4
Lighting and drainage. £100,000 parking and accessible spaces.
Lighting and drainage.
7. Landscape Structural Screen Planting. Screen Planting/Tree Planting Included in item 4
Works Tree Planting. £150,000 Seeding/Turfing
Seeding/Turfing.
8. Land Drainage/Ground De-watering may be required. Sustainable Urban Drainage System Included in item 4
Preparation Land drainage system. £150,000 including pond.
Site grading/levelling.
9. Fees Project staff costs. £100,000 Project staff costs. £40,000
Specialist fees. Specialist fees. Part Inc. items 2 & 5
+ £21,905
Contingency. £140,000
Total Budget Cost 2004 Estimate £2,100,000 Total Budget Cost 2008 Estimate £2,665,000
2
APPENDIX ‘K’
(Cream Paper)
NEWCASTLE–UNDER–LYME BOROUGH COUNCIL
ENFORCEMENT STRATEGY
Version date: May 2008
1
DRAFT
THE BOROUGH COUNCIL OF
NEWCASTLE-UNDER-LYME
ENFORCEMENT STRATEGY 2008-11
1. Introduction
1.1 This Strategy sets out the approach that the Borough Council of
Newcastle-under-Lyme will take to the enforcement of its statutory
powers and duties, and should be read together with strategies such as
the Community Safety Strategy and other specific enforcement policies,
e.g. Town and Country Planning, Waste Management, Licensing and
Anti-social Behaviour and the Statutory Code of Practice for Regulators.
1.2 In this Strategy, „enforcement‟ is taken to mean any action taken by the
Borough Council either alone or in partnership with another agency to
achieve compliance, either by individuals or by companies with any legal
requirement which the Council has either a duty or a power to enforce.
The aims and objectives of such enforcement action will be to achieve
compliance with legal obligations and to deter future breaches either by
the same offenders or by others.
1.3 The Council recognises that it should take a holistic approach to
enforcement with emphasis being placed on education and early
interventions through advice and informal warnings. The Council will
therefore deploy a three strand approach of:
Education
Advice and information
Enforcement.
1.4 The Council has an ambition to improve the environment of the Borough
to make it a cleaner, greener, safer and more attractive place to live and
the Council recognises that the way in which it exercises its statutory
powers and duties and takes enforcement action is an important element
in delivering this ambition.
2
2. Public Satisfaction
Information drawn from a number of sources including customer
satisfaction surveys, complaints and inspection reports indicate that there
are a number of areas where the public wants to see improvement:
- The safety of our streets and open spaces especially at night
- The cleanliness of our streets and open spaces
- The tackling of litter and dog fouling
- Planning and Building control enforcement.
The purpose of this Strategy is to set out how the Council will use its
enforcement powers to address these and other concerns, details of which
are included in the Directorate‟s Service and Financial Plans. In drawing
up this Strategy, the Council has drawn on a range of examples of good
practice from Beacon Councils across the country.
3. Joined-up Activity
3.1 Evidence from a range of other authorities suggests that the greatest level
of success is achieved when there is co-ordinated activity both within the
Council across different services and with external partners, particularly
the Police and other enforcement agencies. The Council will therefore
seek to maximise opportunities for co-ordinated action between service
departments and with the Police, Trading Standards, Fire Service,
Environment Agency, Health and Safety Executive and other partners, in
particular in „hot spot areas‟.
3.2 Identifying Problems - in order to identify and address areas of concern,
the Council will use a variety of information sources including:
(a) Customer complaints (including neighbour complaints)
(b) Information from Council officers and Members
(c) Surveillance information, e.g. CCTV
(d) Surveillance by Enforcement Officers or private investigators
(e) Information from partner organisations.
3.2 To highlight „hotspots‟ – areas where there is a cluster of complaints the
Council will seek to use GIS mapping of complaints and analysis to
identify multiple problems such as complaints of anti-social behaviour,
litter and graffiti, fly tipping and dog fouling.
4. Co-ordinated Activity
In hotspot areas, the Council will co-ordinate its approach, working
across Council departments and with partner organisations through the
Community Safety Partnership to provide a joined up solution to
3
multiple problems rather than a single service/organisational approach.
5. Enforcement Officers
5.1 The Council employs officers to enforce a wide variety of legislation
dealing with a range of diverse issues including:
Town and country planning Vehicle parking
Building Control Debt recovery
Licensing Housing Benefit
Regulation of markets Council Tax
Environmental pollution Business Rates
Anti-social behaviour Electoral enforcement
Food safety Taxis
Noise Regulated entertainment
Dog fouling Supply of alcohol
Littering etc. Housing standards
Bye-laws Abandoned vehicles
Waste management.
5.2 To investigate complaints about some of these issues, officers are required
to have detailed professional and technical knowledge. In relation to
other complaints, more general investigation of the facts is required. In
other circumstances it is more important to provide a physical presence to
ensure safety and security. The Council therefore employs a variety of
officers, all of whom are engaged in some form of enforcement activity.
These include professional officers with a narrow specialism,
investigating officers trained to investigate the facts of a complaint and
street wardens and park rangers who provide security and public
reassurance. Where necessary, the Council will also buy in specialist
investigation and enforcement services from private agencies or work in
partnership with the Police, Aspire Housing and Staffordshire County
Council. To ensure that enforcement action is both effective and an
efficient use of resources, the Council will deploy officers with the most
appropriate level of expertise for each complaint, ensuring that the
resources of its specialist officers are reserved for the cases where they are
most needed. To facilitate a „joined-up‟ approach to enforcement activity,
the Council has created a Corporate Enforcement Team who will
investigate and take action.
6. Training
6.1 Evidence from Beacon Councils demonstrates that well motivated,
empowered and highly trained officers are essential to successful
enforcement.
6.2 To ensure that enforcement officers are able to operate at the highest
4
level, they will be provided with appropriate training to cover:
a) Interviewing procedures, including PACE
b) RIPA and the Human Rights Act
c) Investigating and reporting incidents
d) Technical and procedural matters associated with enforcement
actions
e) Preparing and presenting evidence.
6.3 Officers will be duly authorised to take action on behalf of the Council in
accordance with the Council‟s Scheme of Delegation. Their training needs
will be regularly reviewed through development interviews and fed into
the Council‟s Workforce Development Plan.
7. Co-ordination and Prioritisation
7.1 Where there are competing pressures for enforcement action to be taken,
the following criteria should be taken into account when assessing the
priority with which individual enforcement actions should be taken:
(a) risk to personal health and safety
(b) disturbance of enjoyment to property, (e.g. noise nuisance, anti-
social behaviour and harassment)
(c) risk of damage to the environment
(d) significant public concern
(e) risk of damage to the local economy
(f) financial wellbeing.
7.2 The relative priority to be given to competing actions by both the
investigating officers and the legal team will be determined by corporate
priorities.
7.3 Before proceeding with any action, officers will consider if there is a
shared or complementary enforcement role with other Council
Directorates, or other agencies e.g. Police, Environment Agency, County
Council, Trading Standards, Health and Safety Executive, Fire Service and
liaise with that agency. Where partner agencies are also involved, a
multi-agency case conference will normally be called to determine what
action should be taken.
5
8. Education
The Council recognises that prevention is preferable to enforcement and
will therefore work with partner agencies, schools and community
organisations to educate the public in relation to environmental issues to
promote responsible citizenship and so reduce the occurrence of the
problem.
9. Advice and Information
The Council will use its website and the Reporter newspaper and other
publication material to publish widely information about its statutory
powers and duties and its enforcement role so that members of the public
understand what their responsibilities are, and the possible implications
of their behaviour.
10. Communication
10.1 Effective communication is essential to good enforcement. To ensure a
„joined up‟ approach to enforcement activity, a cross departmental
enforcement tasking group will be established which will meet regularly
to determine priorities for enforcement activity. Information will be
routinely shared and where possible a common database will be
established. Regular liaison with other enforcement agencies will be
established and information shared under the Information Sharing
Protocol.
10.2 Where enforcement action is undertaken, information about the steps
being taken and the likely timescale of such action will be given to
complainants, local ward members and other local residents where
appropriate.
10.3 Publicity will be given to enforcement action where it is considered that
this will either allay local concerns or act as a deterrent against similar
offences. Where appropriate, a “name and shame” policy will be
adopted. In considering the extent to which enforcement action should be
publicised, the human rights of the individual offender will be balanced
against the public interest in disclosure and a proportionate approach will
be adopted.
10.4 Information about the legislation which the Council‟s enforces and how it
carries out its enforcement role will be made widely available through the
Reporter newspaper, leaflets and posters in Council customer service sites
and on the Council‟s website.
6
11. Enforcement
11.1 The Council is a public authority for the purposes of the Human Rights
Act 1998. Enforcement staff apply the principles of the European
Convention of Human Rights in accordance with the Act. The Council is
committed to the principle of good enforcement and to ensuring that
enforcement decisions are always consistent, balanced, fair, transparent
and proportional whilst ensuring that the public is adequately protected.
11.2 Where applicable, the requirements of the Regulation of Investigatory
Powers Act 2000 shall be taken into account during investigations. The
Act works in conjunction with existing legislation, e.g. Human Rights
Act 1998.
11.3 Each case is unique and must be considered on its own merits. There are
however general principles that apply to the way each situation must be
approached. This policy sets out the factors to be taken into account
when considering the type of enforcement action to be taken.
11.4 The possible outcomes of an inspection or investigation carried out to
fulfil statutory undertakings are:
a) issue a statutory notice
b) issue a fixed penalty notice
c) prosecute
d) use a caution
e) carry out work in default
f) review/revocation of licence
g) seek injunction
h) take informal action
i) take no action
j) take formal proceedings e.g. debt recovery
k) seek an Anti-social Behaviour Order.
It may be that one or more of these outcomes are appropriate in any given
case.
12. The Code for Crown Prosecutors
12.1 The Code for Crown Prosecutors (Prosecutors employed by the Crown
Prosecution Service) is referred to by Local Authority solicitors in
ensuring that fair and consistent decisions about prosecutions are made.
Officers will refer to this Code when considering the merits of pursuing a
prosecution.
12.2 The principles laid down by the Crown Prosecution Service Code of
Practice require two tests to govern the decision making process:
7
a) The Evidential Test
The Prosecutor shall be satisfied that there is enough
evidence to provide a realistic prospect of conviction against
each defendant on each charge. The defence case must be
considered and how this is likely to affect the prosecution
case.
The Prosecutor must consider whether the evidence can be
used and is reliable.
b) The Public Interest Test
Essentially, once the evidential test has been passed the
prosecution will usually proceed unless there are public
interest factors against prosecution that clearly outweigh
those in favour. Public interest factors that can affect the
decision to prosecute usually depend on the seriousness of
the offence or the circumstances of the offender. Some
factors may increase the need to prosecute but others may
suggest that another course of action would be more
appropriate.
Considering the public interest in prosecution is not simply
a matter of adding up the number of factors in each side.
The officer must decide how important each factor is in the
circumstances of each case and proceed to make an overall
assessment.
13. Nature of Enforcement Action
13.1 Statutory Notices, etc.
Where appropriate, notices may be served to require offenders to cease
contravening activities, or give offenders reasonable time to rectify a
contravention. Notices may require contravening activities to cease
immediately where circumstances relating to health, safety or
environmental damage demand. In other circumstances, the time
allowed will be reasonable, but will also take into account the health,
safety or environmental damage implications of the contravention.
13.2 Fixed Penalty Notice
Fixed Penalty Notices may be issued under specified legislation where
appropriate. If a fixed penalty is not paid within the prescribed period
8
legal proceedings will be considered together with using other methods
to recover the civil debt.
13.3 Prosecution
The decision to recommend the institution of proceedings will in general
be in respect of those persons or organisations that:
Put the public at risk
Cause distress or annoyance to others
Put animals at risk
Damage the environment
Blatantly disregard the law
Refuse to achieve even the basic legal standards (often following
previous contact with the Services).
An Enforcement Review will be used when deciding on the
appropriateness for legal proceedings. The review will also take the
following criteria into account:
Community Benefit
Legal action shall be taken on the first occasion that certain events are
witnessed because of the extreme improbability that the person once seen
committing an offence would be seen on a subsequent occasion.
Community benefit of a prosecution would also be indicated by the
importance of the case, for example, whether it might establish a legal
precedent.
Flagrant Breach of Law
For example, where there is an apparent blatant breach of law such that
public health, safety or wellbeing, animal health or welfare or the local
environment is or has been put at risk, it would be appropriate to take
legal action.
Failure to Comply with a Statutory Notice
Prosecution or works in default shall be taken in cases of failure to
comply with statutory notices or other notices requiring or prohibiting
action.
Failure to Comply with Lawful Requirements
If a person or business fails to comply with lawful requirements, having
been advised on previous occasion(s), proceedings shall be taken.
9
History of Non-Compliance
If there is a history of non-compliance with law by a person or business
then legal action shall be taken, even if the matters identified are not
flagrant breaches of law.
Obstruction
Legal proceedings shall be taken in cases of deliberate obstruction of an
officer.
13.4 Cautions
13.4.1 Where there is a criminal offence, but the public interest does not
require a prosecution, a Caution may be an appropriate course of
action. Home Office Circular 30(2005) states that the purpose of a
Caution is:
to deal quickly and simply with less serious offences
to divert them from unnecessary appearances in the criminal
courts; and
to reduce the chances of them re-offending.
13.4.2 The use of Cautions will be in accordance with the Home Office
Circular and official guidance. The following conditions must be
fulfilled before a caution is administered:
there must be evidence of the suspected offender‟s guilt,
sufficient to give a realistic prospect of conviction;
the suspected offender must admit the offence; and
the suspected offender must understand the significance of a
Caution and give an informed consent to being cautioned.
13.5 Carry out Work in Default
Work required in the interests of public health, safety or the environment
may be undertaken by the Authority in default, and the costs recovered in
accordance with specific legislation. This may be appropriate when:
it is necessary to carry out the work in the public interest and/or
the costs are not prohibitive
there is a failure to carry out work covered by a statutory notice
immediate action is required
it is unlikely that the work will be carried out unless done in
default.
10
13.6 Revocation of Licence
Licences, Approvals and Authorisations are issued under specific
legislation and will only be refused or revoked following appropriate
procedures and consideration of all relevant evidence.
In particular, in order to warrant refusal/revocation of a Licence,
Approval or Authorisation the individual or organisation must meet one
or more of the following criteria:
a) engage in fraudulent activity
b) deliberately or persistently breach obligations
c) deliberately or persistently ignore written warnings or formal
notices
d) endanger to a serious degree the health, safety or well being of
people, animals or the environment.
13.7 Injunctions
In cases where other forms of action are deemed likely to be ineffective, or
where there is serious imminent risk to public health or the environment,
and immediate action is considered necessary, injunction proceedings
may be instituted.
13.8 Anti-Social Behaviour
If cases where there have been complaints of anti-social behaviour the use
of Acceptable Behaviour Contracts and Anti-Social Behaviour Orders will
be considered and where appropriate pursued.
13.9 Informal Action
Informal action to secure compliance with the legislation includes offering
advice, issuing warnings and requests for action.
In the following circumstances it may be appropriate to use informal
action. This is not an exhaustive list and each case must be looked at on
its merits.
a) the act or omission is not serious enough to warrant formal action
b) from the individual/organisation‟s past history it can be
reasonably expected that informal action will achieve compliance
c) where the original approach is from person(s) seeking advice or
assistance (however, if serious breaches are found then formal
action will be necessary)
11
When an informal approach is used to secure compliance, this should be
recorded in writing and should:
a) contain all the information necessary to understand what work is
required and why it is necessary
b) indicate the statute or regulations contravened and measures
which will enable compliance to be achieved
c) clearly differentiate between legal requirements and
recommendations of good practice.
13.10 Take No Action
The only circumstances where no action can be taken is when compliance
with legislation has been achieved, or when it is considered not expedient
to take enforcement action.
13.11 Authorisation
Individual officers authorised to act on behalf of the Local Authority shall
have the level of competence and ability as required by the authority.
Individual authorised officers will carry identification and will have
evidence of their authorisation. When carrying out enforcement duties,
officers will, where appropriate, comply with the Cold Calling Protocol.
14. Legal Advice
The final element of effective enforcement is the provision of timely legal advice
and the taking of swift legal action, particularly if prosecution or other court
action is to be taken. The Council currently employs a small in-house legal team
and steps will be taken to enhance this in-house capability with additional
in-house resources and also the establishment of arrangements to buy-in
external legal advice as required.
15. Equalities
The Council will monitor enforcement to ensure that there is no bias
towards or against any one group of people in the way in which it takes
enforcement action by conducting Equality Impact Assessments in
accordance with the Council‟s Equalities Policy.
16. Review
The Council are committed to continuously improving the services it provides.
This strategy will be reviewed on an annual basis. If you have any comments on
12
the strategy or enforcement matters please contact the Council‟s Customer
Relations Officer at:
Newcastle-under-Lyme Borough Council,
Civic Offices,
Merrial Street,
Newcastle-under-Lyme,
Staffordshire,
ST5 2AG.
Telephone: 01782 742500
Email:
Website: www.newcastle-staffs.gov.uk
DATED:
Reviewed:
Next review: March 2009
13
APPENDIX ‘L’
(Grey Paper)
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
APPENDIX ‘M’
BOROUGH OF NEWCASTLE-UNDER-LYME (White Paper)
RISK SCORE RISK RATING
Potential Impact (R) Likelihood/Probability (L) Score
(worst outcome)
5 – Catastrophic 5 – Frequent 16+ EXTREME Must be managed down as matter of urgency
4 – Critical 4 – Probable
9 - 15 HIGH Must be closely monitored & managed down as quickly as
3 – Serious 3 – Possible
possible
2 – Marginal 2 – Remote chance
1 – Negligible 1 – Extremely unlikely 3-8 MEDIUM Seek to influence medium term/monitor
1-2 LOW Live with and monitor
(review)
Item Corporate Risk identified Potential consequence Risk Risk Special Existing Control Final Final Further action required Owner Target
No Priority Score Rating Measures Score Risk Date
RxL RxL Rating
1 Creating a Failure to Failure to deliver 4x4 16 Corporate Enforcement 3x3 9 Enforcement Actions EAWG Dec
Cleaner, implement a enforcement actions in Working Group to taken by Directorates to 2008
Greener and joined up accordance with monitor be monitored by
Safer Enforcement strategy. actions/compliance. Enforcement Action
Borough Strategy across Internal Audit has carried Working Group.
departments out an audit of
Enforcement.
2 Creating a Failure to fully Failure to carry out 3x4 12 Corporate Enforcement 2x3 6 Programme of meetings EAWG Dec
Cleaner, utilise existing enforcement actions Working Group to for Enforcement Action 2008
Greener and resources for efficiently/effectively identify resources and Working Group.
Safer enforcement and in a timely manner. provide assistance
Borough actions through the Licencing
Enforcement Team.
3 Creating a Failure to use all Failure to discharge all 5x4 20 Enforcement Strategy 3x3 9 All strategies to be Legal Dec
Cleaner, available duties as a local and detailed policies for reviewed by Legal Services 2008
Greener and statutory authority. all enforcement actions. Services on an annual Manager
Safer powers. basis.
Borough
4 Creating a Failure to Inefficient and 3x3 9 Programmed joint 2x2 4 Ensure that regular joint EAWG Ongoing
Cleaner, exploit ineffective enforcement meetings with Police, meetings continue.
Greener and opportunities for actions undertaken Social Services, Trading
Safer joint working Standards and local Joint
Borough Operations Group
meetings.
1
5 Creating a Failure to Inefficient and 3x4 12 ICT Working Group to 2x3 6 ICT Ongoing
Cleaner, exploit new ineffective enforcement develop new Working
Greener and technologies performance. technologies. Group
Safer
Borough
2
APPENDIX ‘N’
(Lavender Paper)
The various stages of the consultation procedure are set out in the diagram below -
Communication Act 2003 Requirements
The six Community requirements set out in section 4 of the Communications Act
2003 are set out below -
To promote competition in the provision of electronic communications
networks and services, associated services and facilities and the supply of
directories.
To contribute to the development of the European internal market.
1
To promote the interests of all persons who are citizens of the European
Union.
Not to favour one form of, or means of, providing electronic communication
networks or services i.e. to be technology neutral.
To encourage network access and service interoperability for the purpose of
securing competition in the electronic communication networks and services
markets and the maximum benefit for customers of communications
providers.
To encourage compliance with standards necessary for facilitating service
interoperability and securing freedom of choice for the customers of
communications providers.
2
APPENDIX ‘O’
(Orange Paper)
NEWCASTLE–UNDER–LYME BOROUGH COUNCIL
RECORDS MANAGEMENT POLICY
Version date: May 2008
1
DRAFT
THE BOROUGH COUNCIL OF
NEWCASTLE-UNDER-LYME
RECORDS MANAGEMENT POLICY
1. Introduction
1.1 This document sets out a corporate policy for the management of records
within the Newcastle-under-Lyme Borough Council to ensure compliance
with the Local Government Act 1972, the Data Protection Act 1998 and the
Freedom of Information Act 2000.
1.2 It is intended that this policy will provide a basic framework sufficient for the
Council to be able to meet its legal and regulatory obligations as well as
professional standards relevant to records management.
1.3 The Council recognises that records are corporate assets, since they reflect the
business requirements of the organisation. Such records require proper
management throughout their life; from creation to disposal. Compliance
with this policy will ensure that the Council can demonstrate evidence and
accountability in addition to providing information about decisions and
activities for as long as is required. The role of records management is to
ensure that the Council is supported in its aim to be a well-managed
organisation.
1.4 “Records management is the field of management responsible for the efficient
and systematic control of the creation, receipt, maintenance, use and
disposition of records, including processes for capturing and maintaining
evidence and information of business activities and transactions in the form of
records.” (ISO 15489)
1.5 Not all information created by the business activities of the Council is
necessarily a record. Items which are not records include:
Stocks of printed or reproduced documents that are kept for supply
purposes where a master copy has been retained for record purposes
Books, periodicals, newspapers or other materials kept for reference
purposes
Duplicate copies of documents preserved only for convenience
2
Materials not filed as evidence of service operations or for their
informative value.
2. Statement of Policy
2.1 It is the policy of the Council that authentic, reliable and useable records are
created, which are capable of supporting business functions and activities for
as long as they are required.
2.2 This will be achieved by creating a policy and procedural framework which
ensure that records are:
made accessible to enable well-informed and proper judgements to be
made
kept securely and protected from accidental loss and destruction
kept for no longer than is necessary, in accordance with legal and
professional obligations and the Council‟s Policy for the Retention of
Records
disposed of appropriately, in accordance with legal and regulatory
obligations
2.3 Staff should be made aware of, and trained in, the management of records
within their service area.
2.4 The Council will endeavour to ensure that the appropriate technical,
organisational and human resource elements exist to make this possible.
3. Legislative Background
3.1 The Freedom of Information Act 2000 and the Data Protection Act 1988 have a
significant effect on the record keeping arrangements of public authorities.
3.2 Under Section 46 of the Freedom of Information Act 2000, the Lord
Chancellor has a duty to issue a code of practice on records management.
Compliance with this code will ensure that public authorities are able to meet
their legislative obligations under the Freedom of Information Act. Of
particular importance is that the Council is able to respond to requests for
access to information within 20 working days.
4. Scope
4.1 For the purposes of this policy, records are to be defined as:
3
“recorded information, in any form, created or received and maintained by the
Council or any employee thereof in the transaction of business or conduct of
affairs and retained as evidence”.
This policy encompasses all records created by the Council regardless of media type
(including paper, electronic, e-mail, audio-visual etc).
4.2 Records Management is a corporate issue. This policy therefore applies to all
Directorates, Services, Teams, Sections and employees of the Council.
5. Aims
5.1 The policy aims to define a framework for managing the Council‟s records in
order to ensure that records:
are present for as long as they are required, in order that an audit trail
is available of the decisions and transactions of the Council
can be easily accessed by those of appropriate authority
can be interrogated with ease to establish the context of the record,
who created the document, during which business process and how
the record is related to other records
can be trusted to reliably represent the information that was actually
used in, or created by, the business process and its integrity and
authenticity can be demonstrated.
5.2 The quality of the record can be maintained through time so that accessibility,
interpretation and trustworthiness can be maintained for as long as the record
is needed. This is particularly important for electronic records.
6. Emails as records
6.1 Email is increasingly commonly used as a major means of communication
with external organisations as well as internally within the Council. The
creation and sending of an email is the equivalent of creating a record
attributable to the Borough Council
6.2 Emails fall within the scope of the Data Protection Act 1998. If emails contain
references to any individual, officers should try to maintain adherence to Data
Protection Principles
6.3 Data subjects have rights which enable them to obtain copies of emails which
may concern them. This should be borne in mind when composing emails
concerning named individuals
4
6.4 Emails which provide evidence of Borough Council activity such as a message
which initiated or completed a business transaction, agendas or minutes of
meetings, a message which details the official position of business of the
Borough Council, reports, notes, memoranda or recommendations are
considered to be records.
7. Roles and Responsibilities
7.1 All staff who create, receive and use records will have records management
responsibilities at some level depending on the nature of the role they fulfil.
7.2 Chief Executive‟s Department
The Legal Services Manager will hold functional responsibility for corporate
records management initiatives in compliance with Part 1, Section 5 of the
Lord Chancellor‟s Code of Practice on the Management of records and is
responsible for:
creating a corporate framework for the management of records within
the Council as set out in this policy
ensuring that the records of the Council comply with legal and
professional obligations
issuing advice and guidance to members of all staff
complying with requests for information in satisfaction of statutory
rights.
7.3 Service and Team Management
Each Directorate is responsible for the management of its own records and is
responsible for ensuring that:
policies agreed by the Council are implemented within the
Directorate/Section/Team
appropriate staff are designated to assist with the implementation of
records management procedures within the Directorate/Section/Team
staff are supported in terms of training and development in adhering
to the records management policy and associated procedures
concerns are brought to the attention of the relevant Executive Director
and Legal Services Manager at the earliest opportunity.
5
6.4 Individual Employees
Any and all records created by employees of the Council are corporate
records and as such are the property of the Council. Individual employees
are therefore responsible for ensuring that:
the policy is adhered to
actions and decisions taken in the course of the Council‟s business are
properly recorded in a legible manner, using professional language
version control is used to ensure that latest revisions of documents are
clearly evident, including the month and year as well as version
number
records are kept and stored in a manner accessible by all employees
with appropriate authority
records are kept in a secure manner appropriate to the sensitivity of
their content
where records are essential to the day-to-day business of the Council,
contingency plans are in place to ensure that functions of the Council
can continue in the event of a disaster type incident
where records need to be locally archived, that a log is kept of the
content of each storage box including a schedule of when records can
be disposed of. Also that records are stored in a manner compliant
with health and safety legislation and considerate of other users or
archive storage facilities
Records are disposed of in accordance with the corporate record
retention policy ensuring that this is done to confidential standards
where appropriate
Records of historical interest are transferred to the Staffordshire
County Council Archive Service (as set out in the record retention
policy) at the end of their useful life.
7. Document and Records Management Programme
7.1 Since all employees have responsibility for records management at some
level, it is essential that everyone understands their record management
responsibilities as set out in this policy and associated guidance.
6
7.2 Senior managers will ensure that staff responsible for managing records are
appropriately trained and that all staff understand the need for effective
records management.
7.3 A training programme will be established to ensure that all staff are aware of
their obligations in relation to Data Protection, Freedom of Information and
Records Management.
8. Policy Monitoring and Review
8.1 Compliance with the policy and related standards and guidance will be
monitored by the Legal Services Manager in collaboration with a nominated
individual from each Department.
8.2 This policy will be reviewed on a three yearly basis by the Legal Services
Manager.
7
1
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