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##
# Breaches Of The Contract Procedure Rules 2017/18 City Of York Council Internal Audit Report
## Summary And Overall Conclusions Introduction
The Contract Procedure Rules (CPRs) outline the responsibilities and actions that Officers and Directors must follow whilst undertaking procurement and contract arrangements. They aim to ensure value for money whilst promoting integrity, transparency, and fairness. They also aim to ensure compliance with legal requirements, as well as the Council's constitution and strategic objectives. Therefore, a breach of the CPRs indicates that there has been expenditure that does not comply with the agreed standards of the council, the nature of which can be varied. For 2016/17, there were a 19 individual breaches identified, with a total value of approximately £10.8m. This represents a significant rise from 2015/16, where there were 13 breaches with a value of £749k. Between April and September 2017, there have been 8 individual breaches identified, with a total value of £140k.
## Objectives And Scope Of The Audit
The purpose of this audit was to provide assurance to management that procedures and controls within the system will ensure that breaches of
the Contract Procedure Rules are: - adequately directed by formal policy; - monitored and reported in a constructive and substantive way; - identified effectively. This audit did not focus on the specific instances of individual breaches, and looked primarily at the corporate arrangements relating to breaches of the CPRs.
## Key Findings
The procedures for identifying, monitoring and reporting breaches were found to be working well. The policy guidance within the Council's Contract Procedure Rules covering breaches was brief but it did cover the necessary procedures that should be followed if breaches to the Contract Procedure Rules had occurred. The process for reporting breaches was found to be working well in that breaches were recorded in a consistent manner on the breaches register and reported to the Governance, Risk & Assurance Group on a regular basis. The only issue noted was that it would be useful to record the financial regulation that has been broken in the breaches register because this would make it easy to identify trends in breaches across the council. Although it is difficult to identify breaches that have not been reported, the Commercial Procurement Team produced purchase order reports on a monthly basis to identify purchases where there might have been a breaches of the Contract Procedure Rules. These reports contain details of outstanding queries that need to be resolved so that breaches can be reported to the Governance, Risk & Assurance Group. New suppliers can only be set up by staff in the Commercial Procurement to monitor the use of new suppliers. Best practice was also sought from other Local Authorities as to how breaches to financial regulations are identified. The responses varied in terms of the methods that other councils used to identify breaches. The comments will be passed on to the Commercial Procurement Team so that they can compare their working practices with other authorities.
## Overall Conclusions
It was found that the arrangements for managing risk were very good. An effective control environment appears to be in operation. Our overall opinion of the controls within the system at the time of the audit was that they provided High Assurance.
## 1. Recording The Breach Type In The Breaches Register Issue/Control Weakness Risk
The financial regulation that has been breached is not recorded in the breaches register.
## Findings
There is sufficient detail recorded of the breach type to allow adequate understanding of individual breaches. However, there is no column on the breaches register to record which financial regulation had been broken. Listing which financial regulation had been broken could enable more effective and efficient analysis of breaches as a whole, as it would be an extra insight into analysing the data. This could allow trends to be more easily identified.
## Agreed Action 1.1
A column will be added to the breaches register as suggested
Priority
3
Inadequate information being recorded could prevent effective analysis and understanding of the breaches that are occurring.
Responsible Officer
Corporate Finance & Commercial Procurement Manager Completed
## Audit Opinions And Priorities For Actions
Audit Opinions Audit work is based on sampling transactions to test the operation of systems. It cannot guarantee the elimination of fraud or error. Our opinion is based on the risks we identify at the time of the audit. Our overall audit opinion is based on 5 grades of opinion, as set out below.
Opinion Assessment of internal control
| High Assurance |
|--------------------------------------------------------------------------------------------------------------|
| |
| Substantial |
| Assurance |
| Overall, good management of risk with few weaknesses identified. An effective control environment is in |
| operation but there is scope for further improvement in the areas identified. |
| |
| Reasonable |
| Assurance |
| Overall, satisfactory management of risk with a number of weaknesses identified. An acceptable control |
| environment is in operation but there are a number of improvements that could be made. |
| Limited Assurance |
| Overall, poor management of risk with significant control weaknesses in key areas and major |
| improvements required before an effective control environment will be in operation. |
| No Assurance |
| Overall, there is a fundamental failure in control and risks are not being effectively managed. A number of |
| key areas require substantial improvement to protect the system from error and abuse. |
| |
## Priorities For Actions
Priority 1
A fundamental system weakness, which presents unacceptable risk to the system objectives and requires urgent attention by management.
Priority 2
A significant system weakness, whose impact or frequency presents risks to the system objectives, which needs to be addressed by management.
Priority 3
The system objectives are not exposed to significant risk, but the issue merits attention by management.
Where information resulting from audit work is made public or is provided to a third party by the client or by Veritau then this must be done on the understanding that any third party will rely on the information at its own risk. Veritau will not owe a duty of care or assume any responsibility towards anyone other than the client in relation to the information supplied. Equally, no third party may assert any rights or bring any claims against Veritau in connection with the information. Where information is provided to a named third party, the third party will keep the information confidential. | en |
3721-pdf |
## London Business Survey 2014: Main Fi Ndings Copyright Greater London Authority November 2014
Published by Greater London Authority City Hall The Queen's Walk London SE1 2AA www.london.gov.uk enquiries 020 7983 4100 minicom 020 7983 4458 ISBN 978-1-84781-585-9 Front cover © Shutterstock For more information about this publication, please contact: GLA Economics telephone 020 7983 4922 email [email protected] GLA Economics provides expert advice and analysis on London's economy and the economic issues facing the capital. Data and analysis from GLA Economics form a basis for the policy and investment decisions facing the Mayor of London and the GLA group. GLA Economics uses a wide range of information and data sourced from third party suppliers within its analysis and reports. GLA Economics cannot be held responsible for the accuracy or timeliness of this information and data. The GLA will not be liable for any losses suffered or liabilities incurred by a party as a result of that party relying in any way on the information contained in this report.
## Contents
| Summary of main fi | ndings | 4 |
|------------------------------------------------------|-----------|-----|
| Introduction | 7 | |
| About the survey | 7 | |
| Main fi | ndings | 11 |
| Business profi | le | 11 |
| London as a place to do business | 12 | |
| London as a business location | 12 | |
| Local facilities | 13 | |
| Factors affecting businesses | 14 | |
| The workforce | 14 | |
| Employment patterns | 14 | |
| Changes in employee numbers and recruitment | 16 | |
| Business performance and outlook | 17 | |
| International trade | 19 | |
| Support for SMEs | 22 | |
| Business support | 22 | |
| Access to fi | nance | 23 |
| Investing in the future and developing the workforce | 24 | |
| Innovation | 24 | |
| Training and developing the workforce | 26 | |
| Apprentices and STEM staff | 27 | |
| Appendix 1 (list of tables) | 28 | |
| Business profi | le | 28 |
| London as a place to do business | 28 | |
| The workforce | 28 | |
| Business performance and outlook | 28 | |
| International trade | 29 | |
| Support for SMEs | 29 | |
| Investing in the future and developing the workforce | 29 | |
| Appendix 2 (useful contacts) | 30 | |
| Appendix 3 (glossary of terms) | 31 | |
| Endnotes | 33 | |
## Summary Of Main Fi Ndings
This report presents the fi
ndings of the London Business Survey (LBS)
2014. The survey covers private sector businesses (including not-for-
profi
t organisations) only and results are presented in terms of numbers
(or proportions) of business units, where a business unit is a site/
workplace, which can also be a head offi
ce if the head offi
ce is located
in London.
## Introduction And Business Profi Le
Although over 80% of business units in the LBS 2014 are microenterprises (0-9 employees), they
account for only 20% of London's private sector employees; other SMEs (10-249 employees) employ one-third of London's private sector employees and large fi
rms (250+ employees) employ nearly half.
Most business units in London (92%) belong to UK fi
rms, but 8% are in foreign or joint (UK and
foreign) ownership.
63% of business units belong to fi
rms established before 2009, while 17% belong to 'start-ups'
(established between 2012 and mid-2014).
## London As A Place To Do Business
Businesses rate London positively in terms of the availability of skilled staff, the international/
diverse environment, proximity to businesses and customers, transport infrastructure and digital and communications infrastructure.
Satisfaction is lower around the availability of suitable and affordable workspace, the availability/cost
of housing and other living costs.
When asked about the impact on their business of leaving the EU (but remaining part of the single
market), 64% of respondents said 'neither positive nor negative'; of those who did expect an impact, around three-quarters thought it would be negative.
Over 85% of business units are satisfi
ed with their local facilities with the exception of safety and
cleanliness of the local environment, where satisfaction is lower at 74%.
## The Workforce
In line with offi
cial statistics, the LBS found that the total number of employees in London's private
sector business economy was 3.6 million.
While the majority of employees in London's private sector workplaces are men, women are dominant
in the health, social work, scientifi
c R&D and veterinary services sector and in the retail sector. These
sectors also have the highest proportion of part-time workers.
In the 12 months to mid-2014, three-quarters of business units in London experienced no change in
employee numbers; 12% reported a decrease and 13% saw an increase.
Some 29% of London business units recruited employees in the 12 months to mid-2014, but while
78% of those in large fi
rms recruited staff, only 25% in SMEs did so.
The survey also found that 9% of business units in London used Jobcentre Plus for recruitment,
ranging from 6% of units in SMEs to 18% in large fi
rms.
## Business Performance And Outlook
Total turnover in London's private sector business economy was estimated at some £1.1 trillion (million
million), of which nearly two-thirds was associated with large fi
rms; microenterprises accounted for
only 12% of turnover.
In the 12 months to mid-2014, 35% of business units reported an increase in turnover, 37% reported
that turnover had remained the same and 29% reported a decrease.
When asked "Over the next 12 months, is this business planning to grow?", 63% of respondents said
the business was planning to grow; however, less than one-quarter expected numbers of employees to increase.
Just over half of business units expect the economic situation in London to improve in the next 12
months.
## International Trade
An estimated 32% of business units in London export goods and services to Europe or beyond,
ranging from 4% in construction to 56% in the retail sector.
Around one-quarter (26%) of business units in London import goods and services from outside the
UK.
London's total exports in the year to mid-2014 were worth an estimated £147 billion, while imports
were worth some £118 billion (although these fi
gures are likely to be underestimates). This indicates
that London had net exports of around £28 billion.
## Support For Smes
SMEs relied most on accountants/auditors for advice, with 42% of SME business units seeking advice
only sometimes and 34% doing so often; by contrast, only 12% used the Gov.uk website (formerly Business Link) sometimes or often for advice.
The survey found that 35% of SME business units attempted to access external fi
nance in the 12
months to mid-2014; nearly half of those needing fi
nance obtained all of the money they needed,
while 30% obtained partial fi
nancing and 22% were unsuccessful or their cases had not yet been
resolved.
## Investing In The Future And Developing The Workforce
An estimated 58% of London business units were 'innovation active' in the year to mid-2014, with
50% investing in innovation.
The survey found that 41% of business units had engaged in upskilling, training or development of
their workforce over the 12 months to mid-2014. This ranged from 33% of microenterprises to 85% of units in large fi
rms.
In the 12 months to mid-2014, 38,050 business units (or 9% of the total) employed apprentices, while
62,050 business units (14%) employed staff with Science, Technology, Engineering and Maths (STEM) skills.
## Introduction
This report presents the main fi
ndings of the London Business Survey
(LBS) 2014. The aim of the survey was to collect information from
businesses on a variety of topics of interest to the Mayor of London,
the Greater London Authority (GLA), the London Enterprise Panel (LEP)
and London & Partners. Such topics include: how London is rated as
a business location, ease of access to fi
nance for Small-and Medium-
Sized Enterprises (SMEs), employment, skills and training, the economic
outlook, trade and innovation.
The report begins with a brief overview of the survey in order to assist in understanding and interpreting the
survey fi
ndings (a more detailed description of the survey and the methodology is available in the ONS's
LBS 2014 Methodology Report). The main fi
ndings are subsequently presented, divided into seven sections:
Business profi
le
London as a place to do business
The workforce
Business performance and outlook
International trade
Support for SMEs
Investing in the future and developing the workforce
A list of supporting data tables, useful contacts and glossary of terms are provided in appendices to this report.
About the survey A key requirement of the LBS 2014 was that it should be representative of London businesses, specifi cally of private sector businesses (including not-for-profi t organisations). To achieve this, the GLA asked the Offi ce for National Statistics (ONS) to design and carry out the survey. The design of the survey presented many challenges for ONS, the greatest of which was to draw a sample of businesses in the specifi c geographical area required. Whereas the ONS's UK Annual Business Survey draws a sample at national level and then apportions the results to each region using a regression model, in this case the aim was to collect business information specifi cally for London. This would be straightforward for a household survey, which would select as a sample of households with London postcodes. However, businesses have complex structures, and head offi ces may be in a different place from where much of the activity of the business takes place.
ONS produced an innovative survey design to address this issue and ensure the sample could be weighted up to produce representative results for London businesses. Figure 1 shows that the 'business population' of interest (within the grey box) comprises all business sites/workplaces in London, some of which are also head offi ces. Within this report members of the business population are referred to as 'business units'.
In the survey design the treatment of single site enterprises was simple: a random sample of sites was selected and sent out questionnaires. Most SMEs are single site enterprises. Multi-site businesses (mainly large enterprises) are more complex, as illustrated in the example in Figure 1: the business on the left-hand side of the illustration has two sites in London but its head offi ce is in Sheffi eld, while the business on the right-hand side has a head offi ce site in London but most of its activity takes place outside London (in Reading and Crawley). If ONS had decided to draw a sample of whole businesses and send questionnaires to head offi ces, as UK/
GB business surveys do, there would have been two problems:
Unit A would not have been selected because it is in Sheffi
eld, so Units B and C (which are in London)
would have been left out of the estimates.
Unit F would have been selected because it is in London, and would have reported results for all of its
business (including Reading and Crawley, which should not be included in our estimates).
As our aim was to survey London businesses, it was necessary to draw a sample at site level instead of head offi ce level. This approach meant that in the former example, even though the head offi ce is based in Sheffi eld, the multi-site enterprise's London units B and C are included in the estimates. In the latter example, only the business activity conducted at unit F would be included, not that of its non-London sites (units G and H). However, this created a diffi culty: sites are not able to answer questions on all of the topics that the LBS
is interested in. Therefore for multi-site enterprises it was necessary to send questionnaires to their head offi ces asking for responses to 'head offi ce type questions' as well as sending questionnaires with 'site type questions' to the selected sites. When the responses to head offi ce questionnaires were collected, they were assigned to the sites selected for the survey and used to estimate results for the LBS population. The use of the term respondent in this report means the person who responded on behalf of the London business unit, even if this person works at a head offi ce which is not in London. For example, respondents to the LBS 2014
include those based at Unit A responding to head offi ce type questions on behalf of units B and C, as well as all those units within the LBS 2014 population.
Following an initial pilot in March-April 2014, the survey took place in May-July 2014. It covered the 'LBS industry sectors' shown in Table 2. These were created using the ONS Standard Industrial Classifi cation 2007
(SIC07), which were re-grouped to refl ect the nature of London's private sector business economy.
| | LBS industry sector name | SIC07 Section/division |
|-----------------------------------------------------------------|----------------------------------------------|--------------------------------|
| 1 | Manufacturing | Section C |
| 2 | Construction | Section F |
| 3 | Wholesale (including motor trades) | Section G: divisions 45 and 46 |
| 4 | Retail (excluding motor trades) | Section G: division 47 |
| 5 | Transport and storage | Section H |
| 6 | Accommodation, food, travel and tourism | Section I plus division 79 |
| 7 | | |
| Information, communication, arts, entertainment and | | |
| recreation | | |
| Sections J and R | | |
| 8 | Financial and insurance activities | Section K |
| 9 | | |
| Real estate, architecture and engineering services, services to | | |
| buildings and landscape activities | | |
| Section L plus division 71 plus division 81 | | |
| 10 | | |
| High value business support including legal, accounting, head | | |
| offi | ce, management, advertising, market research | |
| Section M excluding divisions 71, 72 and 75 | | |
| 11 | | |
| Other administrative and support services including | | |
| employment agencies and security services; and other service | | |
| activities | | |
| Section N excluding divisions 79 and 81; plus Section S | | |
| 12 | | |
| Human health and social work activities, scientifi | c R&D and | |
| veterinary activities | | |
| Section Q plus divisions 72 and 75 | | |
Note: Sections A, B, D, E and T of SIC07 are excluded because they are a very small part of the London business economy. Sectors O and P were excluded because they are predominantly public sector.
The LBS industry sectors represent around 98% of London's business economy in terms of gross value added (GVA) and around 99% in terms of London's workforce1.
The survey was also designed to be representative (and thus analysed) by size of enterprise. The LBS enterprise size bands are:
Micro enterprises: 0 to 9 employees
Other SMEs: 10-249 employees
Large enterprises: 250+ employees
Enterprise size is defi ned at the level of the UK business as a whole. For example, a store belonging to a supermarket chain which employs thousands of people across the UK is considered to be part of a 'large enterprise' even if that particular store employs fewer than 250 people. Thus, although the LBS 2014 sample was drawn at site level, the enterprise size band of each selected business unit was defi ned by the enterprise to which it belonged. On the other hand, industry sector classifi cation was defi ned at the level of the selected business unit (the store in the example of the supermarket chain). The LBS 2014 sample was drawn from the Inter-Departmental Business Register (IDBR), which is the sampling frame used for most offi cial business surveys2. The IDBR has information for businesses as a whole
(the enterprise/fi rm) and for business units within them. Table 3 shows that there were 400,510 businesses in the LBS 'population' in May 2014, with a total of 444,870 business units. For microenterprises, the ratio of units to enterprises was 1:1, indicating that most of these enterprises had only one site ('single site enterprises'); but most large enterprises were 'multi-site enterprises' with, on average, almost 12 sites per enterprise.
| Number of enterprises | Number of business units |
|----------------------------|----------------------------|
| Ratio of business units to | |
| enterprises | |
| Microenterprises | 357,560 |
| Other SMEs | 39,910 |
| Large enterprises | 3,040 |
| TOTAL | 400,510 |
Source: IDBR, May 2014
Table 3 also shows that over 80% of business units in London's private sector business economy were microenterprises. However, the results of the LBS 2014 suggest that microenterprises employ only 20% of London's private sector employees and account for 12% of turnover, while other SMEs account for 33% of its private sector employees and 24% of turnover and large fi rms account for 47% of its private sector employees and 64% of turnover (see below: **The workforce; Business performance and outlook**).
For the LBS 2014, a sample of some 10,142 business units in London was drawn from the IDBR. The survey achieved a response rate of 33% (3,326 business units) for head offi ce type questions and 26% (2,620
business units) for site type questions. Some of the fi ndings in this report are based on the former, and some on the latter. For instance, the Access to fi nance section is based on responses to head offi ce type questions and the **Employment patterns** and **International trade** sections are based on responses to site type questions. However, irrespective of where the responses came from, all results presented in this report are treated as being for the sites in our sample and are used to produce results for the London business population as shown in Figure 1. In this Main Findings report, results are presented in terms of numbers (or proportions) of business units. In the case of multi-site (mainly large) enterprises, business units are parts of the business (e.g. a workshop, factory, warehouse, offi ce or retail outlet), not the business as a whole.
Such estimates are helpful in many ways - not least in understanding the needs and views of business owners and managers - but some caution is needed in interpreting them because they are not weighted to refl ect relative contributions to economic activity or employment. For example, microenterprises carry more weight in the 'all London' results than the responses of business units in other SMEs or large fi rms because there are many of them, but they account for a relatively small proportion of turnover and employment. The methodology of the survey is described in greater detail in the ONS's LBS 2014 Methodology Report. This also contains copies of the questionnaires and further details on head offi ce level questions and site level questions.
## Main Fi Ndings
This part of the report presents the initial fi
ndings of the LBS 2014. This
is seen as the fi
rst step in exploring the results of the survey, which has
potential for further analysis on a variety of topics.
The tables which we refer to below are detailed in Appendix 1 and can be downloaded from the London
Datastore (http://data.london.gov.uk/london-business-survey-2014/). Readers should note that survey
estimates vary in their precision, in particular that detailed breakdowns (e.g. by industry sector) tend
to be less reliable than results for London as a whole or breakdowns by size of enterprise. The tables in
Appendix 1 include the Confi
dence Intervals (upper and lower confi
dence limits) for each estimate, and it is
recommended that readers check these when using the results.
## Business Profi Le
The London Business Survey (LBS) 2014 looks at whether businesses in London are owned by UK or foreign owners. Table 4 shows that most business units in London (92%) belong to UK fi rms. However, 8% of units are in foreign or joint (UK and foreign) ownership. The single most important region of foreign ownership is the European Economic Area (EEA) with 10,400 business units, while the USA and Canada own 5,470 units.
| Country/region of ownership | Count of records |
|------------------------------------|--------------------|
| Number of business | |
| units | |
| Percentage of units | |
| UK | 2,833 |
| Channel Islands and Isle of Man | 20 |
| British Overseas Territories | 18 |
| EEA | 163 |
| - France | 44 |
| - Netherlands | 33 |
| - Denmark | 22 |
| - Germany | 26 |
| USA and Canada | 85 |
| Asia | 47 |
| Rest of the World | 42 |
| - Switzerland | 16 |
| Owned by more than one country | 64 |
| Foreign-owned, country not specifi | ed |
| No response | 38 |
Source: London Business Survey (2014)
Notes:
1. Percentages are calculated excluding non-response.
2. Businesses owned by more than one country may be partly owned in the UK.
Table BPR2 (see Appendix 1) shows that foreign ownership is higher for business units in large fi rms than those in SMEs: 24% compared with 7%. In terms of the LBS industry sectors, foreign ownership is highest in the fi nancial and insurance sector (25%).
The survey also looked at the age of fi rms in London (Table BPR5, see Appendix 1). It estimated that 63% of business units belonged to fi rms that were established before 2009, while 17% were 'start-ups' (established between 2012 and the time of the survey in mid-2014). Around one-fi fth of microenterprises were startups, compared with only 4% of business units in large enterprises. Start-ups were most common in the high value business support sector and administrative and support services.
## London As A Place To Do Business
London as a business location The LBS asked about a number of factors which affect people's perceptions of London as a place to do business. Figure 5 summarises how respondents rated London in terms of these factors. It shows that ratings for London were very positive in terms of the availability of skilled staff, the international/ diverse environment, proximity to businesses and customers, transport infrastructure and digital and communications infrastructure. The majority of respondents also felt that safety and security was either adequate or good/excellent. However, respondents were less satisfi ed with London in terms of the availability of suitable and affordable workspace, the availability/cost of housing and other living costs.
The LBS asked "If the UK were to leave the EU, but remained part of the single market, what impact would it have on this business?" Nearly two-thirds of respondents (64%) thought that the impact would be neither positive nor negative. Of those who did expect it to have an impact on their business, around three-quarters thought that the impact would be negative or very negative while around one-quarter expected it to be positive or very positive. Feeling about leaving the EU (but not the single market) was least negative among micro-enterprises and most negative in large fi rms (Figure 6).
Local facilities The survey asked about the importance of local facilities for businesses. Specifi cally it asked about local amenities such as cafes, restaurants and shops; cultural activities such as museums, cinemas and theatres; parks, sporting and recreational facilities; safety and cleanliness of the local environment; and attractiveness of the workspace and work environment. The survey found that cultural activities and parks, sporting and recreational facilities were the least valued, while safety and cleanliness of the local environment and attractiveness of the workspace and work environment were considered most important (Table LF1, see Appendix 1). In London as a whole over 85% of business units were satisfi ed or very satisfi ed with their local facilities with the exception of safety and cleanliness of the local environment, where the satisfaction level was 74% (Table LF2, see Appendix 1). Satisfaction with safety and cleanliness of the local environment was lowest (55%) in the retail (excluding motor trades) sector and highest (88%) in high value business support which includes legal, accounting, head offi ce, management and advertising and market research activities. This may be associated with differences between these sectors in terms of location, with high value business support tending to be concentrated in central London and retailers widely spread around London.
Factors affecting businesses Respondents were asked about a series of factors affecting businesses, and what level of impact these had had on the business in the 12 months to mid-2014. Figure 7 and Table FAB1 (see Appendix 1) show how people responding on behalf of business units in London viewed the impact of these factors.
## Figure 7: Factors Affecting Businesses
The factors most often rated as having a positive or very positive impact were demand for products and/or services (50% of respondents) and technology/IT/connectivity/digital infrastructure (30% of respondents). The factors most often rated as having a negative or very negative impact were taxes and business rates (50% of respondents) and staff costs/cost of living (41%). Cost of energy and materials, government regulations, availability of affordable business space and availability and/or cost of fi nance were also seen as negative or very negative by 30% or more of respondents.
## The Workforce
Employment patterns The survey estimated that the total number of employees in business units (workplaces) in London's private sector business economy3 was 3.6 million. This is in line with the fi gure reported by ONS's Business Register and Employment Survey (BRES), which is the recommended offi cial source for such statistics4.
The LBS 2014 estimated that 1.7 million employees worked for large fi rms, while 0.7 million worked for microenterprises and 1.2 million worked for other SMEs (Table WF1, see Appendix 1). Figure 8 shows the breakdown of numbers of employees by sector and work pattern (full-time vs. part-time). There are more full-time employees than part-time employees in every LBS industry sector, but in the retail (excluding motor trades) sector almost half (48%) of all employees work part time and in health, social work, scientifi R&D and veterinary services 41% work part time.
The LBS 2014 also collected information on the gender breakdown of employees in London businesses, which is shown in Figure 9. This is not available from the BRES. While the majority of employees in most sectors are men, women are dominant in the health, social work, scientifi c R&D and veterinary services sector and in the retail (excluding motor trades) sector. These are also the sectors with the highest proportion of part-time workers (Figure 8).
## Changes In Employee Numbers And Recruitment5
In the 12 months to mid-2014, three-quarters of business units in London experienced no change in numbers of employees while 12% of business units reported a decrease and 13% saw an increase. Around onethird (34%) of business units in other SMEs (enterprises with 10-249 employees) experienced an increase compared with 30% of units in large fi rms and only 8% in microenterprises (Table R1, see Appendix 1).
The industry sector with the largest proportion of business units reporting an increase in the 12 months to mid-2014 (21%) was fi nancial and insurance activities (Table R1, see Appendix 1). The two main reasons given for the increase in the fi nancial and insurance sector were increases in demand and business expansion/restructuring (Table R3, see Appendix 1). Meanwhile 30% of units in the accommodation, food, travel and tourism sector experienced a decrease in employee numbers; the two main reasons for this were a fall in demand and pressures on cash fl ow (Table R4, see Appendix 1).
Some 29% of London business units recruited employees in the 12 months to mid-2014. The pattern of recruitment in London revealed by the survey differs considerably according to the size of the enterprise to which the business unit belongs. While 78% of business units associated with large fi rms reported recruiting staff in the 12 months to mid-2014, only 25% of those in SMEs did so. However there was a big difference between microenterprises and other SMEs: 18% of business units with fewer than 10 employees recruited, compared with 75% of units with 10 to 249 employees (Table R5, see Appendix 1). Moreover, patterns of recruitment varied considerably by industry sector, as shown in Figure 10. It is worth noting that some sectors with high levels of recruitment - such as the accommodation, food, travel and tourism sector and retail (excluding motor trades) - have seasonal employment patterns, so the high levels of recruitment reported for these sectors may be partly explained by their recruitment of temporary staff every year for the 'peak' season.
Source: London Business Survey (2014) Note: Lack of response to the recruitment question was interpreted as "not recruited".
The survey also asked respondents whether they had recruited any employees from Jobcentre Plus (JCP). It found that 9% of business units in London had used JCP for recruitment, ranging from 6% of units in SMEs to 18% of units in large fi rms (Table R6, see Appendix 1).
Business performance and outlook The LBS 2014 collected data on the turnover of business units in London. Total turnover was estimated at £1.1 trillion (million million), of which nearly two-thirds was associated with large fi rms and almost half was in the wholesale (including motor trades) sector (Table BPM1, see Appendix 1). Microenterprises accounted for only 12% of total turnover. The survey asked about whether turnover had increased, remained the same or decreased in the 12 months to mid-2014 (Table BPM2, see Appendix 1). For London as a whole, 35% of business units reported an increase, 37% reported that turnover had remained the same and 29% reported a decrease. However, less than one-third of respondents from microenterprises reported an increase compared with over half of respondents from other SMEs and large fi rms. The industry sectors with the largest proportion of business units reporting an increase in turnover were manufacturing, construction, and health, social work, scientifi c R&D and veterinary services (Figure 11).
When asked "Over the next 12 months, is this business planning to grow?", respondents were generally ambitious: 63% said the business was planning to grow - 60% in SMEs and 95% in large fi rms (Table BPM3, see Appendix 1). On the anticipated economic situation for the business in the next 12 months, just under half expected an improvement and less than one-fi fth expected deterioration, with little difference between SMEs and large fi rms (Table BPM4, see Appendix 1). Similarly, just over half of respondents expected the economic situation in London to improve in the next 12 months (Table BPM5, see Appendix 1).
However, many businesses that were ambitious about growing were not planning increases in staff numbers (Table R2, see Appendix 1). Overall, 22% of business units said that they expected the number of employees to increase in the next 12 months, while 74% expected it to remain the same. The most optimistic enterprise size band was other SMEs, where 38% of business units expected an expansion in employee numbers over the coming year (Figure 12).
## Figure 12: Expected Changes Over The Next 12 Months, By Size Of Enterprise
Source: London Business Survey (2014) Notes: 1. Respondents who did not answer the 'planning to grow' question were assumed to have responded "no". 2. For other two questions, percentages were calculated excluding non-response.
Box 1: Note on turnover, sales and purchases data in LBS 2014
Estimates of the value of turnover, sales and purchases in LBS 2014 are experimental. The survey estimates this information in a new way, as explained in the LBS 2014 Methodology Report. Instead of collecting information from head offi ces and 'regionalising' it through regression modelling, as is the case with ONS's Annual Business Survey, in the LBS information is collected directly from sites located in the area of interest (London). This means that results are not directly comparable with those of the Annual Business Survey. The fact that the LBS collects turnover, sales and purchases data from sites rather than from head offi ces means that it avoids the need to 'regionalise'. However, the LBS results may suffer from overestimation because some sites in multi-site fi rms are unable to report the values for the selected site and instead report the values for the business as a whole. Much of this is resolved by data editing, but a degree of overestimation of such values remains likely for multi-site fi rms.
International trade Table 13 shows percentages of London business units selling goods and services to four geographical areas: London, the rest of the UK, the rest of Europe and the rest of the world. The fi gures do not add to 100%
because business units frequently sell to more than one area. The survey was able to calculate the percentage of business units selling to the rest of Europe and/or the rest of the world. These were classifi ed as 'exporters'. An estimated 32% of business units in London were exporters, but the results differed widely between industry sectors, ranging from 4% in construction to 57% in the retail (excluding motor trades) sector. Similarly, Table TRD3 (see Appendix 1) shows that around one-quarter (26%) of business units in London import goods and services from outside the UK and there were wide variations by industry sector. The sectors with the largest proportions of 'importers' were wholesale including motor trades (60%) and retail excluding motor trades (52%). The LBS 2014 collected data on the value of goods and services sold by business units in London in order to attempt to estimate the value of exports and imports. Total sales of goods and services were estimated at £1.1 trillion and purchases of goods and services at £0.8 trillion. Tables 14 and 15 show the value of sales and purchases and the average proportions sold to and purchased from specifi ed locations.
| Exporters | Category & sub-category |
|-----------------------------------------------------------------|-------------------------------|
| to | |
| London | |
| to the | |
| rest of | |
| the UK | |
| to the | |
| rest of | |
| Europe | |
| to the | |
| rest | |
| of the | |
| world | |
| London total | 83 |
| Size of enterprise | |
| Micro | 81 |
| Other SME | 89 |
| Large | 97 |
| Industrial category | |
| Manufacturing | 87 |
| Construction | 86 |
| Wholesale (inc. motor trades) | 78 |
| Retail (exc. motor trades) | 87 |
| Transport and storage | 86 |
| Accommodation, food, travel and tourism | 90 |
| Information, communications, arts, entertainment and recreation | 84 |
| Financial and insurance activities | 70 |
| Real estate, architecture, engineering and building services | 84 |
| High value business support | 80 |
| Administrative and support services | 78 |
| Health, social work, scientifi | c R&D and veterinary services |
Source: London Business Survey (2014)
Average proportion sold (mean %)
to
London
Total
sales
(£ billion)
to the
rest of
the UK
to the
rest of
Europe
to the
rest
of the
world
London total
1,133
66
16
8
6
Size of enterprise Micro
138
65
16
9
6
Other SME
271
64
19
7
7
Large
724
79
12
4
4
Industrial category Manufacturing
20
61
31
4
4
Construction
60
77
17
0
2
Wholesale (inc. motor trades)
543
50
26
10
9
Retail (exc. motor trades)
51
67
11
17
5
Transport and storage
40
67
20
4
8
Accommodation, food, travel and tourism
77
76
12
4
6
Information, communications, arts, entertainment and recreation
69
60
19
11
9
Financial and insurance activities
70
49
17
11
10
Real estate, architecture, engineering and building services
41
75
12
5
3
High value business support
102
61
21
8
9
Administrative and support services
40
64
9
14
2
Health, social work, scientifi
c R&D and veterinary services
19
85
8
0
2
Source: London Business Survey (2014) Note: The average proportions sold to the four geographical areas do not add to 100% because of non-response or misreporting by some respondents.
Average proportion purchased (mean %)
from
London
Total
purchases
(£ billion)
from the
rest of
the UK
from the
rest of
Europe
from
the rest
of the
world
London total
833
60
23
6
6
Size of enterprise Micro
87
60
22
6
6
Other SME
198
58
27
7
6
Large
548
60
30
3
3
Industrial category Manufacturing
13
44
38
9
8
Construction
42
73
20
3
1
Wholesale (inc. motor trades)
500
27
26
19
22
Retail (exc. motor trades)
41
52
15
19
13
Transport and storage
31
63
30
3
4
Accommodation, food, travel and tourism
22
73
20
2
2
Information, communications, arts, entertainment and recreation
43
58
28
5
8
Financial and insurance activities
27
55
23
2
6
Real estate, architecture, engineering and building services
21
78
15
3
0
High value business support
60
59
25
5
5
Administrative and support services
23
59
20
2
1
Health, social work, scientifi
c R&D and veterinary services
9
63
29
0
1
Source: London Business Survey (2014)
Note:
The average proportions purchased from the four geographical areas do not add to 100% because of non-response or
misreporting by some respondents.
Although the average proportions sold to the four geographical areas do not add to 100% because of nonresponse or misreporting by some respondents, in the case of exports, for London as a whole and for each enterprise size band the average proportions add to over 95%. We consider that this is enough to estimate proportions exported, although the results (in Table 16) may slightly underestimate the true value of exports. The same is the case for imports. The same calculations can also be made for most industry sectors, but we have not calculated any results for fi nancial and insurance services or for administrative and support services because the data collected for these sectors is not robust enough. Of the LBS industry sectors for which we can make such calculations, high value business support is the biggest net exporter and wholesale (including motor trades) is the biggest net importer. Table 16 shows that London's total exports in the year to mid-2014 were worth an estimated £147 billion, while imports were worth an estimated £118 billion. This indicates that London is a net exporter of goods and services, with exports minus imports in the year to mid-2014 worth around £28 billion. As noted above the information for some industry sectors in the LBS 2014 is incomplete, so these London totals are likely to be underestimates. The fi gures for large enterprises are also likely to be underestimates.
Total exported
(£ billion)
Total imported
(£ billion)
Net exports:
exports minus
imports
(£ billion)
London total
147
118
28
Size of enterprise Micro
38
26
12
Other SME
71
65
6
Large
37
27
10
Industrial category Manufacturing
4
6
-2
Construction
4
2
2
Wholesale (inc. motor trades)
41
57
-16
Retail (exc. motor trades)
13
12
1
Transport and storage
5
3
2
Accommodation, food, travel and tourism
6
4
2
Information, communications, arts, entertainment and recreation
12
10
2
Financial and insurance activities
..
..
..
Real estate, architecture, engineering and building services
3
0
2
High value business support
37
15
23
Administrative and support services
..
..
..
Health, social work, scientifi
c R&D and veterinary services
1
1
1
Source: GLA Economics calculations based on London Business Survey (2014)
Notes:
1. To calculate the fi
gures shown in this table, the proportions sold to/purchased from rest of Europe + rest of the world are
multiplied by total value of goods and services sold/purchased. This is done for each business unit, producing the total exported/
imported by that unit. Results are then aggregated to totals.
2. Results for fi
nancial and insurance services and administrative and support services are suppressed with '..' because the data
on proportions sold/purchased is incomplete. The information that we have for these sectors is included in totals exported and
imported for London, but, as it is incomplete, the London totals and the fi
gures for large fi
rms are likely to be underestimates.
## Support For Smes
Business support This section and the following one focus on SMEs, as they are most likely to need business support and access to fi nance.
The survey asked whether respondents had sought advice or information from external organisations or people in the 12 months to mid-2014. It found that SMEs relied most on accountants/auditors for external advice, with 42% of SME business units seeking their advice sometimes and 34% doing so often (Table BS1, see Appendix 1). By contrast, only 12% used the Gov.uk website (formerly Business Link) sometimes or often for advice and 25% sought advice sometimes or often from a trade association or professional body. The topics for which advice was most commonly sought by SMEs were regulations/taxes (with 51% of SME business units seeking such advice sometimes or often) and IT/computing (41% of business units) (Table BS2, see Appendix 1).
Respondents from one-quarter of SME business units in London were aware of the existence of Incubator, Accelerator and Co-working Spaces (IACS). Awareness was highest in the 'other SME' category (businesses with 10-249 employees) (Table BS3, see Appendix 1). The survey also found that 14,090 SME business units (14% of those that were aware of the existence of IACS and 3% of all SME business units in London) had used IACS (Table BS4, see Appendix 1).
## Access To Fi Nance
The survey found that 35% of SME business units attempted to access external fi nance in the 12 months to mid-2014 (Table AF2, see Appendix 1). Some 48% of SMEs needing fi nance obtained all of the money they needed, while 30% obtained partial fi nancing and 22% were unsuccessful or their cases had not yet been resolved (Table AF5, see Appendix 1). Figure 17 shows numbers of SMEs seeking external fi nance over the 12 months to mid-2014 by the type of fi nance they were seeking; it should be noted that the ratio of microenterprises to other SMEs in the population is 7:1 (see above: **About the survey**).
The survey also found that access to fi nance differed considerably by the size and age of the business and by industry sector:
Almost all units belonging to large fi
rms obtained all of the fi
nance they required, while only 45% of
microenterprises were able to do so.
63% of units belonging to businesses established before 2009 were able to access all the fi
nance they
required, compared with 32% of start-ups (businesses established in 2012 or after).
Over 70% of business units in the fi
nancial and insurance sector and the information, communications,
arts, entertainment and recreation sector met their full fi
nancing requirements, compared with around
40% of units in the construction sector and in administrative and support services.
## Investing In The Future And Developing The Workforce
Innovation The LBS 2014 collected information about businesses' involvement in two main groups of innovation activity:
1. New business practices; new methods of organisation; and changes to marketing concepts or strategies 2. Product or process innovation
The proportion of London business units that were engaged in these activities in 2013-14 is shown in Table 18. If a business is engaged in any one of these activities, it is defi ned as 'innovation active'6; 58% of business units in London were innovation active in the year to mid-2014.
## Activity (Number Of Business Units)
Innovation activity
Actively
innovating
Not actively
innovating
No response
Percentage
actively
innovating
New business practices; new methods of organisation; and changes to marketing concepts or strategies
New business practices
86,420
358,450
0
19
Work responsibilities and decision making
102,330
342,540
0
23
Organisation of external relationships
67,350
377,520
0
15
Marketing concepts or strategies
100,720
344,150
0
23
Product or process innovation
New or signifi
cantly improved goods
36,090
401,480
7,310
8
New or signifi
cantly improved services
124,080
313,480
7,310
28
New or signifi
cantly improved processes
111,450
326,120
7,310
26
Innovation Active (undertaking at least 1 activity)
242,030
173,700
29,140
58
Innovating in at least 1 activity under each heading
136,130
268,130
40,610
34
Source: London Business Survey (2014) Note: Percentages are calculated excluding non-response The survey also asked about investment in innovation activities. Table 19 shows the proportion of London business units investing in innovation; half of business units in London reported making investments in innovation in 2013-14.
| Type of innovation | Investing |
|---------------------------------------------------------------|-------------|
| Not | |
| investing | |
| No | |
| response | |
| Percentage | |
| investing | |
| Internal Research and Development | 91,470 |
| Acquisition of Research and Development | 23,100 |
| Acquisition of advanced machinery, equipment and software for | |
| innovation | |
| 69,780 | 375,090 |
| Acquisition of existing knowledge | 27,930 |
| Training for innovative activities | 69,820 |
| All forms of design | 67,380 |
| Market introduction of innovations | 78,280 |
| Actively investing in at least one type of innovation | 208,110 |
Figure 20 shows the number of business units in London that were innovation active and invested in innovation by enterprise size. Large fi rms were the most innovation active and also the most likely to be investing in innovation. However, innovation activity was also high for other SMEs, with three-quarters of units in other SMEs claiming to be innovation active.
## Innovation, By Size Of Enterprise
Training and developing the workforce The LBS also looked at how businesses in London were investing in the future of the workforce. The survey found that 41% of business units had engaged in upskilling, training or development of their workforce over the 12 months to mid-2014. The number of business units where such training took place varied considerably by enterprise size and industry sector (Table TRN1a, see Appendix 1):
In large fi
rms, 85% of business units engaged in upskilling, training or development compared with
33% for microenterprises and 69% for other SMEs.
The proportion of units where upskilling, training or development took place ranged from a low of
27% in the manufacturing sector to a high of 74% in the health, social work and scientifi
c R&D sector.
The proportion of employees engaging in training is different from the proportion of business units engaging in training because over 80% of business units are microenterprises, but employment is concentrated in other SMEs and large fi rms (see above: **The workforce**). The survey was unable to ask about the training experiences of individual employees, but it found that over three-quarters of employees worked for businesses that had engaged in training in the 12 months to mid-2014. The proportions varied according to size of enterprise, ranging from 43% in microenterprises to 81% in other SMEs and 89% in large fi rms. Figure 21 shows the proportion of employees working for businesses that engaged in upskilling, training or development in the 12 months to mid-2014 by industry sector.
Source: London Business Survey (2014) Note: Lack of response to this question was interpreted as "not upskilling, training or developing".
Apprentices and STEM staff The LBS 2014 also provides estimates of the number of businesses with apprentices. In 12 months to mid- 2014, 38,050 business units employed one or more apprentices (Table AP1, see Appendix 1). This represents 9% of all business units. The survey also found that 62,050 business units in London employed staff with Science, Technology, Engineering and Maths (STEM) skills or qualifi cations (Table STEM1, see Appendix
1). This represents 14% of all business units. One-third of these business units had engaged in upskilling, training or development of their STEM employees over the 12 months to mid-2014 (Table TRN1, see Appendix 1).
## Appendix 1 (List Of Tables)
All the tables for the LBS 2014 are available on the London Datastore. This appendix lists these tables and links to the London Datastore (http://data.london.gov.uk/london-business-survey-2014).
Business profi
le
Table BPR1
Country/region of ownership of London businesses, 2014
Table BPR2
UK versus foreign ownership of London businesses, 2014
Table BPR3
What London businesses provide: goods, services and intellectual property, 2014
Table BPR4
Customers of London businesses, 2014
Table BPR5
Age of London businesses, 2014
London as a place to do business
Table LBL1
How businesses rate London as a location for business in terms of various factors, 2014
Table LBL2 Businesses' views on how London compares with cities outside the UK in terms of availability
of visas for non-European employees, 2014
Table LBL3
Impact on the business of leaving the EU (but not the single market), 2014
Table LF1
Importance placed on local facilities, 2014
Table LF2
Satisfaction with local facilities, 2014
Table FAB1
Factors affecting businesses over the last 12 months, 2014
The workforce
Table WF1
Number of employees working in London businesses, 2014
Table R1
Change in number of employees over the last 12 months, 2014
Table R2
Projected change in number of employees over the next 12 months, 2014
Table R3
Reasons for a rise in employment over the last 12 months, 2014
Table R4
Reasons for a fall in employment over the last 12 months, 2014
Table R5
Whether businesses have recruited any employees over last 12 months, 2014
Table R6 Whether businesses have recruited any employees through Jobcentre Plus over last 12
months, 2014
Table R7
Whether candidates from Jobcentre Plus are suitable for business needs, 2014
Business performance and outlook
Table BPM1
Turnover of London businesses over the last 12 months, 2014
Table BPM2
Change in turnover compared with 12 months ago, 2014
Table BPM3
Whether planning to grow over the next 12 months, 2014
Table BPM4
Expectation of the economic situation for your business over the next 12 months, 2014
Table BPM5
Expectation of the economic situation in London over the next 12 months, 2014
International trade
Table TRD1
Value of goods and services traded by London businesses, 2014
Table TRD2
London businesses with sales to specifi
ed locations, 2014
Table TRD3
London businesses with purchases from specifi
ed locations, 2014
Table TRD4
Average sales (mean %) of London businesses to specifi
ed locations, 2014
Table TRD5
Average purchases (mean %) of London businesses from specifi
ed locations, 2014
Support for SMEs
Table BS1
How often businesses seek external advice from selected sources, 2014
Table BS2
How often businesses seek external advice on selected topics, 2014
Table BS3
Awareness of Incubator, Accelerator or Co-working spaces, 2014
Table BS4
Have used Incubator, Accelerator or Co-working spaces, 2014
Table AF1
Level of awareness of sources of fi
nance, 2014
Table AF2
London businesses that have attempted to access fi
nance over the last 12 months, 2014
Table AF3
Approached external fi
nance over the last 12 months, by type of fi
nance approached, 2014
Table AF4
Reason for seeking external fi
nance over the last 12 months, 2014
Table AF5
Obtained the external fi
nance required, 2014
Table AF6
Anticipate requiring external fi
nance over next 12 months, 2014
Table AF7
Planned use of external fi
nance over the next 12 months, 2014
Investing in the future and developing the workforce
Table IOV1
London businesses that are actively innovating by type of innovation activity, 2014
Table IOV2
London businesses that are investing in innovation by type of investment, 2014
Table IOV3
London businesses that are Innovation Active, 2014
Table IOV4
London businesses that are investing in innovation, 2014
Table TRN1a Businesses that did upskilling, training and development of employees over the last 12
months, 2014
Table TRN1b
Employees working for businesses that did upskilling, training and development over the last
12 months, 2014
Table TRN2
Sources of training over the last 12 months, 2014
Table TRN3
External providers of long courses, 2014
Table AP1
London businesses employing apprentices in the last 12 months, 2014
Table AP2
Awareness of grants available for apprentices, 2014
Table AP3
Use of grants available for apprentices over the last 12 months, 2014
Table STEM1 London businesses employing STEM employees, 2014
## Appendix 2 (Useful Contacts)
To fi nd out more about the work that the Mayor is doing to support businesses in London, please visit:
http://www.london.gov.uk/priorities/business-economy/for-business If you are seeking advice or support for your business, please contact the London Business Support Helpline on 0300 456 3565, available Monday to Friday 9-6pm. To fi nd out more about how Apprenticeships can benefi t your business, please contact the National Apprenticeship Service on 08000 150 600. For further information and insight on London's economy:
GLA Economics, http://www.london.gov.uk/priorities/business-economy/publications/gla-economics
GLA Intelligence Unit, http://www.london.gov.uk/mayor-assembly/mayor/publications/gla-intelligence
London Datastore: http://data.london.gov.uk/
Jobs and Growth Plan for London: http://www.london.gov.uk/sites/default/fi
les/Jobs%20%26%20
Growth%20Plan%20for%20London.pdf
## Appendix 3 (Glossary Of Terms)
Apprenticeship - Apprenticeships are defi ned as paid jobs that incorporate on and off the job training leading to nationally recognised qualifi cations. They are open to anyone aged 16 or over and not in full-time education.
Business economy - The business economy includes production, distribution, construction and services. It does not cover public sector activities or education.
Business unit - A business unit is defi ned as a site/workplace, which may also be a head offi ce if the head offi ce is in London. It will be the whole business in the case of businesses which only have one site and part of the business in the case of multi-site fi rms.
Employee - An employee is anyone aged 16 years or over that is paid from an organisation's payroll in return for carrying out a full-time or part-time job or being on a training scheme.
Enterprise - An enterprise is defi ned as the smallest combination of legal units which has a certain degree of autonomy in decision-making (for example, a chain of supermarkets).
European Economic Area (EEA) - The EEA includes the 28 countries of the European Union (EU)
plus Iceland, Liechtenstein and Norway. The EU operates an internal (or single) market which allows free movement of goods, capital, services and people between EEA member countries.
Exporter - an exporter is defi ned as a business unit which sells goods and/or services to customers based outside the UK i.e. those that reported sales to the rest of Europe and/or rest of the world.
Foreign ownership - Business ownership is determined by the location of the immediate parent company of the enterprise. If the immediate parent company is located outside the UK, then a business is defi ned as foreign-owned.
Importer - an importer is defi ned as a business unit which purchases goods and/or services from suppliers based outside the UK i.e. those that reported purchases from the rest of Europe and/or rest of the world.
Incubator, Accelerator and Co-working spaces (IACs) - These are fl exible spaces designed for startups and small businesses featuring shared offi ce/work space, shared facilities and affordable, all-inclusive monthly charges; they do not include business support services.
Innovation active - A business unit is defi ned as innovation active, if in the last 12 months, it engaged in any of the following:
New and signifi
cantly improved forms of organisation, business structures or practices aimed at raising
internal effi
ciency or the effectiveness of approaching markets and customers.
The introduction of new or signifi
cantly improved product (good or service) or process e.g.
improvement in quality or distinct user benefi
ts. The innovation, although new to the business, does
not need to be new to the market.
Large enterprises - Large enterprises are defi ned as those with 250 or more employees at UK level. The terms enterprise and fi rm are used interchangeably in this report.
Microenterprises - Microenterprises are defi ned as those with 0-9 employees at UK level.
Other SMEs - Other SMEs are defi ned as those with 10-249 employees at UK level.
Purchases - Purchases are defi ned as the total value of the goods and services purchased by a business unit (excluding VAT).
Respondent - The term respondent means the person who responded on behalf of the business unit, even if this person works at a head offi ce which is not in London.
Sales - Sales are defi ned as the total value of the goods and services sold by a business unit (excluding VAT).
Science and technology categories - The categories used are a specialised grouping of UK SIC07
codes for GLA analysis purposes. They broadly identify industries which either produce scientifi c and/or technological outputs, or heavily employ scientifi c and/or technological inputs. For further information, please see the "Classifi cation" sheet in: www.ons.gov.uk/ons/about-ons/business-transparency/freedomof-information/what-can-i-request/published-ad-hoc-data/business-and-energy/february-2014/numberof-science-and-technology-employees-in-lads.xls Site - A site (or local unit) is a whole enterprise or part thereof (e.g. a workshop, factory, warehouse, offi ce or shop) situated in a single geographic location.
## Smes - Small And Medium-Sized Enterprises (Smes) Are Defi Ned As Those With 0-249 Employees At Uk Level. They Comprise Microenterprises And Other Smes.
Start-up - A start-up is defi ned as a fi rm established between 2012 and the time of the survey in mid-
2014.
STEM staff - Staff with Science, Technology, Engineering and Maths (STEM) skills or qualifi cations.
Turnover - turnover is usually defi ned as the total amount of earnings received from regular business transactions including sales (excluding VAT), dividends, interest, or royalties earned; however, it should be noted that business units may have used their own defi nitions of turnover, and in many cases turnover was reported as being equal to sales.
## Endnotes
1
According to ONS's Regional Accounts, the excluded SIC07 Sections A: agriculture, forestry and fi
shing;
B: mining and quarrying; D: electricity, gas, steam and air-conditioning supply; E: water supply; sewerage and waste management; and T: activities of households together account for around 2% of London's GVA. According to ONS's Workforce Jobs series, these sections provide employment for around 1% of London's workforce.
2
The IDBR is a statistical register based on administrative sources and surveys which contains information on businesses in all parts of the economy. An organisation will be on the IDBR if it is registered for Value Added Tax (VAT), and/or pays employees through a Pay As You Earn (PAYE) scheme and/or is an incorporated business registered at Companies House. Some very small businesses, self-employed people and non-profi
t-making organisations are not on the IDBR as they are not registered in any of these ways.
3
The term 'London's private sector business economy' refers to private sector businesses within the industry
sectors that were chosen for the LBS 2014, see **Introduction**.
4
The total number of employees working in London in September 2013 according to BRES was 4.6 million. This includes public sector employees and SIC07 industry sectors that are not included in the LBS 2014. The BRES estimate for employees working in London in September 2013 in the LBS industry sectors was 3.6 million. However, the LBS 2014 estimate for the fi
nancial and insurance activities sector was
considerably lower than the BRES 2013 estimate, which may indicate that the LBS 2014 is underestimating this sector. Estimates for some other sectors - in particular accommodation, food, travel and tourism - are higher in LBS 2014 than in BRES 2013, with the differences probably refl
ecting a combination of seasonal
employment patterns and survey error.
5
Note that the fi
gures in this section should be treated with caution because some of the standard errors
for the estimates are quite high. See the tables in Appendix 1.
6
Note that the LBS did not explicitly include in its defi
nition of 'innovation active' a third element
recently introduced to offi
cial business surveys: 'Engagement in innovation projects not yet complete or
abandoned'. Therefore the proportions reported by the LBS are on a slightly different basis from those for the UK as a whole (e.g. in the UK Innovation Survey).
Greater London Authority City Hall The Queen's Walk London SE1 2AA
Tel: 020 7983 4922
Email: [email protected] www.london.gov.uk/gla-economics-publications | en |
2483-pdf |
## National Recovery Room Options For Mitigation Of Groundwater Flooding
1. Controlling Groundwater Levels in the Subsurface
Engineering solutions to mitigate groundwater flooding are limited because of the large volumes of water and spatial areas involved, and because it is not contained or channelled.
Pumping: Wide scale dewatering of chalk (or other) aquifers by pumping are not a viable option. Lowering the risk of flooding over large areas will not be effective due to the constraints of well installation/design and operation coupled with the sheer volume of water involved. In addition there would be significant logistical problems associated with dealing with the discharges (where you pump the water to).
The opportunity to reduce flooding by pumping groundwater will be very site specific. The cone of depression (the area in which groundwater is lowered), generally ranges from a few hundred meters to a few kilometres depending on the nature of the local aquifer (storage/permeability) and the ability to pump harder without compromising the borehole (moving the packing material/mobilising turbidity etc.). Pumping is generally only possible with a specifically designed well field to enable cones of depression to overlap. Clearly it would not be possible to drill a large number of bespoke boreholes for this purpose and the existing borehole sites may only occasionally be situated at sites which may benefit from dewatering. Pumping would be impractical on any large scale but it may be worthwhile for LLFAs to work with Water Companies and other key infrastructure providers to:
a) Identify if there are any candidate sites in existence where boreholes and pumping
systems are already in place (e.g. a public water supply site upstream of a village
with groundwater flooding). If such sites exist then consideration can be given to
setting up potential pilot studies.
b) Consider based upon the impact and threat to existing infrastructure (electricity,
gas, water etc.) whether a site-specific groundwater control/dewatering scheme could be viable in future as a contingency measure to increase resilience.
2. Controlling Groundwater levels at the Surface Where groundwater emerges as a spring it will rapidly inundate low lying areas and begin to flow following the local topography/ground levels. Impacts not immediately above the point of emergence can thus be protected in the same way as handling surface water flooding. Options exist therefore for:
-
Channelling and diverting the flow of water at the surface away from sensitive downstream receptors.
-
Dealing with "pinch points" where water is forced through a narrow corridor such
as an existing culvert - causing water to backup and flood the vicinity.
By capturing data on the extent and behaviour of groundwater flooding within their areas during the current incident, Lead Local Flood Authorities can identify alternatives for potential overflow/diversion channels and dealing with "pinch points". 3. Controlling Recharge to Aquifers Some of the options for management of upland areas that would have an effect on mitigating surface water flooding may (to a lesser degree) have an impact on controlling the recharge of water into aquifers and hence the potential for groundwater flooding.
Wetlands may prevent flooding by functioning as natural sponges that trap and slowly release groundwater. Woodlands may act to decrease the rate of recharge during the spring and summer due to evapo-transpiration and may increase soil moisture deficits having the effect of shortening the period over which recharge is most effective.
4. Dealing with the Consequences of Groundwater Flooding
Strategic Actions:
Following 2012/13 groundwater flooding event in West Dorset, Dorset County Council commissioned their own investigation of the causes of flooding in the villages of Martinstown, Winterbourne Steepleton and Winterbourne Abbas. The purpose of the study was to improve understanding of the flood risks in the area and to identify possible measures for flood alleviation. The following recommendations were made to improve management of flood risk across all three villages:
A Community Flood Action Group to be formed to create a representative voice for
flood concerns for the community and to share responsibility for management and maintenance of the South Winterbourne.
Household level flood protection to be implemented to protect individual properties
against groundwater, surface water and fluvial flooding.
The potential for encouraging improved land management techniques in the
catchment to reduce flood risk in the catchment to be explored, working in collaboration with Wessex Water and other potential partners such as the West Countries River Trust and the Farming and Wildlife Action Group South West.
Additionally, specific recommendations were made to improve management of
flood risk for each village.
We would recommend that a similar approach is adopted by LLFAs as part of the recovery phase from this incident. Site Specific (Property Owner) Actions:
Property owners and specifically householders can be encouraged to help themselves. Joint badged LGA / EA Advice is already available via our website (See http://www.environment-agency.gov.uk/static/documents/Leisure/flho0911bugi-e-e.pdf). The advice includes the following:
Floors, lower parts of walls and openings such as airbricks are the most
vulnerable parts of properties and can be sealed to prevent or limit water entry.
Sump and Pump Systems can be operated at basement and ground floor levels in
buildings, but can only have a localised effect and may not be effective with large volumes of groundwater.
Foul drainage (waste from sinks, baths and toilets) - Foul sewage systems often
back up and causes problems during ground water flooding. Contingency measures include:
Main drainage systems - range of non-return valves are available which may
be able to help a continuing problem with sewage flooding.
Septic tanks and cess pits - trap solids and then discharge semi-treated fluid to
soak away or land drains. Adding a pump to the outlet side of the tank may
help and pump the sewage to high ground above the groundwater table.
Cess pits are sealed tanks which store five or six week's worth of waste and
are better protected with a concrete surround.
Other specific measures for property owners include the following, but their effectiveness will depend on the pressure exerted by the groundwater level:
Basements - 'Tanking' materials can be applied on the outside walls to seal the
walls, but this can increase water pressure which may cause structural damage
Floors - A replacement floor constructed to a high standard with reinforced
concrete and with a continuous damp proof membrane can be effective where groundwater pressures are low.
Suspended floors - constructed with concrete (often by raising floor levels) can
create a void beneath the floor which will flood before water rises to enter the
house. | en |
3125-pdf | # Home Office Statistical Bulletin
Statistical Bulletins are prepared by staff in Home Office Statistics under the National Statistics Code of
# Crimes Detected In England And Wales 2010/11
Practice and can be downloaded from both the UK Statistics Authority
# (First Edition)
website and the Home Office website:
Paul Taylor and Rupert Chaplin (Editor)
http://www.statistics.gov.uk
July 2011
HOSB:11/11
http://www.homeoffice.gov.uk/scienceresearch
© Crown Copyright 2011 You may re-use this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit
http://www.nationalarchives.gov.uk/doc/o pen-government-licence/
or write to the Information Policy Team, The National Archives, Kew, London, TW9 4DU or e-mail:
[email protected] ISSN 1358-510X ISBN 978-1-84987-487-8
## Crimes Detected In England And Wales 2010/11
Paul Taylor and Rupert Chaplin (Editor)
ISSN 1358-510X ISBN 978-1-84987-487-8 July 2011
## Acknowledgements
This publication and the accompanying web tables have been prepared by staff in the Crime Statistics Programme, which is part of the Home Office Statistics Unit in Home Office Science. The author is grateful for the support and assistance of Kathryn Coleman and Paul Robb in the Home Office Statistics Unit. Special thanks are due to Maya Bhudia who coordinated the production of the volume. Thanks also to colleagues who commented on a draft report during quality assurance of this bulletin and to colleagues in the Communications Development Section who assisted in preparing the report. The author would also like to thank John Flatley, Head of the Crime Statistics Programme and David Blunt, the Home Office Chief Statistician and Head of Profession for Statistics for their support and guidance during the preparation of this report. Additionally, the author would also like to thank staff in the Policing Data Collection Section in the Home Office and the crime registrars and statistical staff in the police forces of England and Wales.
## Further Information
Copies of other Home Office publications are available from the Home Office Science Internet pages: http://www.homeoffice.gov.uk/science-research/research-statistics/
This includes the User Guide to Home Office Crime Statistics, a useful reference guide with explanatory notes regarding the issues and classifications that are key to the production and presentation of the crime statistics: http://www.homeoffice.gov.uk/publications/science-research-statistics/research-statistics/crimeresearch/user-guide-crime-statistics/
The dates of forthcoming publications are pre-announced and can be found via the UK National Statistics Publication Hub: http://www.statistics.gov.uk/hub/index.html For further information about police recorded crime statistics, please email [email protected] or write to:
Home Office Statistics, 5th Floor, Peel Building, 2 Marsham Street, London, SW1P 4DF
Home Office Responsible Statistician David Blunt, Chief Statistician and Head of Profession for Statistics Contact via [email protected]
This statistical bulletin is a National Statistics output produced to the highest professional standards and free from political interference. It has been produced by statisticians working in the Home Office Statistics Unit in accordance with the Home Office's Statement of Compliance with the Code of Practice for Official Statistics, which covers Home Office policy on revisions and other matters. The governance arrangements in the Home Office for statistics were strengthened on 1 April 2008 to place the statistical teams under the direct line management of a Chief Statistician, who reports to the National Statistician with respect to all professional statistical matters.
## List Of Figures
| Figure 2.1 | Sanction detection rates by offence group, England and Wales, 2010/11 11 |
|---------------|-----------------------------------------------------------------------------|
| Figure 2.2 | Detection rates in England and Wales, 1988 to 2010/11 13 |
| Figure 2.3 | Detection rates by method, England and Wales, 2002/03 to 2010/11 14 |
## List Of Tables
| Table 2a | Number of detections and detection rate by offence group, 2009/10 and |
|-----------------------------------------------------------------------|-------------------------------------------------------------------------------|
| 2010/11 11 | |
| Table 2b | Offences detected by offence group and method, 2010/11 12 |
| Table 1 | Sanction detection rates by individual offence, 2009/10 and 2010/11 15 |
| Table 2 | Sanction detection rates by offence group and selected offence types, 2002/03 |
| to 2010/11 and percentage point change between 2009/10 and 2010/11 20 | |
| Table 3 | Number of detections and detection rates by method of detection, 2002/03 to |
| 2010/11 21 | |
| Table 4 | Detections by offence group and method of detection, 2005/06 to 2010/11 22 |
## 1 Introduction
This bulletin reports on the levels and trends in detections and detection rates recorded by the 43 police forces in England and Wales and the British Transport Police. The bulletin focuses on detections where the offender receives some formal sanction such as being charged or summonsed, cautioned, reprimanded or given a final warning. Sanction detections also include Penalty Notices for Disorder (PNDs), warnings for cannabis possession and offences that are asked to be taken into consideration by a court (TICs). Detailed figures of crimes recorded by the police are reported separately in Crime in England and Wales 2010/11, a copy of which is available at:
http://www.homeoffice.gov.uk/publications/science-research-statistics/research-statistics/crimeresearch/hosb1011/
In recent years detections have been the subject of a chapter in the annual crime bulletin. As such these statistics were included in the most recent UK Statistics Authority assessment of compliance with the Code of Practice for Official Statistics for Crime Statistics in England and Wales (UK Statistics Authority, 2011). That assessment confirmed the designation of these statistics as National Statistics.
Recorded crime statistics provide important context to detections figures, and are quoted where relevant in this bulletin. However, detections are primarily a measure of police activity, and presenting these statistics in a separate bulletin allows for the Crime in England and Wales bulletin to strengthen its focus on crime and victimisation. In January 2011, the Home Secretary invited the National Statistician to conduct an independent Review of Crime Statistics for England and Wales. The terms of reference for this review were to consider arrangements for the future publication of crime statistics, to advise on actions to address the recommendations made in the UK Statistics Authority's report 'Overcoming Barriers to Trust in Crime Statistics: England and Wales' (May 2010) and to consider gaps, discrepancies and discontinuities in the current statistics. The National Statistician's report was published on 6 June 2011 and can be accessed here: http://www.statisticsauthority.gov.uk/national-statistician/ns-reports--reviews-and-guidance/nationalstatistician-s-reviews/national-statistician-s-review-of-crime-statistics.html A response to the National Statistician's Review will be published in due course.
## 2 Detections 2.1 Summary
-
There were 4.15 million offences recorded by the police in 2010/11 and 1.15 million crimes
detected by means of a sanction detection. The sanction detection rate (i.e. the number of sanctions divided by the number of crimes) was 28 per cent in 2010/11.
-
The sanction detection rate in 2010/11 was the same as for the previous year. The number of
sanction detections fell by four per cent between 2009/10 and 2010/11. The number of recorded crimes also fell by four per cent in the same period.
-
As in previous years, there is a wide variation in sanction detection rates for different types of
crime, with a 94 per cent detection rate for drug offences but a rate of just 11 per cent for offences against vehicles.
-
Sanction detection rates by offence group remained broadly unchanged between 2009/10 and
2010/11. The exceptions were a one percentage point rise for burglary, a two percentage point fall in other theft offences and a one percentage point fall in fraud and forgery.
-
There was a rise of one per cent in the number of offences detected by means of a charge or
summons between 2009/10 and 2010/11. There were falls in the number of offences detected by other methods with cautions down 12 per cent, Penalty Notices for Disorder (PNDs) down 16 per cent and Cannabis Warnings down 8 per cent.
## 2.2 Introduction
Statistics on crimes recorded by the police that appear in the national crime statistics are based on notifiable offences. These offences include all offences that could possibly be tried by jury (these include some less serious offences, such as minor theft that would not normally be dealt with in this way) plus a few closely related offences, such as assault without injury. For a list of all notifiable offences see Appendix 2 of the User Guide to Home Office Crime Statistics.
Detected crime is a term that describes notifiable offences that have been 'cleared up' by the police.
Detections can be divided into two categories: sanction and non-sanction detections. The former occurs where the offender receives some formal sanction and the latter occurs in certain circumstances where the offence was cleared up but no further action is taken against an offender, for example, the alleged offender has died (see Notes and Section 3 of the User Guide for more information). The 43 territorial police forces in England and Wales and the British Transport Police provide the Home Office with aggregate returns on the number of notifiable crimes and number of detections they have recorded each year. It is not possible to link individual detections to individual crimes. The detection rates described in this bulletin are the number of offences recorded as detected in a given year as a proportion of the total number of crimes recorded in the same period. Detection rates are not a direct measure of police investigative performance and need to be interpreted with care. For example, some of the offences with the highest detection rates are the offences most influenced, in terms of their recorded numbers, by proactive policing to apprehend offenders (for example, drug offences and many of the offences in the 'other offences' category). This means that overall detection rates can be influenced by the extent to which police prioritise action against different types of offending. There may also be circumstances in which a crime may be considered 'solved' but in which a detection is not claimed - for example, where the police are satisfied that they have identified an offender but the victim is unwilling to cooperate further in an investigation or does not wish for formal action to be taken. From April 2011 the Home Office has been receiving data (supplied on a voluntary basis) on crimes 'cleared up' by the application of a form of Restorative Justice (RJ). RJ includes formal action such as the Youth Restorative Disposal administered by trained practitioners as well as less formal community-based resolutions where the offender has made an admission and the victim is satisfied that such a resolution may be used. This may amount to an apology to the victim or agreement to carry out some activity such as repairing damage caused.
## 2.3 Detection Numbers And Rates
In 2010/11, 4.15 million offences were recorded by the police and 1.15 million offences were detected by means of one of the sanction detection methods (see Notes). The sanction detection rate in 2010/11 was 28 per cent, the same as for the previous year. The overall number of offences recorded by the police fell by four per cent between 2009/10 and 2010/11 with a corresponding fall of four per cent in the total number of sanction detections (Table 2a). The overall sanction detection rate was 28 per cent in 2010/11 with detections by means of a charge or summons accounting for 16 per cent and cautions accounting for a further 6 per cent (Table 2b). Compared with 2009/10, the actual number of offences detected fell for all the detection methods with the exception of charge and summons, reflecting the overall fall in the number of offences recorded. However, there were some differences in trends for the different types of disposal used to detect crimes. The number of offences detected by charge or summons was up by 1 per cent whilst the contribution to the overall detection rate due to this disposal type was actually up by 0.9 percentage points. The number of cautions was down by 12 per cent and its contribution to the detection rate was down by 0.5 percentage points (Table 3). The disposal method showing the largest percentage fall between 2009/10 and 2010/11 was PNDs (down 16% with a 0.3 percentage point decrease in its contribution to the detection rate). Another notable decline was in offences detected by the issuing of a Cannabis Warning, which fell by eight per cent (0.1 percentage point decrease in its contribution to the detection rate) (Table 3). There have been considerable changes in the use of Cannabis Warnings since the introduction of police powers to issue PNDs for cannabis possession came into effect on 26 January 2009. There were 1,037 PNDs issued for drug offences in 2008/09 compared with 14,570 in 2010/11. Over the same period, Cannabis Warnings fell from 107,241 in 2008/09 to 80,658 in 2010/11. Possession of cannabis and other drug offences generally only come to light as a result of police activity and the detection rate for drug offences is always high (ranging between 94 and 95 per cent in the last five years)(Table 4). Less than one per cent of all detections comprised non-sanction detections. However, there has been a marked rise in the number of recorded non-sanction detections since 2008/09, accounted for by special arrangements that allow some forces piloting Youth Restorative Disposals (YRDs) to record them under this category. Non-sanction detections have risen from 2,906 in 2008/09 to 6,934 in
2010/11 (Table 3). The eight pilot forces account for two-thirds of all non-sanction detections recorded in 2010/11 (see Notes and Section 3 of the User Guide).
## 2.4 Detection Rates By Offence Group
The pattern of variation in detection rates by offence group was consistent with previous years. Within the various offence groups, the detection rate remained highest for drug offences. This reflects the fact that in a high proportion of these cases the offence only comes to light when the police apprehend an offender. In addition, it is reasonably simple to clear up a crime of cannabis possession (the largest category of drug offence) by issuing a Cannabis Warning to the offender, which may be done immediately without requiring a visit to a police station. In contrast, detection rates are lower for crimes such as offences against vehicles, where the offence generally only comes to light some time after it has been committed and the offender/s have left the scene. Such offences are more challenging to investigate and detect and these factors should be kept in mind when comparing differences in rates between offence groups. The sanction detection rates for each of the main offence groups in 2010/11 can be seen in Figure 2.1.
England and Wales, Recorded crime
2009/10
2010/11
%
change
2009/10
2010/11
%
change
2009/10
2010/11
% point
change
Number of offences
Number of sanction detections
Sanction detection rate (%)
Violence against the person
871,419
821,957
-5.7
387,348
365,375
-5.7
44.5
44.5
0.0
Sexual offences
54,355
54,982
1.2
16,237
16,465
1.4
29.9
29.9
0.1
Robbery
75,105
76,179
1.4
15,382
15,684
2.0
20.5
20.6
0.1
Burglary
540,660
522,640
-3.3
68,788
69,365
0.8
12.7
13.3
0.5
Offences against vehicles
494,894
449,681
-9.1
52,474
49,757
-5.2
10.6
11.1
0.5
Other theft offences
1,037,325
1,078,727
4.0
251,116
241,971
-3.6
24.2
22.4
-1.8
Fraud and forgery
152,241
145,841
-4.2
37,040
34,596
-6.6
24.3
23.7
-0.6
Criminal damage
806,647
701,003
-13.1
108,474
96,230
-11.3
13.4
13.7
0.3
Drug offences
235,596
232,216
-1.4
221,204
217,270
-1.8
93.9
93.6
-0.3
Other offences
70,130
66,871
-4.6
48,316
46,338
-4.1
68.9
69.3
0.4
Total
4,338,372
4,150,097
-4.3
1,206,379
1,153,051
-4.4
27.8
27.8
0.0
In all of the offence groups (except drug offences), the greatest proportion of offences detected was by means of a charge or summons. A large number of drug offences are detected by means of a Cannabis Warning, which can be issued to the offender immediately (although the number detected by this method was only slightly higher than the number of charges and summons). Detections where an offender asks for offences to be taken into consideration are most prominent in burglaries and offences against vehicles. An offence is deemed to be taken into consideration if the offender admits the crime and asks for it to be taken into consideration by a court (TIC) and where there is additional verifiable information linking that offender to the crime. There remains a very low use of non-sanction detections across all crime types (Table 2b).
England and Wales, 2010/11 Recorded crime
Charge/
summons
Cautions
TICs1
PNDs2
Cannabis
Warnings
Non-sanction
detections3
Total
sanction
detections
Offence group
Total
recorded
crime
Number of detections
Violence against the person
821,957
365,375
240,304
97,392
194
27,485
n/a
2,505
Sexual offences
54,982
16,465
14,103
2,264
90
8
n/a
109
Robbery
76,179
15,684
14,647
360
677
0
n/a
13
Burglary
522,640
69,365
38,010
3,437
27,901
17
n/a
59
Offences against vehicles
449,681
49,757
23,248
3,785
22,709
15
n/a
47
Other theft offences
1,078,727
241,971
145,041
44,302
14,985
37,643
n/a
2,603
Fraud and forgery
145,841
34,596
23,708
6,636
4,168
84
n/a
190
Criminal damage
701,003
96,230
57,927
28,813
3,446
6,044
n/a
1,212
Drug offences
232,216
217,270
79,211
42,690
141
14,570
80,658
132
Other offences
66,871
46,338
38,891
7,091
146
210
n/a
64
Total
4,150,097
1,153,051
675,090
236,770
74,457
86,076
80,658
6,934
Detection rate (%)
Violence against the person
44.5
29.2
11.8
0.0
3.3
n/a
0.3
Sexual offences
29.9
25.7
4.1
0.2
0.0
n/a
0.2
Robbery
20.6
19.2
0.5
0.9
0.0
n/a
0.0
Burglary
13.3
7.3
0.7
5.3
0.0
n/a
0.0
Offences against vehicles
11.1
5.2
0.8
5.1
0.0
n/a
0.0
Other theft offences
22.4
13.4
4.1
1.4
3.5
n/a
0.2
Fraud and forgery
23.7
16.3
4.6
2.9
0.1
n/a
0.1
Criminal damage
13.7
8.3
4.1
0.5
0.9
n/a
0.2
Drug offences
93.6
34.1
18.4
0.1
6.3
34.7
0.1
Other offences
69.3
58.2
10.6
0.2
0.3
n/a
0.1
Total
27.8
16.3
5.7
1.8
2.1
1.9
0.2
1. Offences asked to be taken into consideration by a court. 2. Penalty Notices for Disorder (PNDs). 3. Includes data on Youth Restorative Disposals (YRDs) submitted to the Home Office as non-sanction detections from pilots in eight police force areas (Avon and Somerset, Cumbria, Greater Manchester, Lancashire, Metropolitan, Norfolk, North Wales and Nottinghamshire). n/a Not applicable.
## 2.5 Trends Over Time
Figure 2.2 shows the overall detection rate since 1988 and the sanction detection rate since 2002/03.
Detection rates fell in the period between 1988 and 1993. In 1998/99, the recorded crime series was extended and the Home Office Counting Rules amended. In addition, in 1999/00, further guidance was issued which tightened the circumstances in which a detection could be recorded. All of these changes led to a decline in detection rates.
Sanction detections are now the preferred measure of detection, with these disposals being limited to circumstances in which some form of sanction is taken against an offender. Following the introduction of National Crime Recording Standard (NCRS) in April 2002, sanction detection rates remained stable between 2002/03 and 2003/04. The rates then rose in successive years between 2004/05 and 2007/08 with an increase of two to three percentage points per year and have remained stable since (Figure 2.2). This rise coincided with the introduction of Cannabis Warnings and PNDs nationally in 2004/05 and the greater emphasis by central government on raising the proportion of crimes detected and the setting of national targets. In 2010/11, 4 per cent of offences were detected by PNDs and Cannabis Warnings combined, a fall from a peak of 4.7 per cent in 2007/08 (Table 3). Table 2 presents trend information by offence group. Key findings include the following:
- Comparing 2002/03 with 2010/11, the overall sanction detection rate has risen from 19
per cent to 28 per cent. The rate rose between 2002/03 and 2007/08 and has been
broadly steady since then.
- The biggest difference in sanction detection rates between 2002/03 and 2010/11 was for
violence against the person. The rate in 2002/03 was 36 per cent and peaked at 49 per cent in 2007/08 before falling back to 44 per cent in 2010/11. The rise can partly be
accounted for by the national introduction of PNDs in 2004/05. At the time of peak usage
of PNDs in 2006/07 and 2007/08, these disposals made a seven percentage point contribution to the overall detection rate for violence against the person (Table 4).
- Detection rates for drugs and 'Other offences' have remained relatively high since
2002/03. This reflects the fact that many of these offences come to light as a result of an offender being apprehended.
Compared with 2002/03, sanction detection rates were higher in 2010/11 for all the main offence groups with the exception of sexual offences (down by two percentage points) and 'Other offences' (down by one percentage point). The Sexual Offences Act 2003, introduced in May 2004, altered the definitions of sexual offences and may have influenced the detection rate. Within sexual offences, sanction detection rates for the rape of a female were down six percentage points when comparing
2002/03 with 2010/11. Rape offences are known to be under-reported and steps are being taken to encourage more victims to report offences. Additionally, over the past two years forces have reported taking some additional steps to improve their recording of rape and other sexual offences.
## 2.6 Trends In Methods Of Detection
Figure 2.3 shows the shift away from non-sanction detections as a result of the new rules in 2007/08, which significantly limited the occasions for which such disposals could be applied. Several forces had already made the decision to move away from non-sanction detection even prior to the formal change in rules. The largest proportion of disposal method by sanction detection is accounted for by a charge or summons followed by cautions. The chart also illustrates the increase in the issuing of PNDs and Cannabis Warnings since their introduction nationally in 2004/05, although both of these methods have showed decreases since 2007/08 (see Table 3 for further detail).
The proportion of offences detected by charge or summons in 2010/11 was 16 per cent compared with 13 per cent in 2002/03, while the detection rate by cautions was 6 per cent in 2010/11 compared with 4 per cent in 2002/03. The shift in the use of non-sanction detection is also illustrated (from a 5% detection rate in 2002/03 to 0.2% in 2009/10) (Table 3). Table 4 shows the number of detections and the detection rate by offence group and method of detection between 2005/06 and 2010/11. The proportion of offences detected by charge or summons remained stable for the majority of the main offence groups. Notable exceptions were the charge or summons detection rates for violence against the person offences, which increased from 25 per cent in 2005/06 to 29 per cent in 2010/11 and robbery, which rose from 16 per cent in 2005/06 to 19 per cent in 2010/11.
While the overall sanction detection rate for drug offences was 94 per cent in 2010/11, there have been considerable changes in the method of detection in recent years, in part reflecting changes to police powers over time.
- The proportion of drug offences dealt with by the issue of a caution fell from 23 per cent in
2005/06 to 18 per cent in 2010/11.
- The use of Cannabis Warnings increased from their introduction in 2004/05 to a peak in
2007/08 when 45 per cent of all drug offences were detected by this method. Since then
the use of Cannabis Warnings has fallen to 35 per cent in 2010/11.
- PNDs for cannabis possession have been available since January 2009 and in 2009/10,
13,490 were issued. This figure has risen to 14,750 in 2010/11 and is thought to have contributed to the fall in Cannabis Warnings issued.
| | Numbers and percentages | England and Wales, Recorded crime |
|----------------------------------------------|------------------------------------------------------------------------------|-------------------------------------|
| Offence | 2009/10 | 2010/11 |
| Number of | Number of | Sanction |
| sanction | detection | |
| offences | | |
| 4 | | |
| detections | | |
| rate % | | |
| 5 | | |
| 1 | Murder | |
| 4.1 | Manslaughter Homicide | 618 |
| 4.2 | Infanticide | |
| 2 | Attempted murder | 591 |
| 4.3 | Intentional destruction of viable unborn child | 3 |
| 4.4 | Causing death by dangerous driving | 296 |
| 4.6 | Causing death by careless driving when under the influence of drink or drugs | 36 |
| 4.8 | Causing death by careless or inconsiderate driving | 188 |
| 5A | Inflicting grievous bodily harm (GBH) with intent | 22,792 |
| 5B | Use of substance or object to endanger life | 416 |
| 5C | Possession of items to endanger life | 331 |
| 8F | Inflicting grievous bodily harm (GBH) without intent | 16,483 |
| 8H | Racially or religiously aggravated inflicting GBH without intent | 224 |
| 37.1 | Causing death by aggravated vehicle taking | 5 |
| 4.7 | Causing or allowing death of a child or vulnerable person | 3 |
| 4.9 | Causing death by driving: unlicensed drivers, etc. | 15 |
| 4.10 | Corporate manslaughter | 1 |
| 8G | Actual bodily harm (ABH) and other injury | 355,968 |
| 8J | Racially or religiously aggravated ABH and other injury | 3,521 |
| 8K | Poisoning or female genital mutilation | 138 |
| Violence against the person - with injury | 401,629 | 160,758 |
| 3A | Conspiracy to murder | 45 |
| 3B | Threats to kill | 9,525 |
| 6 | Endangering railway passengers | 231 |
| 7 | Endangering life at sea | 6 |
| 10A | Possession of firearms with intent | 1,586 |
| 10C | Possession of other weapons | 11,953 |
| 10D | Possession of article with blade or point | 10,888 |
| 8L | Harassment | 52,962 |
| 9A | Public fear, alarm or distress | 126,604 |
| 8M | Racially or religiously aggravated harassment | 2,370 |
| 9B | Racially or religiously aggravated public fear, alarm or distress | 23,227 |
| 11 | Cruelty to and neglect of children | 6,611 |
| 12 | Abandoning a child under the age of two years | 9 |
| 13 | Child abduction | 559 |
| 14 | Procuring illegal abortion | 3 |
| 104 | Assault without injury on a constable | 15,781 |
| 105A | Assault without injury | 203,102 |
| 105B | Racially or religiously aggravated assault without injury | 4,328 |
| Violence against the person - without injury | 469,790 | 226,590 |
| TOTAL VIOLENCE AGAINST THE PERSON OFFENCES | 871,419 | 387,348 |
% point change
in sanction
Number of
Number of
Sanction
detection rate
sanction
detection
offences4
between
detections
rate %5
2009/10 and
2010/11 6
| Numbers and percentages | England and Wales, Recorded crime |
|-----------------------------------------------------|------------------------------------------------------------|
| % point change | |
| Offence | 2009/10 |
| in sanction | |
| Number of | Number of |
| detection rate | |
| sanction | detection |
| offences | |
| 4 | |
| offences | |
| 4 | |
| between | |
| detections | detections |
| rate % | |
| 5 | |
| rate % | |
| 5 | |
| 2009/10 and | |
| 2010/11 | |
| 6 | |
| 17A Sexual assault on a male aged 13 and over | |
| 1,208 | |
| 314 | 26 |
| 17B Sexual assault on a male child under 13 | |
| 1,054 | |
| 347 | 33 |
| 19C Rape of a female aged 16 and over | |
| 9,038 | |
| 1,781 | 20 |
| 19D Rape of a female child under 16 | |
| 2,909 | |
| 843 | 29 |
| 19E Rape of a female child under 13 | |
| 1,964 | |
| 801 | 41 |
| Rape of a female | |
| 13,911 | 3,425 |
| 25 | 14,624 |
| 19F Rape of a male aged 16 and over | |
| 368 | |
| 71 | 19 |
| 19G | Rape of a male child under 16 |
| 241 | |
| 95 | 39 |
| 19H Rape of a male child under 13 | |
| 564 | |
| 206 | 37 |
| Rape of a male | |
| 1,173 | 372 |
| 32 | 1,310 |
| 20A Sexual assault on a female aged 13 and over | |
| 15,694 | |
| 4,218 | 27 |
| 20B Sexual assault on a female child under 13 | |
| 4,149 | |
| 1,451 | 35 |
| 21 | Sexual activity involving a child under 13 |
| 1,819 | |
| 613 | 34 |
| 22B Sexual activity involving a child under 16 | |
| 3,986 | |
| 1,348 | 34 |
| 22A Causing sexual activity without consent | |
| 129 | |
| 31 | 24 |
| 70 | Sexual activity, etc. with a person with a mental disorder |
| 124 | |
| 42 | 34 |
| 71 | Abuse of children through prostitution and pornography |
| 134 | |
| 58 | 43 |
| 72 | Trafficking for sexual exploitation |
| 58 | |
| 35 | 60 |
| Most serious sexual crime | |
| 43,439 | 12,254 |
| 28 | |
| 45,326 | 12,906 |
| 28 | 0 |
| 23 | Incest or familial sexual offences |
| 1,111 | |
| 422 | 38 |
| 24 | Exploitation of prostitution |
| 148 | |
| 101 | 68 |
| 27 | Soliciting for the purposes of prostitution |
| 1,190 | |
| 1,077 | 91 |
| 73 | Abuse of position of trust of a sexual nature |
| 185 | |
| 91 | 49 |
| 88A Sexual grooming | |
| 397 | |
| 152 | 38 |
| 88C | Other miscellaneous sexual offences |
| 354 | |
| 97 | 27 |
| 88D | Unnatural sexual offences |
| 15 | |
| 10 | - |
| 88E | Exposure and voyeurism |
| 7,516 | |
| 2,033 | 27 |
| Other sexual offences | |
| 10,916 | 3,983 |
| 36 | 9,656 |
| TOTAL SEXUAL OFFENCES | 54,355 |
| 34A Robbery of business property | |
| 8,182 | |
| 2,363 | 29 |
| 34B Robbery of personal property | |
| 66,923 | |
| 13,019 | 19 |
| TOTAL ROBBERY OFFENCES | |
| 75,105 | 15,382 |
| 20 | |
| 76,179 | 15,684 |
| 21 | 0 |
| Numbers and percentages | England and Wales, Recorded crime |
|----------------------------------------------------|-------------------------------------------------------------------------|
| % point change | |
| Offence | 2009/10 |
| in sanction | |
| Number of | Number of |
| detection rate | |
| sanction | detection |
| offences | |
| 4 | |
| offences | |
| 4 | |
| between | |
| detections | detections |
| rate % | |
| 5 | |
| rate % | |
| 5 | |
| 2009/10 and | |
| 2010/11 | |
| 6 | |
| 28A | Burglary in a dwelling |
| 37,019 | 17 |
| 208,469 | |
| 38,154 | 18 |
| 28B | Attempted burglary in a dwelling |
| 3,850 | 9 |
| 42,292 | |
| 4,135 | 10 |
| 28C | Distraction burglary in a dwelling |
| 931 | 13 |
| 5,480 | |
| 1,017 | 19 |
| 28D | Attempted distraction burglary in a dwelling |
| 133 | 18 |
| 544 | |
| 115 | 21 |
| 29 | Aggravated burglary in a dwelling |
| 1,353 | |
| 490 | 36 |
| 1,363 | |
| 487 | 36 |
| Total burglary in a dwelling | |
| 268,610 | 42,423 |
| 16 | |
| 258,148 | 43,908 |
| 17 | |
| 1 | |
| 30A | Burglary in a building other than a dwelling |
| 24,336 | 10 |
| 230,839 | |
| 23,514 | 10 |
| 30B | Attempted burglary in a building other than a dwelling |
| 1,982 | 6 |
| 33,518 | |
| 1,893 | 6 |
| 31 | Aggravated burglary in a building other than a dwelling |
| 152 | |
| 47 | 31 |
| 135 | |
| 50 | 37 |
| Total burglary in a building other than a dwelling | 272,050 |
| TOTAL BURGLARY OFFENCES | 540,660 |
| 37.2 | Aggravated vehicle taking |
| 8,000 | |
| 4,577 | 57 |
| 45 | Theft from a vehicle |
| 339,188 | |
| 29,341 | 9 |
| 48 | Theft or unauthorised taking of motor vehicle |
| 109,687 | |
| 15,165 | 14 |
| 126 | Interfering with a motor vehicle |
| 38,019 | |
| 3,391 | 9 |
| TOTAL OFFENCES AGAINST VEHICLES | |
| 494,894 | 52,474 |
| 11 | 449,681 |
| 38 | Profiting from or concealing knowledge of the proceeds of crime |
| 2,609 | |
| 1,853 | 71 |
| 39 | Theft from the person |
| 92,247 | |
| 3,285 | 4 |
| 40 | Theft in a dwelling other than from automatic machine or meter |
| 53,339 | |
| 7,876 | 15 |
| 41 | Theft by an employee |
| 13,170 | |
| 7,056 | 54 |
| 42 | Theft of mail |
| 3,099 | |
| 181 | 6 |
| 43 | Dishonest use of electricity |
| 1,736 | |
| 1,219 | 70 |
| 44 | Theft or unauthorised taking of a pedal cycle |
| 109,846 | |
| 5,656 | 5 |
| 46 | Shoplifting |
| 307,824 | |
| 189,181 | 61 |
| 47 | Theft from automatic machine or meter |
| 7,753 | |
| 1,359 | 18 |
| 49 | Other theft or unauthorised taking |
| 436,248 | |
| 24,553 | 6 |
| 54 | Handling stolen goods |
| 9,454 | |
| 8,897 | 94 |
| TOTAL OTHER THEFT OFFENCES | |
| 1,037,325 | 251,116 |
| 24 | 1,078,727 |
| 51 | Fraud by company director |
| 85 | |
| 39 | 46 |
| 52 | False accounting |
| 155 | |
| 58 | 37 |
| 53B | Preserved other fraud and repealed fraud offences |
| (pre-Fraud Act 2006) | |
| 74,064 | |
| 8,627 | 12 |
| 53C | Fraud by false representation: cheque, plastic card and online accounts |
| 27,122 | |
| 8,166 | 30 |
| 53D | Fraud by false representation: other frauds |
| 39,619 | |
| 12,869 | 32 |
| 53E | Fraud by failing to disclose information |
| 365 | |
| 269 | 74 |
| 53F | Fraud by abuse of position |
| 1,160 | |
| 883 | 76 |
| 53G | Obtaining services dishonestly |
| 1,042 | |
| 477 | 46 |
| 53H | Making or supplying articles for use in fraud |
| 862 | |
| 184 | 21 |
| 53J | Possession of articles for use in fraud |
| 1,564 | |
| 1,077 | 69 |
| Numbers and percentages | England and Wales, Recorded crime |
|--------------------------------------------------------------------------------|-----------------------------------------------------------------|
| % point change | |
| Offence | 2009/10 |
| in sanction | |
| Number of | Number of |
| detection rate | |
| sanction | detection |
| offences | |
| 4 | |
| offences | |
| 4 | |
| between | |
| detections | detections |
| rate % | |
| 5 | |
| rate % | |
| 5 | |
| 2009/10 and | |
| 2010/11 | |
| 6 | |
| 55 | Bankruptcy and insolvency offences |
| 13 | |
| 9 | - |
| 60 | Forgery or use of false drug prescription |
| 343 | |
| 222 | 65 |
| 61 | Other forgery |
| 2,526 | |
| 1,213 | 48 |
| 61A | Possession of false documents |
| 2,263 | |
| 2,059 | 91 |
| 814 | Vehicle/driver document fraud |
| 1,058 | |
| 888 | 84 |
| TOTAL FRAUD AND FORGERY OFFENCES | 152,241 |
| 56A | Arson endangering life |
| 3,623 | |
| 1,027 | 28 |
| 3,324 | |
| 1,028 | 31 |
| 56B | Arson not endangering life |
| 28,957 | |
| 1,898 | 7 |
| 25,789 | |
| 1,824 | 7 |
| 58A Criminal damage to a dwelling | |
| 198,623 | |
| 30,399 | 15 |
| 172,922 | |
| 27,134 | 16 |
| 58B Criminal damage to a building other than a dwelling | |
| 88,687 | |
| 17,012 | 19 |
| 75,686 | |
| 14,949 | 20 |
| 58C Criminal damage to a vehicle | |
| 336,924 | |
| 32,169 | 10 |
| 289,048 | |
| 27,243 | 9 |
| 58D Other criminal damage | |
| 140,584 | |
| 23,509 | 17 |
| 125,743 | |
| 21,532 | 17 |
| 58E Racially or religiously aggravated criminal damage to a dwelling | 849 |
| 58F Racially or religiously aggravated criminal damage to a building other | |
| than a dwelling | 663 |
| 58G | Racially or religiously aggravated criminal damage to a vehicle |
| 1,135 | |
| 309 | 27 |
| 866 | |
| 241 | 28 |
| 58H Racially or religiously aggravated other criminal damage | |
| 606 | |
| 135 | 22 |
| 537 | |
| 137 | 26 |
| 59 | Threat etc. to commit criminal damage |
| 5,996 | |
| 1,713 | 29 |
| 5,913 | |
| 1,865 | 32 |
| TOTAL CRIMINAL DAMAGE OFFENCES | 806,647 |
| TOTAL PROPERTY CRIME | 3,031,767 |
| 92A Trafficking in controlled drugs | 33,234 |
| 92C Other drug offences | 1,122 |
| 92D Possession of controlled drugs (excluding cannabis) | 38,442 |
| 92E Possession of controlled drugs (cannabis) | 162,798 |
| TOTAL DRUG OFFENCES | 235,596 |
| 10B | Possession of firearms offences |
| 4,072 | |
| 3,495 | 86 |
| 81 | Other firearms offences |
| 252 | |
| 212 | 84 |
| 15 | Concealing an infant death close to birth |
| 6 | |
| 3 | - |
| 26 | Bigamy |
| 60 | |
| 39 | 65 |
| 33 | Going equipped for stealing, etc. |
| 3,655 | |
| 2,908 | 80 |
| 4,113 | |
| 3,304 | 80 |
| 35 | Blackmail |
| 1,452 | |
| 330 | 23 |
| 1,494 | |
| 356 | 24 |
| 36 | Kidnapping |
| 1,860 | |
| 764 | 41 |
| 1,720 | |
| 746 | 43 |
| 62 | Treason |
| 0 | |
| 0 | - |
| 0 | |
| 0 | - |
| 63 | Treason felony |
| 0 | |
| 0 | - |
| 0 | |
| 0 | - |
| 64 | Riot |
| 0 | |
| 0 | - |
| 1 | |
| 1 | - |
| 65 | Violent disorder |
| 859 | |
| 539 | 63 |
| 702 | |
| 425 | 61 |
| 66 | Other offences against the State or public order |
| 37,574 | |
| 26,124 | 70 |
| 36,583 | |
| 25,241 | 69 |
| 67 | Perjury |
| 184 | |
| 136 | 74 |
| 338 | |
| 279 | 83 |
| 68 | Libel |
| 0 | |
| 0 | - |
| 4 | |
| 0 | - |
| | Numbers and percentages | England and Wales, Recorded crime |
|-------------------------------------|---------------------------------------------------------------|-------------------------------------|
| Offence | 2009/10 | 2010/11 |
| Number of | Number of | Sanction |
| sanction | detection | |
| offences | | |
| 4 | | |
| detections | | |
| rate % | | |
| 5 | | |
| 69 | Offender Management Act offences | |
| 533 | | |
| 331 | 62 | |
| 516 | | |
| 384 | 74 | 12 |
| 75 | Betting, gaming and lotteries | |
| 21 | | |
| 20 | - | |
| 13 | | |
| 6 | - | - |
| 76 | Aiding suicide | |
| 17 | | |
| 1 | - | |
| 7 | | |
| 0 | - | - |
| 78 | Immigration offences | |
| 411 | | |
| 353 | 86 | |
| 444 | | |
| 350 | 79 | -7 |
| 79 | Perverting the course of justice | |
| 7,997 | | |
| 4,282 | 54 | |
| 6,895 | | |
| 3,709 | 54 | 0 |
| 80 | Absconding from lawful custody | |
| 557 | | |
| 450 | 81 | |
| 498 | | |
| 420 | 84 | 4 |
| 82 | Customs and revenue offences | |
| 10 | | |
| 8 | - | |
| 3 | | |
| 4 | - | - |
| 83 | Bail offences | |
| 4 | | |
| 2 | - | |
| 6 | | |
| 5 | - | - |
| 84 | Trade descriptions, etc. | |
| 809 | | |
| 727 | 90 | |
| 481 | | |
| 428 | 89 | -1 |
| 85 | Health and safety offences | |
| 6 | | |
| 2 | - | |
| 2 | | |
| 1 | - | - |
| 86 | Obscene publications etc. | |
| 3,211 | | |
| 2,446 | 76 | |
| 3,291 | | |
| 2,660 | 81 | 5 |
| 87 | Protection from eviction | |
| 81 | | |
| 10 | 12 | |
| 73 | | |
| 9 | 12 | 0 |
| 89 | Adulteration of food | |
| 4 | | |
| 4 | - | |
| 8 | | |
| 4 | - | - |
| 90 | Other knives offences | |
| 13 | | |
| 11 | - | |
| 0 | | |
| 1 | - | - |
| 91 | Public health offences | |
| 488 | | |
| 36 | 7 | |
| 397 | | |
| 33 | 8 | 1 |
| 94 | Planning laws | |
| 0 | | |
| 1 | - | |
| 1 | | |
| 1 | - | - |
| 95 | Disclosure, obstruction, false or misleading statements, etc. | |
| 426 | | |
| 382 | 90 | |
| 341 | | |
| 300 | 88 | -2 |
| 99 | Other notifiable or triable-either-way offences | |
| 1,629 | | |
| 1,059 | 65 | |
| 1,561 | | |
| 912 | 58 | -7 |
| 802 | Dangerous driving | |
| 3,939 | | |
| 3,641 | 92 | |
| 3,465 | | |
| 3,205 | 92 | 0 |
| TOTAL OTHER MISCELLANEOUS OFFENCES | 70,130 | 48,316 |
| TOTAL RECORDED CRIME - ALL OFFENCES | | |
| 4,338,372 | 1,206,379 | |
| 28 | | |
| 4,150,097 | 1,153,051 | |
| 28 | 0 | |
1. Offences detected in the current year may have been initially recorded in an earlier year and for this reason some percentages may exceed 100. 2. Numbers of recorded crimes and percentages will be affected by changes in reporting and recording. 3. Some forces have revised their 2008/09 data and totals may not agree with those previously published.
4. Total recorded crime whether detected or not.
5. The number of crimes that are cleared up by a sanction detection divided by the total number of recorded offences. 6. Percentage point change based on unrounded figures. - Indicates that data are not reported because the base number of offences is less than 50.
% point change
in sanction
Number of
Number of
Sanction
detection rate
sanction
detection
offences4
between
detections
rate %5
2009/10 and
2010/11 6
| Percentages | England and Wales, Recorded crime |
|----------------------------------------------|-------------------------------------|
| Offence | |
| 2002/03 | 2003/04 |
| % point | |
| change | |
| 2009/10 to | |
| 2010/11 | |
| 1 | |
| Violence against the person - with injury | 34 |
| Violence against the person - without injury | 37 |
| Total violence against the person | 36 |
| Most serious sexual crime | 31 |
| of which: | |
| Sexual assault on a female | 30 |
| 28 | 28 |
| 1 | |
| Rape of a female | 30 |
| 25 | 25 |
| -1 | |
| Other sexual offences | 34 |
| Total sexual offences | 32 |
| Total robbery | 17 |
| Burglary in a dwelling | 13 |
| 17 | 16 |
| 1 | |
| Burglary in a building other than a dwelling | 10 |
| 11 | 11 |
| 0 | |
| Total burglary | 11 |
| Theft of a motor vehicle | 13 |
| 15 | 16 |
| 0 | |
| Theft from a vehicle | 6 |
| 9 | 9 |
| 1 | |
| Interfering with a motor vehicle | 6 |
| 9 | 9 |
| 1 | |
| Total offences against vehicles | 8 |
| Other theft offences | 19 |
| Fraud and forgery | 23 |
| Criminal damage | 10 |
| Drug offences | 86 |
| 94 | 94 |
| 0 | |
| Other offences | 70 |
| TOTAL | 19 |
1. Percentage point change based on unrounded figures.
England and Wales, Recorded crime
Method of detection
2002/03
2003/04
2004/05
2005/06
2006/07
2007/08
2008/09
2009/10
2010/11
%
Number of detections
change
Charge/summons
802,469
783,056
717,691
725,375
693,808
674,307
698,464
666,946
675,090
1.2
Cautions
213,020
225,405
249,390
310,934
357,898
358,295
319,161
269,732
236,770
-12.2
TICs1
111,541
105,648
106,346
117,579
121,417
107,174
102,046
79,597
74,457
-6.5
PNDs2 3
..
3,045
43,526
105,695
139,735
129,018
108,305
102,771
86,076
-16.2
Cannabis Warnings3
..
..
40,138
62,586
80,653
103,804
107,241
87,333
80,658
-7.6
Total sanction detections
1,127,030
1,117,154
1,157,091
1,322,169
1,393,511
1,372,598
1,335,217
1,206,379
1,153,051
-4.4
Non-sanction detections4 5
273,735
289,311
284,321
193,809
81,904
865
2,906
6,834
6,934
1.5
All detections
1,400,765
1,406,465
1,441,412
1,515,978
1,475,415
1,373,463
1,338,123
1,213,213
1,159,985
-4.4
Total number of offences6
5,974,960
6,013,759
5,637,511
5,555,172
5,427,558
4,952,276
4,702,698
4,338,372
4,150,097
-4.3
Detection rates 7
% point
change
Charge/summons
13.4
13.0
12.7
13.1
12.8
13.6
14.9
15.4
16.3
0.9
Cautions
3.6
3.7
4.4
5.6
6.6
7.2
6.8
6.2
5.7
-0.5
TICs1
1.9
1.8
1.9
2.1
2.2
2.2
2.2
1.8
1.8
0.0
PNDs2 3
..
0.1
0.8
1.9
2.6
2.6
2.3
2.4
2.1
-0.3
Cannabis Warnings3
..
..
0.7
1.1
1.5
2.1
2.3
2.0
1.9
-0.1
Total sanction detections
18.9
18.6
20.5
23.8
25.7
27.7
28.4
27.8
27.8
0.0
Non-sanction detections4 5
4.6
4.8
5.0
3.5
1.5
0.0
0.1
0.2
0.2
0.0
All detections
23.4
23.4
25.6
27.3
27.2
27.7
28.5
28.0
28.0
0.0
1. Offences asked to be taken into consideration by a court. 2. Penalty Notices for Disorder (formerly known as fixed penalty notices) were introduced in several forces in 2003/04 and nationally in 2004/05. 3. Cannabis Warnings for possession of cannabis were introduced in 2004/05. Since 26 January 2009, Penalty Notices for Disorder (PNDs) can also be given for an offence of cannabis possession. Up to the end of March 2009 such PNDs were counted in the same category as Cannabis Warnings. 4. Includes data on Youth Restorative Disposals (YRDs) submitted to the Home Office as non-sanction detections in 2010/11 from pilots in eight police force areas (Avon & Somerset, Cumbria, Greater Manchester, Lancashire, Metropolitan, Norfolk, North Wales, Nottinghamshire). The pilot was introduced in 2008/09. 5. From 1 April 2007, new rules governing non-sanction detections significantly limited the occasions for which such administrative disposals can be applied.
6. Total recorded crime whether detected or not. 7. The number of crimes that are cleared up by a detection divided by the total number of recorded offences. .. Not available.
Violence against the person
Method of detection
2005/06
2006/07
2007/08
2008/09
2009/10
2010/11
Number of detections
Charge/summons
259,956
254,443
245,298
247,172
240,807
240,304
Cautions
125,382
155,887
154,732
131,074
110,647
97,392
TICs1
528
603
546
311
241
194
PNDs2
63,065
74,948
66,276
47,973
35,653
27,485
Total sanction detections
448,931
485,881
466,852
426,530
387,348
365,375
Non-sanction detections
119,587
45,562
282
928
2,384
2,505
All detections
568,518
531,443
467,134
427,458
389,732
367,880
Total recorded offences
1,059,583
1,046,167
961,431
903,477
871,419
821,957
Detection rate (%)
Charge/summons
25
24
26
27
28
29
Cautions
12
15
16
15
13
12
TICs1
0
0
0
0
0
0
PNDs2
6
7
7
5
4
3
Total sanction detections
42
46
49
47
44
44
Non-sanction detections
11
4
0
0
0
0
All detections
54
51
49
47
45
45
Sexual offences
Method of detection
2005/06
2006/07
2007/08
2008/09
2009/10
2010/11
Number of detections
Charge/summons
15,453
13,863
13,136
13,254
13,689
14,103
Cautions
2,872
2,985
2,972
2,743
2,455
2,264
TICs1
740
172
163
146
82
90
PNDs2
66
47
19
16
11
8
Total sanction detections
19,131
17,067
16,290
16,159
16,237
16,465
Non-sanction detections
2,411
1,299
110
86
107
109
All detections
21,542
18,366
16,400
16,245
16,344
16,574
Total recorded offences
62,080
57,522
53,566
51,429
54,355
54,982
Detection rate (%)
Charge/summons
25
24
25
26
25
26
Cautions
5
5
6
5
5
4
TICs1
1
0
0
0
0
0
PNDs2
0
0
0
0
0
0
Total sanction detections
31
30
30
31
30
30
Non-sanction detections
4
2
0
0
0
0
All detections
35
32
31
32
30
30
Robbery
Method of detection
2005/06
2006/07
2007/08
2008/09
2009/10
2010/11
Number of detections
Charge/summons
15,452
16,809
15,536
15,459
14,367
14,647
Cautions
715
807
657
555
393
360
TICs1
921
936
865
802
622
677
PNDs2
13
1
2
0
0
0
Total sanction detections
17,101
18,553
17,060
16,816
15,382
15,684
Non-sanction detections
914
400
51
21
22
13
All detections
18,015
18,953
17,111
16,837
15,404
15,697
Total recorded offences
98,198
101,376
84,773
80,130
75,105
76,179
Detection rate (%)
Charge/summons
16
17
18
19
19
19
Cautions
1
1
1
1
1
0
TICs1
1
1
1
1
1
1
PNDs2
0
0
0
0
0
0
Total sanction detections
17
18
20
21
20
21
Non-sanction detections
1
0
0
0
0
0
All detections
18
19
20
21
21
21
Burglary
Method of detection
2005/06
2006/07
2007/08
2008/09
2009/10
2010/11
Number of detections
Charge/summons
42,797
40,931
38,480
38,794
36,030
38,010
Cautions
5,731
6,697
5,755
4,881
3,877
3,437
TICs1
35,220
37,005
32,689
34,153
28,855
27,901
PNDs2
102
76
45
20
26
17
Total sanction detections
83,850
84,709
76,969
77,848
68,788
69,365
Non-sanction detections
4,242
2,347
62
35
63
59
All detections
88,092
87,056
77,031
77,883
68,851
69,424
Total recorded offences
645,068
622,012
583,710
581,584
540,660
522,640
Detection rate (%)
Charge/summons
7
7
7
7
7
7
Cautions
1
1
1
1
1
1
TICs1
5
6
6
6
5
5
PNDs2
0
0
0
0
0
0
Total sanction detections
13
14
13
13
13
13
Non-sanction detections
1
0
0
0
0
0
All detections
14
14
13
13
13
13
Offences against vehicles
Method of detection
2005/06
2006/07
2007/08
2008/09
2009/10
2010/11
Number of detections
Charge/summons
34,216
32,931
29,639
28,974
23,821
23,248
Cautions
7,002
7,710
6,962
6,180
4,774
3,785
TICs1
36,196
39,087
34,606
31,876
23,861
22,709
PNDs2
72
68
35
29
18
15
Total sanction detections
77,486
79,796
71,242
67,059
52,474
49,757
Non-sanction detections
4,231
2,490
15
24
75
47
All detections
81,717
82,286
71,257
67,083
52,549
49,804
Total recorded offences
792,821
765,015
656,453
591,853
494,894
449,681
Detection rate (%)
Charge/summons
4
4
5
5
5
5
Cautions
1
1
1
1
1
1
TICs1
5
5
5
5
5
5
PNDs2
0
0
0
0
0
0
Total sanction detections
10
10
11
11
11
11
Non-sanction detections
1
0
0
0
0
0
All detections
10
11
11
11
11
11
Other theft offences
Method of detection
2005/06
2006/07
2007/08
2008/09
2009/10
2010/11
Number of detections
Charge/summons
142,583
132,620
134,374
147,202
137,791
145,041
Cautions
63,077
66,936
64,810
60,277
53,302
44,302
TICs1
19,275
20,782
19,238
19,390
15,785
14,985
PNDs2
26,062
40,593
43,098
45,796
44,238
37,643
Total sanction detections
250,997
260,931
261,520
272,665
251,116
241,971
Non-sanction detections
21,438
10,018
111
1,086
2,511
2,603
All detections
272,435
270,949
261,631
273,751
253,627
244,574
Total recorded offences
1,226,192
1,180,802
1,121,186
1,080,003
1,037,325
1,078,727
Detection rate (%)
Charge/summons
12
11
12
14
13
13
Cautions
5
6
6
6
5
4
TICs1
2
2
2
2
2
1
PNDs2
2
3
4
4
4
3
Total sanction detections
20
22
23
25
24
22
Non-sanction detections
2
1
0
0
0
0
All detections
22
23
23
25
24
23
Fraud and forgery
Method of detection
2005/06
2006/07
2007/08
2008/09
2009/10
2010/11
Number of detections
Charge/summons
36,952
29,972
26,314
27,429
23,724
23,708
Cautions
9,727
10,405
10,639
9,173
7,622
6,636
TICs1
17,087
13,523
10,784
8,531
5,563
4,168
PNDs2
172
166
75
108
131
84
Total sanction detections
63,938
54,066
47,812
45,241
37,040
34,596
Non-sanction detections
3,775
1,836
27
77
126
190
All detections
67,713
55,902
47,839
45,318
37,166
34,786
Total recorded offences
232,774
199,652
155,439
163,159
152,241
145,841
Detection rate (%)
Charge/summons
16
15
17
17
16
16
Cautions
4
5
7
6
5
5
TICs1
7
7
7
5
4
3
PNDs2
0
0
0
0
0
0
Total sanction detections
27
27
31
28
24
24
Non-sanction detections
2
1
0
0
0
0
All detections
29
28
31
28
24
24
Criminal damage
Method of detection
2005/06
2006/07
2007/08
2008/09
2009/10
2010/11
Number of detections
Charge/summons
75,544
72,189
66,687
65,404
59,533
57,927
Cautions
47,782
55,850
54,889
46,509
35,663
28,813
TICs1
6,961
8,693
7,671
6,374
4,251
3,446
PNDs2
14,618
22,485
18,814
13,097
9,027
6,044
Total sanction detections
144,905
159,217
148,061
131,384
108,474
96,230
Non-sanction detections
28,717
13,157
92
576
1,304
1,212
All detections
173,622
172,374
148,153
131,960
109,778
97,442
Total recorded offences
1,184,349
1,185,040
1,036,356
936,361
806,647
701,003
Detection rate (%)
Charge/summons
6
6
6
7
7
8
Cautions
4
5
5
5
4
4
TICs1
1
1
1
1
1
0
PNDs2
1
2
2
1
1
1
Total sanction detections
12
13
14
14
13
14
Non-sanction detections
2
1
0
0
0
0
All detections
15
15
14
14
14
14
Drug offences
Method of detection
2005/06
2006/07
2007/08
2008/09
2009/10
2010/11
Number of detections
Charge/summons
59,506
58,832
65,153
72,967
76,637
79,211
Cautions
41,550
41,647
48,013
49,418
43,534
42,690
TICs1
336
399
429
262
210
141
PNDs2
446
396
358
1,037
13,490
14,570
Cannabis Warnings
62,586
80,653
103,804
107,241
87,333
80,658
Total sanction detections
164,424
181,927
217,757
230,925
221,204
217,270
Non-sanction detections
5,938
3,180
50
41
182
132
All detections
170,362
185,107
217,807
230,966
221,386
217,402
Total recorded offences
178,479
194,233
229,913
243,536
235,596
232,216
Detection rate (%)
Charge/summons
33
30
28
30
33
34
Cautions
23
21
21
20
18
18
TICs1
0
0
0
0
0
0
PNDs2
0
0
0
0
6
6
Cannabis Warnings3
35
42
45
44
37
35
Total sanction detections
92
94
95
95
94
94
Non-sanction detections
3
2
0
0
0
0
All detections
95
95
95
95
94
94
Other offences
Method of detection
2005/06
2006/07
2007/08
2008/09
2009/10
2010/11
Number of detections
Charge/summons
42,916
41,218
39,690
41,809
40,547
38,891
Cautions
7,096
8,974
8,866
8,351
7,465
7,091
TICs1
315
217
183
201
127
146
PNDs2
1,079
955
296
229
177
210
Total sanction detections
51,406
51,364
49,035
50,590
48,316
46,338
Non-sanction detections
2,556
1,615
65
32
60
64
All detections
53,962
52,979
49,100
50,622
48,376
46,402
Total recorded offences
75,628
75,739
69,449
71,166
70,130
66,871
Detection rate (%)
Charge/summons
57
54
57
59
58
58
Cautions
9
12
13
12
11
11
TICs1
0
0
0
0
0
0
PNDs2
1
1
0
0
0
0
Total sanction detections
68
68
71
71
69
69
Non-sanction detections
3
2
0
0
0
0
All detections
71
70
71
71
69
69
Total offences
Method of detection
2005/06
2006/07
2007/08
2008/09
2009/10
2010/11
Number of detections
Charge/summons
725,375
693,808
674,307
698,464
666,946
675,090
Cautions
310,934
357,898
358,295
319,161
269,732
236,770
TICs1
117,579
121,417
107,174
102,046
79,597
74,457
PNDs2
105,695
139,735
129,018
108,305
102,771
86,076
Cannabis Warnings
62,586
80,653
103,804
107,241
87,333
80,658
Total sanction detections
1,322,169
1,393,511
1,372,598
1,335,217
1,206,379
1,153,051
Non-sanction detections
193,809
81,904
865
2,906
6,834
6,934
All detections
1,515,978
1,475,415
1,373,463
1,338,123
1,213,213
1,159,985
Total recorded offences
5,555,172
5,427,558
4,952,276
4,702,698
4,338,372
4,150,097
Detection rate (%)
Charge/summons
13.1
12.8
13.6
14.9
15.4
16.3
Cautions
5.6
6.6
7.2
6.8
6.2
5.7
TICs1
2.1
2.2
2.2
2.2
1.8
1.8
PNDs2
1.9
2.6
2.6
2.3
2.4
2.1
Cannabis Warnings3
1.1
1.5
2.1
2.3
2.0
1.9
Total sanction detections
23.8
25.7
27.7
28.4
27.8
27.8
Non-sanction detections
3.5
1.5
0.0
0.1
0.2
0.2
All detections
27.3
27.2
27.7
28.5
28.0
28.0
1. Offences asked to be taken into consideration by a court. 2. Penalty Notices for Disorder (formerly known as fixed penalty notices) were introduced in several forces in 2003/04 and nationally in 2004/05.
3. Cannabis Warnings for possession of cannabis were introduced in 2004/05. Since 26 January 2009, Penalty Notices for Disorder (PNDs) can also be given for an offence of cannabis possession. Up to the end of March 2009 such PNDs were counted in the same category as Cannabis Warnings.
## Notes
Detected crimes are those that have been 'cleared up' by the police. Not every case where the police know, or think they know, who committed a crime can be counted as a detection and some crimes are counted as detected although the victim might not be satisfied with the outcome. The police may use one of several methods to count a crime as detected and they fall into two categories.
'Sanction detections' include offences that are cleared up through a formal sanction, i.e. when an offender has:
- been charged or summonsed; - been cautioned, reprimanded or given a final warning; - had an offence taken into consideration; - received a Penalty Notice for Disorder; or - received a warning for cannabis possession (those aged 18 and over who are caught in simple
possession of cannabis can be eligible for such a warning).
Not all sanction detections will necessarily result in a subsequent conviction. In cases detected by 'charge/summons', the Crown Prosecution Service may not take forward proceedings or the offender might be found not guilty at court.
'Non-sanction detections' comprise those where the offence was counted as cleared up but no further action was taken. From 1 April 2007 non-sanction detections can only be claimed for 'indictable-only' offences (those offences that must be tried in a Crown Court) where a Crown Prosecutor is satisfied there is enough evidence to provide a realistic prospect of conviction but has decided not to proceed with the case, or where the case cannot proceed because the offender has died. The figures for non-sanction detections from 2008/09 also include figures for Youth Restorative Disposals (YRDs) that were piloted across eight police forces. YRDs allow officers to deal with lowlevel crime and neighbourhood disorder where it is not considered in the public interest to prosecute. The disposal may be offered to young people aged 10 to 17 years inclusive. The process involves a meeting between the offender and the victim, an apology, and may also include additional action to right the wrong caused (for example, a form of community payback).
With effect from 1 April 2011, police forces may submit to the Home Office the number of offences resolved by means of Restorative Justice. This is currently on a voluntary basis but these figures will feature as non-sanction detections in future bulletins.
Detection rates can be affected by a number of factors (see Section 3 of the User Guide for more information). Care must also be taken when comparing detection data with convictions data published by the Ministry of Justice. The former counts crime while the latter counts individual offenders and there are differences in offence classifications and the criteria used to determine an offence between the two sets of statistics (see Section 3 of the User Guide).
Further information on counting detections can be found in Section H of the General Counting Rules, which can be accessed at: http://www.homeoffice.gov.uk/publications/science-research-statistics/research-statistics/crimeresearch/counting-rules/count-general
## Bibliography
Chaplin, R., Flatley, J. and Smith, K. (eds) (2011) Crime in England and Wales 2010/11: Findings
from the British Crime Survey and police recorded crime. Home Office Statistical Bulletin 10/11.
London: Home Office.
<http://www.homeoffice.gov.uk/publications/science-research-statistics/research-statistics/crime-
research/hosb1011/>
Home Office (2011) User Guide to Home Office Crime Statistics. London: Home Office.
<www.homeoffice.gov.uk/publications/science-research-statistics/research-statistics/crime-
research/user-guide-crime-statistics/>
UK Statistics Authority (2011) Assessment Report 102.
<http://www.statisticsauthority.gov.uk/assessment/assessment/assessment-reports/assessment-
report-102---crime-statistics-in-england-and-wales.pdf>
| en |
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District / Area
Name
Role
Contact Details
Notes
Dartford
Councillor Ann Allen
Chair
[email protected]
Gravesham
Councillor Alan Ridgers
Chair
[email protected]
Swale
Councillor Ken Pugh
Chair
[email protected]
North Area
Christine Kiely
Vice Chair
[email protected]
Service Manager, Open Access
North Area
Colin Green
Coordinator
[email protected]
Area Partnership Manager
East Area District / Area
Name
Role
Contact Details
Notes
Canterbury
Councillor Mark Dance
Chair
[email protected]
Thanet
Councillor Lesley Game
Chair
[email protected]
East Area
Nick Moor
Vice Chair
[email protected]
Service Manager, Open Access
East Area
Jenny Hanna
Coordinator
[email protected]
Area Partnership Manager
South Area District / Area
Name
Role
Contact Details
Notes
Ashford
Councillor Mike Angell
Chair
[email protected]
Dover
Councillor Derek Murphy
Chair
[email protected]
Folkestone & Hythe
Councillor Rory Love OBE
Chair
[email protected]
South Area
Helen Anderson
Vice Chair
[email protected]
Service Manager, Open Access
South Area
Mark Wiltshire
Coordinator
[email protected]
Area Partnership Manager
West Area District / Area
Name
Role
Contact Details
Notes
Maidstone
Councillor Gary Cooke
Chair
[email protected]
Sevenoaks
Councillor Peter Lake
Chair
[email protected]
Tunbridge Wells
Councillor Sarah Hamilton
Chair
[email protected]
Tonbridge and Malling
Councillor Matthew Balfour
Chair
[email protected]
West Area
Tim O'Brien
Vice Chair
Tim.O'[email protected]
Service Manager, Open Access
West Area
Amtul Uzma
Coordinator
| en |
3827-pdf |
## Protecting Archives And Manuscripts Against Disasters
## © Crown Copyright 2004
You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence or email [email protected]. Where we have identified any third-party copyright information, you will need to obtain permission from the copyright holders concerned. This publication is available for download at nationalarchives.gov.uk.
##
Contents
Introduction ....................................................................................................................................
2
Flood
..............................................................................................................................................
3
Fire
.................................................................................................................................................
5
Terrorist Attack/Bomb Damage
......................................................................................................
6
Preparing a Recovery Plan ............................................................................................................
7
Further reading ..............................................................................................................................
8
## Introduction
The National Archives offers advice on all aspects of the long-term care and preservation of manuscripts. This advisory memorandum contains summary advice for the private owner on preparedness for, and recovery from, disasters which stop short of the total loss or destruction of the records. Archives are vulnerable to many forces, ranging from unthinking neglect, to natural disasters such as storm or flood, to deliberate criminal acts such as burglary, arson or terrorist attack. It is emphasised that this memorandum does not cover all eventualities. In many circumstances it will of course be necessary to seek the professional guidance of an archivist and/or archive conservator. Where the emergency services have to be called in, care should also be taken to inform them of the nature and vulnerability of the material. A number of useful books have been published, mainly aimed at professional custodians of archives in record offices, libraries and museums, covering strategies for identifying and minimising risks, and giving practical guidance on preparedness for disasters and on recovery if disaster strikes (including, for example, lists of equipment which it is useful to have to hand in an emergency). Some are listed at the end of this memorandum.
Private owners (both institutions and individuals) who wish to retain custody of their archives should be aware of the steps which they can take now to minimise the risk, as well as the appropriate action to take in an emergency. Businesses and corporate bodies may need to provide for their archives as part of a wider strategy against disasters, and to designate a manager for this purpose. Neighbouring businesses may wish to consider joint strategies. Owners requiring guidance on storage accommodation for their archives are invited in the first instance to contact Archives Sector Development ([email protected]) which will then either advise direct, or put the owner in touch with an appropriate local or national record office or centre of specialist information. General advice on the good housekeeping, care and preservation of archives and manuscripts, including storage conditions and equipment, environmental controls, protection against fire, and first aid in the event of damp, is given in the free pamphlet, The care of records: notes for the owner or custodian (from the British Records Association or from The National Archives). Other sources of information and assistance:
Preservation Advisory Centre British Records Association Business Archives Council National Archives of Scotland Public Record Office of Northern Ireland
Much can be done in advance to prepare and protect against disasters, in particular by assessing the risks. The following sections make some suggestions.
## Flood
Where, and in what circumstances could water get into the premises?
Consider in particular risks of storm, burst pipes, blocked drains or gutters, and water
generated during fire-fighting
Study the location of doors and windows, drainpipes, hot and cold water tanks and
pipes, sewerage services, and internal or external drains.
Carry out a periodic check on the general soundness of the fabric including the roof,
especially any flat roofs or valley gutters
## Suggestions
1. Avoid basement storage whenever possible 2. Check that there is a means of egress for any water that may get in
3. Raise the bottom shelf of any storage at least 150mm off the floor 4. Leave a small gap between any shelving and outer walls so that documents or the
boxes in which they are contained do not touch the walls
5. Do not leave documents piled on floors or beside windows 6. The provision of acid-free archive storage boxes offers considerable protection. Your
nearest record office should be able to recommend a supplier
7. In premises where no other emergency lighting is available, keep a powerful torch to
hand for use in an emergency
8. In premises where there is an obvious risk of flooding, it may be worth installing flood
alarms if these can be monitored out of hours
## In The Event Of A Flood
Quick remedial action is necessary, to prevent the growth of mould which may occur within 2 to 3 days of water damage. But first make sure that the premises are safe and that the affected area is not 'live' from the electricity supply.
If the flooding is localised, undamaged materials may be protected temporarily (if necessary) using polythene sheeting. Rescue any affected items and remove them to a dry, preferably cool room, starting with material on upper shelves. For relatively undamaged materials gentle first-aid may be attempted with clean cloths, or by inter-leaving with clean blotting paper, but note that items on coated paper require swift professional attention, and in all other cases if inks or dyes begin to run or dirt to spread, the items should be left for urgent professional attention. Damp but not saturated volumes may be stood upright with the pages slightly fanned out to dry naturally. If air-blowers are used to assist the drying-out process, they should be kept on a cool setting, as heat may promote mould growth. Saturated materials can be very susceptible to damage and should be handled with care. They should not be piled on top of one another, nor should any attempt be made at this stage to separate pages that are stuck together. Seek professional advice on packing for transport. After draining the disaster area, ventilate it well and if necessary hire a portable dehumidifier until the relative humidity has stabilised within the range 45-60%. Keep an eye on apparently unaffected items, which may suffer longer-term damage if the flood has seriously altered the relative humidity level. If the flooding is more serious and especially if large quantities of documents are involved, contact your nearest record office for advice. Remedial treatment may include freezing the damaged material until such time as it can be safely dried out. Some record offices now have small freezers for this purpose, or standing arrangements with external contractors. There may be a charge for this service. Items which are to be removed from the premises for treatment should be individually wrapped in polythene bags or cling-film, and an inventory of them should be kept.
## Fire
How and in what circumstances could a fire begin and/or take hold either in the storage area itself or elsewhere in the property, spreading to the archive store? Consider in particular the proximity of any open fires, or other sources of flame or heat such as kitchens or workshops, electrical short-circuits and lightning, or other potential sources of risk such as stored inflammable materials.
## Suggestions
1. Where possible choose sturdily-built storage rooms with good fire-resistance, and
ensure that doors and windows are tightly shut when the premises are unattended
2. Check that all wiring is sound and up-to-date, and all cabling insulated. Out of hours
switch off, and preferably isolate, all inessential electricity
3. Install smoke detectors. In the case of large and valuable collections of documents it is
desirable to have these linked automatically to the fire brigade or a security firm
4. Depending on the size of the storage area, provide one or more hand-held carbon
dioxide fire extinguishers for use in the event of a small fire in the storage area. Waterbased extinguishers are useful in adjacent rooms and corridors. In the case of larger collections of archives, where it might be appropriate to fit an automatic fireextinguishing system, the advice of the local Fire Officer should be sought
5. Do not permit smoking 6. Keep loose papers to a minimum and avoid litter 7. Seek the guidance of the local fire brigade on how precautions might be improved
## In The Event Of A Fire
Ensure that the fire brigade is called immediately, and is informed that archives are at risk and a minimum of water should be used. The brigade will, however, almost certainly use water hoses, in which case it may be necessary to proceed as for flood. Once again, acid-free archive storage boxes can provide short-term protection. Items damaged by fire can best be treated with the advice of a professional conservator. Contact your nearest record office.
## Terrorist Attack/Bomb Damage
The threat from terrorist bombs is among the most difficult to counter simply by preparedness and planning. Recent experience shows the targets to be unpredictable and the force of the damage potentially devastating even to structures which are otherwise well equipped to resist lesser disasters such as flood and fire. In high-risk inner-city areas or near to obvious (such as, military) targets, both institutional and private owners might wish to consider depositing all but their most current documents on loan for safe keeping in a secure repository outside the immediate danger zone. In general, measures taken primarily to protect the people in the building (for example fitting antibomb-blast curtains or anti-shatter film on the windows) will also contribute to the protection of the documents, and should be seen as part of the overall strategy. Owners who consider their archives to be at particular risk should seek the advice of the police or of a security firm, and make any recommended structural reinforcements. A guide by the Metropolitan Police is listed below.
## Suggestions
1. Outside normal working hours, do not leave any documents on tables or beside
windows, but put them away securely in a fireproof storage area, which preferably has only a minimum of windows
2. Where possible store archives away from external doors, walls and windows 3. In the case of items or series which are thought especially valuable, whether for
historic or administrative reasons, or which may be temporarily displayed in a more
vulnerable area, consider having security copies made, for example on microfilm or optical disk, and stored at a different site. Electronic records should be regularly copied, and the back-up copies similarly kept in a different site from the originals
4. In business premises, especially in town- or city-centre sites, it may be advisable
outside office hours to lock away securely any catalogues and finding aids to the archives, in order to restrict the opportunity afforded to looters etc. in a damaged building
5. Do not allow litter or rubbish to accumulate either inside or outside the building, and be
alert to any suspicious or unusual packages
6. Advise the local police station of any keyholders to your premises
## Preparing A Recovery Plan
Owners are recommended to:
1. Carry out an assessment (with the help of a local record office where appropriate) of
the most likely risks, and draw up a provisional plan to assist recovery after disaster. The plan should take account of the worst possible case, including the exclusion of the archives' owner or custodian from the site by police or security authorities following the disaster
2. Take such immediate remedial action as may be appropriate, without waiting for
disaster to strike
3. Get to know the premises well, including the location of switches, valves and
stopcocks for the mains utilities
4. Store off site: a duplicate set of catalogues/finding aids; security back-up copies of any
computerised data, and copies of any documentation of the computer system itself; a spare set of keys and (if appropriate) a sketch plan of the premises
5. Draw up a list of addresses and telephone numbers of people who may need to be
contacted for help in an emergency, and keep copies handy both on site and off site. The list might include any available colleagues and, among local contacts: police station - fire station - caretaker/ managing agent of the premises - plumbers - locksmiths - glaziers - nearest record office - freezing contractor (with whom a standing arrangement should be made) - computer consultant or firm specialising in the recovery of computers from disaster insurers
(For more extensive archives):
6. Draw up an order of priorities in which the documents should be rescued/treated in the
event of an emergency
7. Study the published manuals for guidance on supplies and equipment for use in an
emergency
## Further Reading
Hazel Anderson and John E McIntyre, Planning manual for disaster control in Scottish
libraries and record offices (National Library of Scotland, Edinburgh, 1985) Ian Tregarthen Jenkin, Disaster planning and preparedness: an outline disaster control plan (British Library Information Guide 5, 1987) Sally A Buchanan, Disaster planning, preparedness and recovery for libraries and archives (Unesco RAMP Study, PGI-88/WS/6, Paris 1988) Claire England and Karen Evans, Disaster management for libraries: planning and process (Library Association, 1988) Preservation Advisory Centre, Disaster/emergency planning (online resource) Bombs - defusing the threat. A guide for small businesses (available from the Metropolitan Police, New Scotland Yard, Broadway, London SW1H 0BG) Guidelines on disaster prevention ICA Committee on Disaster Prevention, in ICA Studies, 11 (December 1997) Disaster prevention: facing up to risks, an article by the ICA Committee on Disaster Prevention, accompanied by an extensive bibliography, in Archivum XLII (1996), p283 T Padfield, Disaster planning, in Business Archives no 55 (May 1988), gives a useful short bibliography
For further information contact the Archives Sector Development, The National Archives, Kew, Richmond, Surrey TW9 4DU, telephone 020 8876 3444, email: [email protected]
##
| en |
1672-pdf | Telephone 020
7282
2006
Fax 020
7282
2043
E-mail bill.ernery8orr.gsi.g0v.uk
20
April 2007
Dear Colleague, ORR's Sustainable Development 81
Environment Duties
1.
Sustainable development and environmental issues have never had a higher profile. The railway has an important role in providing a sustainable transport system and ORR must also contribute where we can add most value. I am therefore pleased to send you a copy of our conclusions on ORR's sustainable development and environment duties, which sets out how we will engage with you and other industry stakeholders to achieve the right outcomes for the rail industry and society as a whole.
2.
As you are aware, in October 2006 we consulted on how we could best discharge our sustainable development and environment duties. This generated a high level of interest from industry stakeholders and other interested patties. The October document said we would issue draft conclusions followed by final conclusions. However, the general consistency of consultation re.sponses has led us to move directly to final conclusions. I
would like to thank all those who have played a part in developing our policy and are working towards identifying an industry sustainable development strategy.
3.
The rail industry has traditionally been regarded as a sustainable mode of transport and this view has been supported in recent reports by Stern and Eddington. Developing and publishing industry information on rail's sustainable performance is a key element of our policy. This will demonstrate raiPs benefits and inform industry's approach to delivering a sustainable railway.
4.
1 look forward to continuing working with you to achieve this.
Yours sincerely
\
- -
Bill Emery | en |
3548-pdf | This is an updated borough political map following the London Assembly and Mayoral elections that took place on 3 May 2012. The London Assembly Members, super-constituencies and borough leaders are detailed here. On the other side is a map displaying the 73 London MPs.
18
4 2
–
8
15
8 3
–
6
7
14
3
–
8
17 11
2
–
2
16 11
2 1 2
Labour CONSERVATIVE
London-wide Assembly Members London Communications Agency Middlesex House
34-42 Cleveland Street London W1T 4JE
www.londoncommunications.co.uk www.twitter.com/LDNcomms
020 7612 8480
LCA is the leading London-focused corporate communications agency.
London Councils
59½ Southwark Street London SE1 0AL
www.londoncouncils.gov.uk www.twitter.com/londoncouncils
020 7934 9999
London Councils is the voice of local government in the capital.
July 2012
This map has been published for general information only. Its contents should not be used as a basis for entering into any commitments without seeking qualified professional advice. Facts and figures have been rigorously checked but London This is an updated map of the 73 Parliamentary constituencies in London and the MPs representing them for the year 2012 - with only one change since the 2010 General Election. On the other side is a map of the 33 London boroughs, and details of the Mayor of London and London Assembly Members.
London MEPs GERARD BATTEN - UKIP
MARY HONEYBALL - Labour SYED KAMALL - Conservative JEAN LAMBERT - Green BARONESS SARAH LUDFORD - Liberal Democrat CLAUDE MORAES - Labour CHARLES TANNOCK - Conservative MARINA YANNAKOUDAKIS - Conservative
## Mp Political Party Breakdown
2010
LABOUR MPs CONSERVATIVE MPs LIBERAL DEMOCRAT MPs RESPECT MPs
11
6
–
13
6
–
44 21
8 1
7
–
–
Key Parliamentary constituency boundary Holborn & St Pancras Frank Dobson
Constituency Member of Parliament italics = new MP
Labour CONSERVATIVE
Liberal Democrats This map has been published for general information only. Its contents should not be used as a basis for entering into any commitments without seeking qualified professional advice. Facts and figures have been rigorously checked but London
| Constituency |
|----------------|
| 16,555 |
| 5,977 |
| 17,784 |
| 8,530 |
| 11,574 |
| 10,344 |
Margaret Hodge (Lab)
Jane Ellison (Con) Bob Stewart (Con)
Simon Hughes (LD)
Rushanara Ali (Lab) David Evennett (Con) Sarah Teather (LD)
Barry Gardiner (Lab) Mary Macleod (Con) Bob Neill (Con)
1,345 8,028 1,958
13,900
Barking Battersea
Beckenham
Bermondsey & Old Southwark Bethnal Green & Bow Bexleyheath & Crayford Brent CENTRAL
Brent North
Brentford & Isleworth Bromley & Chislehurst
17,187
5,260
16,722 12,963 11,927 11,076
2,969
Harriet Harman (Lab)
Tom Brake (LD)
Greg Hands (Con) Iain Duncan Smith (Con)
Theresa Villiers (Con)
Mark Field (Con) Gavin Barwell (Con) Malcolm Wicks (Lab)
Richard Ottaway (Con)
16,483 15,818
Camberwell & Peckham Carshalton & Wallington Chelsea and Fulham Chingford & Woodford Green Chipping Barnet Cities of London & Westminster Croydon Central Croydon North Croydon South Jon Cruddas (Lab) Dame Tessa Jowell (Lab)
2,630 9,365
Dagenham & RAINHAM Dulwich & West Norwood Angie Bray (Con) Stephen Pound (Lab) Virendra Sharma (Lab)
Stephen Timms (Lab) Andrew Love (Lab) Clive Efford (Lab) Nick de Bois (Con)
David Burrowes (Con)
Teresa Pearce (Lab)
3,716 9,301 9,291
27,826
9,613 1,663 1,692 7,626
5,703
Ealing CENTRAL & Acton Ealing North Ealing Southall East Ham Edmonton Eltham Enfield North Enfield Southgate Erith & Thamesmead
Seema Malhotra (Lab)
Mike Freer (Con)
6,203 5,809
Nick Raynsford (Lab)
10,153 14,461 14,288
3,549
42
3,403 3,143
10,824
106
9,942
16,371
Diane Abbott (Lab) Meg Hillier (Lab) Andy Slaughter (Lab) Glenda Jackson (Lab) Bob Blackman (Con) Gareth Thomas (Lab)
John McDonnell (Lab)
Matthew Offord (Con)
Frank Dobson (Lab)
Angela Watkinson (Con) Lynne Featherstone (LD)
6,875
Hackney North & Stoke Newington Hackney South & Shoreditch Hammersmith Hampstead & KILBURN Harrow East Harrow West Hayes & Harlington Hendon Holborn & St Pancras Hornchurch & UPMINSTER Hornsey & Wood Green
5,404
Lee Scott (Con) Mike Gapes (Lab) Jeremy Corbyn (Lab) Emily Thornberry (Lab)
11,287 12,401
3,569
Ilford North Ilford South Islington North Islington South & Finsbury
Sir Malcolm Rifkind (Con) Edward Davey (LD)
8,616 7,560
Kensington Kingston & Surbiton
Dame Joan Ruddock (Lab)
Heidi Alexander (Lab)
Jim Dowd (Lab)
John Cryer (Lab)
12,499
6,216 5,828 6,416
Lewisham Deptford Lewisham East Lewisham West & PENGE
Leyton & Wanstead
Siobhain McDonagh (Lab)
13,666
Mitcham & Morden
James Brokenshire (Con)
Jo Johnson (Con)
15,857 17,200
Old Bexley & Sidcup
Orpington
6,030
Jim Fitzpatrick (Lab) Justine Greening (Con)
10,053
Poplar & Limehouse
Putney
Zac Goldsmith (Con)
Andrew Rosindell (Con)
Nick Hurd (Con)
4,091
16,954 19,060
Richmond Park Romford Ruislip, Northwood & PINNER
Chuka Umunna (Lab)
Streatham
3,259 1,608
Paul Burstow (LD)
Sutton & Cheam
Tottenham
2,524
16,931 12,140
Sadiq Khan (Lab) David Lammy (Lab) Vincent Cable (LD)
Twickenham
11,216
John Randall (Con)
10,651
Kate Hoey (Lab)
9,478
22,534
2,126
11,408
Stella Creasy (Lab)
Lyn Brown (Lab) Karen Buck (Lab) Stephen Hammond (Con)
www.twitter.com/LDNcomms
020 7612 8480
LCA is the leading London-focused corporate communications agency.
London Councils
59½ Southwark Street London SE1 0AL
www.londoncouncils.gov.uk www.twitter.com/londoncouncils
020 7934 9999
London Councils is the voice of local government in the capital.
July 2012 | en |
3993-pdf |
## 1 Introduction
1.1
This Memorandum of Understanding (MoU) establishes a framework for co-operation between the Information Commissioner's Office (ICO) and The National Archives (TNA). It sets out the role of each organisation and explains how they will work together to achieve their separate and common goals. 1.2
Its aims are to:
Facilitate contact and discussion on matters of common interest,
particularly by sharing knowledge, information, expertise and best practice
Ensure appropriate consultation in areas of policy and guidance
development of mutual interest
Provide a framework for co-ordination of audit and assessment work
1.3
The MoU is published on both organisations' websites. It will be
reviewed at least every two years and more frequently if required by developments in the statutory and policy environment. 1.5
The MoU is not intended to be legally binding.
## 2 Overview Of The Ico'S Role And Responsibilities1
2.1
The ICO is responsible for regulating compliance by public authorities with the rights of access provided by the Freedom of Information Act 2000 (FOIA), the Environmental Information Regulations 2004 (EIR) and the INSPIRE Regulations 2009. The ICO also regulates compliance with the Reuse of Public Sector Information Regulations 2015 (PSI), Data Protection Act 1998 (DPA) and the Privacy and Electronic Communications (EC Directive) Regulations 2003 (PECR). Its FOIA, EIR and INSPIRE roles relate to England, Wales and Northern Ireland and UK-wide public authorities. Its data protection, PECR and PSI roles relate to the entire UK. 2.2
The ICO's regulatory duties include considering complaints under the legislation. Its powers include the issuing of various notices in relation to FOIA, PSI and EIR complaints. These include decision notices, which give the outcome of a complaint and specify the steps that must be taken in relation to the case, and recommendations in the case of PSI complaints involving charging exceptions; information notices, which specify information to be provided by the public authority; and enforcement notices, which specify action to be taken by the public authority to achieve compliance with the FOIA, EIR and PSI. The powers of the ICO under the DPA include issuing enforcement notices and imposing Civil Monetary Penalties. 2.3
The ICO is responsible also for promoting good practice with this legislation. In particular, the ICO promotes observance of the codes of practice under sections 45 and 46 of the FOIA2 and may, with the consent of an authority, assess whether good practice is being followed.3 The ICO can issue an information notice to obtain information relating to conformity4 and a practice recommendation specifying remedial steps that should be taken.5 A
practice recommendation cannot be enforced. The DPA gives the ICO the power to issue assessment notices and to conduct compulsory audits of data protection practices in government departments as well as consensual audits of other bodies. 2.4
The Commissioner is required to consult the Chief Executive of TNA in his capacity of Keeper of Public Records about the promotion of observance of the records management code of practice6 by bodies subject to the Public Records Act 1958. He is also required to consult him before issuing a practice recommendation to one of those bodies.7 2.5
The ICO is responsible for regulating certain aspects of the INSPIRE
## Regulations. This Role Is Intended To Mirror Certain Aspects Of Its Regulatory Responsibilities Under Foia And The Eir. 3 Overview Of Tna'S Role And Responsibilities8
3.1
TNA comprises and carries out the functions of four bodies:
The Public Record Office The Historical Manuscripts Commission The Office of Public Sector Information Her Majesty's Stationery Office
3.2
TNA is the official archive and publisher of the UK government and for England and Wales and in that capacity is responsible for safeguarding and
2 FOIA s 47(1)
3 FOIA s 47(3)
preserving public records9 in the care of the Keeper of Public Records and for doing what is necessary or expedient for maintaining the utility of the Public Record Office.10 This includes providing public access and related services to records that are available for public access in accordance with the FOI Act.
3.3
TNA oversees the preservation of public records in 'places of deposit', i.e. other archives services appointed under the Public Records Act 1958 to hold public records.11 This includes promoting good practice in preservation and access services to ensure they are comparable to those of TNA, and providing advice on a range of archives issues. . 3.4
TNA provides guidance, co-ordination and supervision to government departments and other bodies subject to the PRA on their management of their records12 and assesses their capability in this regard through its Information Management Assessment programme. 3.5
TNA is responsible, through the Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament under Letters Patent, for the management and licensing of Crown copyright and Crown database right. In addition, through the Controller and Queen's Printer of Acts of Parliament, TNA has responsibility for the publication of UK legislation and other official publishing records. These responsibilities are UK wide. 3.6
TNA has the public policy role within UK Government for the re-use of public sector information. It has policy responsibility for the legal framework comprising the Re-use of Public Sector Information Regulations 2015, which set out various requirements as to how public sector bodies must permit the re-use their public task information,13 including the issuing of guidance. 3.7
TNA through the Office of Public Sector Information also supports implementation and good practice in re-use through the Information Fair Trader Scheme (IFTS), the UK Government Licensing Framework and policy on official publishing. 3.8
TNA has the archive sector leadership responsibility within government in England and is involved in the making and the promulgation of policy. It engages with practitioners, managers and funders across the sector to promote service development, improvement and sustainability, promoting the archival health of the nation.
## 4 General Co-Operation
4.1
The ICO and TNA recognise that they have complementary expertise and overlapping interests. They will endeavour to co-operate and work together insofar as their respective roles permit. They will share knowledge, expertise, best practice and intelligence in relation to matters of mutual interest and, if there is overlap or a mutual interest in a policy area, they will consult as appropriate. 4.2
The organisations are committed to the principle of good communication with each other, especially when one organisation's work may have some bearing on the responsibilities of the other organisation. The organisations will seek to alert each other as soon as practicable to relevant developments and issues within their area of responsibility, subject to complying with any relevant legal requirements applying to the disclosure of information. 4.3
This MoU is without prejudice to any legal or administrative arrangements in place for co-operation of either organisation with other parties in the exercise of their duties. These include, but are not limited to, the Ministry of Justice, the Scottish Information Commissioner, the First Tier Tribunal - Information Rights and the Cabinet Office. 4.4
The Information Commissioner and the Chief Executive of TNA will meet at least once a year, and more frequently if required, to discuss matters of mutual interest and the operation of this MoU. These meetings will be underpinned by regular liaison between their officials including meetings as and when required. 4.5
The organisations will ensure that there is clarity as to the appropriate
## Contact Point For Particular Matters And That Contact Details Are Kept Up To Date. 5 Promotion Of Good Practice
5.1
The ICO and TNA both provide web-based guidance to help public authorities understand and meet their statutory obligations. Both organisations agree to provide links to relevant guidance produced by the other organisation, and to encourage public authorities to use guidance produced by the other organisation where appropriate. 5.2
The organisations agree that when producing guidance that is relevant to the responsibilities of the other organisation they will consult the other organisation. 5.3
The organisations agree that when they receive a request for policy advice that raises issues relevant to the responsibilities of the other organisation they will consult the other organisation.
5.4
When improvements in practice are required to conform to the codes of practice under sections 45 and 46 of the FOIA, the ICO may issue a Practice Recommendation to the public authority. When the required improvements relate to records management, archives services or the re-use of public sector information, the ICO will consult TNA. The final decision as to whether a Practice Recommendation should be issued and on its contents will be taken by the ICO. 5.5
When the ICO considers a more appropriate course of action would be for the public authority to sign an Undertaking in relation to the good practice referred to paragraph 5.4, the ICO will consult TNA. The final decision as to whether an Undertaking should be sought and on its contents will be taken by the ICO.
6
Assessment of good practice 6.1
TNA and the ICO carry out a number of assessment and audit programmes which assess compliance with relevant statutory obligations, policies, standards and guidance and also highlight good practice. TNA and the ICO will co-ordinate this work as far as possible in order to avoid duplication, present a joined-up approach to government departments and other public authorities and share good practice. 6.2
TNA will share its assessments of the current levels of conformity with the records management code of practice. The ICO may refer to these assessments in the Information Commissioner's annual report to Parliament. 6.3
The principal means of monitoring conformance with the records management code of practice will be self-assessment by public authorities, using tools provided by TNA. TNA will provide support for self-assessment if the particular circumstances of the case make this appropriate, subject to the necessary resources being available. 6.4
The Information Commissioner may ask TNA to undertake on his behalf an assessment of a public authority's practice with regard to records management. As a general rule, a request for assessment will relate to areas of particular concern within that public authority. TNA will consider all such requests. The scope and type of assessment, the level of commitment involved and the timing will be agreed in relation to each request. 6.5
If, having conducted an assessment, TNA considers that a Practice Recommendation or an Undertaking is required (see paragraphs 5.4 and 5.5), the report to the ICO will include a recommendation to this effect with suggestions as to content. 6.6
If the ICO proposes to issue an Information Notice to a public authority in order to obtain more information concerning its current practice than the public authority has provided, and the information is connected to either records management or to the re-use of public sector information, the ICO will consult TNA. 6.7
If an assessment of the practice of archives services in relation to the code of practice under section 45 of the FOIA appears to the ICO to raise general issues concerning archives policy and professional practice, the ICO will consult TNA. The final decision on the appropriate course of action will be taken by the ICO.
Information Commissioner
Chief Executive of The National Archives
and Keeper of Public Records Christopher Graham
Jeff James Date:
Date: | en |
0522-pdf |
## Section 17 Notice Under The Freedom Of Information Act 2000 Withholding Information Section 21 States Information Accessible To Applicant By Other Means.
(1) Information which is reasonably accessible to the applicant otherwise than under section 21 is exempt information. (2) For the purposes of subsection (1)— (a) Information may be reasonably accessible to the applicant even though it is accessible only on payment, and (b) Information is to be taken to be reasonably accessible to the applicant if it is information which the public authority or any other person is obliged by or under any enactment to communicate (otherwise than by making the information available for inspection) to members of the public on request, whether free of charge or on payment. (3) For the purposes of subsection (1), information which is held by a public authority and does not fall within subsection (2) (b) is not to be regarded as reasonably accessible to the applicant merely because the information is available from the public authority itself on request, unless the information is made available in accordance with the authority's publication scheme and any payment required is specified in, or determined in accordance with, the scheme.
Section 21 is an absolute exemption which means there is no requirement to carry out a public interest test if the requested information is exempt.
## Section 22(1) States That Information Intended For Future Publication Is Exempt Information If:
(a) the information is held by the public authority with a view to its publication, by the authority or
any other person, at some future date (whether determined or not),
(b) the information was already held with a view to such publication at the time when the request
for information was made, and
(c) it is reasonable in all the circumstances that the information should be withheld from disclosure
until the date of publication
Section 22 is a qualified exemption which means that the decision to disclose the requested material is subject to a public interest test.
Floor 8, 102 Petty France, London SW1H 9AJ
United Kingdom
##
The CPS acknowledges that there is a public interest in demonstrating the transparency of the prosecution process and the performance of the organisation. The data you have requested will be published on the CPS website; we are not obligated to provide you with this prior to publication. The timetable for publication allows for the review and validation of the figures/information to be included in the report and to release this information ahead of schedule would compromise the accuracy and completeness of the data and supporting information. On balance, I do not consider that it would be in the public interest to disclose the information requested ahead of schedule.
| en |
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## Information Management Assessment Her Majesty'S Revenue And Customs January 2011
| PART ONE: EXECUTIVE SUMMARY | 2 |
|--------------------------------------------------|-----|
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| PART TWO: INTRODUCTION | 6 |
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| PART THREE: HIGHLIGHTS AND AREAS FOR IMPROVEMENT | 8 |
| | |
| APPENDIX ONE: SUMMARY OF RECOMMENDED ACTIONS | 28 |
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| APPENDIX TWO: IMA COMMITMENT | 32 |
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| APPENDIX THREE: GLOSSARY | 33 |
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Date: January 2011 © Crown copyright 2011
## Part One: Executive Summary
HMRC should be proud of its achievements in raising levels of understanding, awareness and compliance in relation to information security and assurance. The Executive Committee has provided high-level support, visibility and direction for data handling with a solid governance structure that reinforces the importance of securing personal information. Preventative measures are in place and all the personnel interviewed as part of this Information Management Assessment (IMA) were found to be aware of their responsibilities. The potential benefits of good information management are, however, far less appreciated. HMRC now needs to build on the progress made and embed the principles that underpin good information management. HMRC is a large and complex organisation with many diverse and legacy IT systems. The challenge for HMRC is to make best use of its systems, its information and ensure consistency across the organisation. Our IMA is intended to provide a focus for the department in addressing these challenges. Even in a difficult financial climate, we are of the view that HMRC should continue to invest in developing good information management. This work should be underpinned by ensuring existing governance covers both information security and information management. The IMA highlighted the fact that some areas of the business were not fully engaged with knowledge and information management (KIM), did not understand why KIM matters nor how information management supports daily activity. HMRC needs to continue to encourage an information management culture within the constraints of a tight information assurance environment. The support of staff at middle-management level is essential to reinforce cultural and behavioural changes. Many of the managers the audit team met were focussed on meeting their business or directorate objectives, without strategic consideration of how good KIM practices could help to deliver corporate objectives. HMRC needs to consider how it should engage those managers. Consideration should also be given to the further development of support networks where issues can be examined, corporate solutions agreed and good practice shared. Risk management of information security and assurance is at a high level, and rightly remains a top priority. Commendably, KIM is also part of the KAI
Directorate's risk register. However, we recommend that KIM risks are held corporately and that the potential impact of poor information management is communicated across the whole organisation. HMRC operates in an increasingly information rich environment and creates, uses and interrogates vast amounts of information. It needs to be confident that it is capturing and sharing the information appropriately and can locate information if required to do so. HMRC should continue its work to improve its understanding of the complex information landscape it works in so that it can be confident in finding, keeping and sharing its business information efficiently. HMRC has a number of specialist roles with responsibility for information security and assurance and knowledge and information management. This visible investment is to be commended. However, we saw a lack of understanding among staff about how these roles fit together and also about their specific objectives and responsibilities. HMRC has taken steps to bring structure to its "desktop" information by developing a series of Controlled Access Folders (CAFs) to store business information that is not held in head of duty systems and databases. All directorates are migrating to CAFs by end of March 2011. HMRC needs to ensure that corporate standards are adhered to and maintain a degree of consistency of approach, for example in the correct application of folder- / filenaming conventions. HMRC still has a wealth of paper records, a situation that is unlikely to change in the near future. There were differing approaches to the management of paper files across the department and HMRC needs to consider a more systematic approach to managing paper records, particularly their disposal. We found instances where locally implemented retention policies differed from those published on the corporate website. HMRC has made a good start in its information management journey by embedding good information assurance and security practices. If HMRC addresses the recommendations outlined in this report The National Archives is confident that it will be in a good position to achieve its core KIM objectives.
## Risk Matrix
The Risk Matrix result is a culmination of the pre-assessment analysis, onsite interviews and evidence submitted.
Governance and Leadership
Strategic management
Good
Business objectives
Good
Management controls
Development Needed
Resourcing
Good
Risk management
Good
Records Management
Creation
Satisfactory
Storage
Development Needed
Appraisal, disposal and transfer
Development Needed
Sustainability of digital records
Development Needed
Management
Satisfactory
Access to Information
FOI/Data Protection
Satisfactory
Re-use
Satisfactory
Security
Best Practice
Compliance
Staff responsibilities and delegations
Satisfactory
Policies and guidance
Good
Training
Satisfactory
Change management
Satisfactory
Culture
Commitment
Good
Staff understanding
Satisfactory
Knowledge Management
Satisfactory
## Key To Colour Coding Part Two: Background Information Management Assessments
The Information Management Assessment (IMA) programme is the best practice model for government departments wishing to demonstrate a high level of commitment to managing their information. http://www.nationalarchives.gov.uk/information-management/ourservices/ima.htm
## The Business Of Her Majesty'S Revenue And Customs (Hmrc)
Her Majesty's Revenue and Customs (HMRC) came into being on 18 April 2005, as a result of the merger of Inland Revenue and HM Customs and Excise Departments. HMRC's headcount as of October 2010 is 74483, which equates to 67226.31 full time employees nationally and internationally in over 450 sites. http:// www.hmrc.gov.uk/index.htm
## Knowledge And Information Management (Kim) In Hmrc
KIM in HMRC is part of the remit of the Knowledge, Analysis and Information (KAI) Directorate. KIM activity is carried out across HMRC within the different Lines of Business. KAI is working with senior managers and other stakeholders to establish information and knowledge management as key building blocks for delivery of HMRC strategy. KAI has the role of providing the lead in these activities, with responsibility for KIM strategies, policies, guidance and toolkits. Working with business areas, KAI helps them implement the strategies and policies and runs a range of projects to meet specific business requirements within an overall strategic framework.
## Methodology
The IMA took place took place between 15 March and 22 April 2010, the Assessment Team undertaking 90 interviews and visiting 6 sites. The team comprised:
Standards and Assessment Manager
Head of Standards Information Management Consultants Standards Adviser Digital Continuity Project Manager The Cabinet Office's Head of Information Security and
Assurance
## Assistance Provided By The Department
The Assessment Team are grateful for the co-operation and assistance of all staff within HMRC and especially that of staff within KAI in facilitating the onsite assessment.
## Part Three: Highlights And Areas For Improvement Governance And Leadership Strategic Management
The Executive Committee of Her Majesty's Revenue and Customs (HMRC)
has provided high-level support, visibility and direction for information security and assurance across HMRC. HMRC senior management is open about the effect of the 2007 data losses and the Data Handling Review in raising the profile of the information security and assurance agenda. These had a significant impact, driving the setting of internal standards and reinforcing secure working practices. The Senior Information Risk Owner (SIRO) in HMRC is the Permanent Secretary for Tax and is a member of the Executive Committee. This endows the role with a level of importance, responsibility and visibility that is to be commended and represents best practice.
HMRC has developed and implemented a solid governance structure that reinforces the importance of securing personal information; this was evident across all levels of HMRC. However, despite the effectiveness of information security and assurance for its core structured data, the department does not consistently apply effective information management assurance procedures to its wider information and records of a non-personal nature. There was evidence of good local practices, but these were neither centrally coordinated nor consistently applied.
KAI, with support from the Executive Committee, worked hard to raise the profile of KIM in the lead up to the IMA. This momentum needs to be maintained.
## Recommendation 1: Hmrc Should Continue To Invest In The Structures That Have Allowed For Significant Progress On Information Assurance, And, More Recently, Management Of Information, Particularly During This Period Of Efficiency Savings. Management Controls
HMRC has gained Executive agreement for its KIM strategy. The strategy is owned by the KAI directorate, whose Director is also the Departmental Records Officer (DRO). Now that the strategy has been agreed, HMRC needs to test existing policies, procedures and guidance to ensure they align with it. HMRC also needs to ensure that these policies are fully implemented.
## Recommendation 2: Hmrc Should Ensure That Checking Of Compliance With Kim Policies And Standards Is Included As Part Of Regular Internal Assurance Processes.
HMRC does not currently have a coordinated approach to reporting progress on implementation of the KIM programme. KAI would be well placed to provide assurance that standards are being met.
## Recommendation 3: Hmrc Should Develop A Kim Performance Measurement Regime Reporting To The Siro. Resourcing
HMRC has created a range of specialist roles with varying levels of accountabilities and responsibilities for information security, assurance and KIM. These are Data Guardians, Information Champions and Information Partners, in conjunction with recognised records management specific roles such as the Departmental Records Officer (DRO). This visible investment is to be commended. However, there was confusion expressed during the assessment about the responsibilities and overlap of these roles. Both post holders and staff members need clarity to enable HMRC to gain full benefit from the available expertise. The GKIM Professional Skills Framework could be a useful point of reference in this exercise. 1
## Recommendation 4: Hmrc Should Better Define The Various Kim Roles Within The Business, Provide Adequate Support For Those Roles And Improve Communication Of These Roles To Staff. Risk Management
Since the 2007 data losses, HMRC has worked hard to ensure that the security risk to its information is minimised. This remains a top priority in the department. For example, all managers have information security as an objective in their personal development plans and all staff are provided with a printed desk guide. However, more needs to be done to manage wider information risks including the risk of not fully exploiting the information that is available. Each business area is responsible for assessing and managing its information risks".2 While there is central assurance of security risks and corporate risk management in general there is no effective central assurance of the management of KIM risks.
## Recommendation 5: Building On Progress Made, Hmrc Should Take Advantage Of The Information Assurance Programme, And Now Expand The Agenda To Include The Benefits Of Good Information Management.
HMRC has invested heavily in protecting its information through strong controls on data handling. These controls sometimes add cost and could occasionally be perceived to have an adverse impact on the business. HMRC recognise the imperative to secure personal and sensitive data, hence the need for strict controls that can sometimes impact on timescales for release of data.
## Recommendation 6: Hmrc Needs To Encourage Staff To Explore How They Can Maximise Data Flows To Support Delivery Of Its Objectives While Maintaining High Levels Of Data Security.
HMRC creates, controls and handles large sets of data and information, most of which is held on tax specific "heads of duty" IT systems. The department does not have a full Information Asset Register (IAR) as defined within Digital Continuity Guidance.3 There is currently no corporate data model, although the organisation is currently developing its information architecture. The identification of information assets and information asset owners, through an information inventory, is in progress, although with such extensive data holdings it is recognised that this must be a staged process. The compilation of the inventory is being driven by the identification of the key processes that underpin the business.
## Recommendation 7: Whilst The National Archives Acknowledges The Challenge In This Complex Information Environment, Hmrc Should Continue Working To Define Key Processes And Their Related Information/Data Flows Where Relevant. Recommendation 8: Hmrc Should Continue To Improve Its Understanding Of Its Key Information Assets.
Teams know that data integrity is important to deliver HMRC services, but data integrity projects are all managed at a local level or run on an ad-hoc basis.
## Recommendation 9: Hmrc Should Harness The Good Work That Has Been Initiated By Local Data Integrity Projects, Sharing Lessons Learned Across The Organisation.
## Records Management Creation/What To Keep
HMRC works in an increasingly information-rich environment, creating, using and interrogating vast amounts of information on a daily basis. HMRC is clear on what its top business-critical processes are. Most of the data held in HMRC is customer data which is collected in the process of conducting HMRC's statutory function and is supported by its statutory powers. Most of this information is stored on the tax specific heads of duty IT systems.
As well as customer data, HMRC also holds policy and management information. Across all areas of its information HMRC needs to be confident that it is capturing the right information, sharing the right information and is able to locate that information if required.
HMRC identifies key information within a wide range of published documents and web pages. HMRC would benefit from drawing this together into a clear policy statement that identifies their key information and the drivers for holding this material.
## Recommendation 10: Hmrc Should Work Closely With The National Archives And Adopt The "What To Keep" Guidance And Approach.
HMRC has to ensure that it can continue to manage, use and access the information within its heads of duty systems. Some of these systems, in line with the compliance regime at the time, were designed to have no disposal function. HMRC needs to meet Data Protection Act (DPA) requirements and also free up storage space. Revised retention schedules for legacy systems should therefore be introduced and retention issues tackled whether automatically or manually.
## Recommendation 11: Hmrc Must Introduce And Implement Appropriate Retention Schedules For Heads Of Duty Systems.
HMRC recognises that improvements to data quality are required to maximise its ability to use its information to support the business. There is widespread duplication of information, driven by fragmentation of ownership and loss of trust in the integrity of information which is shared within the business. There is a culture of "hold many" rather than "hold once". Information asset owners have been identified at Executive Committee level but owners need to be identified at lower levels in the organisation.
## Recommendation 12: Hmrc Needs To Ensure That The Owners Of Significant Information Assets Are Urgently Identified At Below Executive Committee Level, Agreed And Assigned And That This Is Communicated Appropriately. Storage
The organisation has developed a series of Controlled Access Folders (CAFs) to store case, policy and non-transactional data outside the heads of duty systems and databases. CAFs will replace shared folders in the shared drives. HMRC is migrating all directorates' sensitive information to CAFs by the end of March 2011. CAFs, if used to their full potential, would enable HMRC to mitigate risks identified with its shared areas. These latter are not open to anyone outside HMRC staff but access to them is often insufficiently regulated and controlled. Access to CAFs can be restricted to discrete business groups, projects or used as a collaborative tool. Some business areas see the migration to CAFs as an opportunity to prune files and delete obsolete material, consider file structure and assign folder owners. HMRC needs to harness and disseminate good practice on CAF migration.
## Recommendation 13: Hmrc Should Ensure Business Areas Rationalise And Delete Files On Migration Into Cafs, Sharing Good Local Practices To Facilitate The Process.
Implementation of the CAF guidance was inconsistent. Responsibility for the creation of the CAF was often delegated to individuals interested in IT, or who had another KIM or administrative role. HMRC should review how CAF
Information Managers are selected.
## Recommendation 14: Hmrc To Ensure That Appropriate People With Relevant Skills Are Selected To Fulfil The Caf Information Manager Roles. Recommendation 15: Hmrc Should Conduct Compliance Checks To Ensure The Integrity Of The Caf Creation And Management Process. Retention
It is HMRC policy that individual business areas develop and apply their own retention policies and schedules based on an overarching policy and assurance framework. The Assessment Team found examples where there was inconsistent application of published retention policies. By contrast, some areas had produced "desk aids / help cards" for their staff to help with disposal decisions. This is an area of good practice that HMRC could build on. We also found that there are insufficient checks on the effectiveness of the schedules.
## Recommendation 16: Hmrc To Ensure That Corporate Guidance Is Followed And That All Areas Have Approved Retention And Disposal Schedules That Are Fully Implemented.
HMRC creates, uses and stores a mass of paper records. While paper records are disposed of securely there is a lack of consistency as to how the disposal of paper files is managed. The Assessment Team did note that as part of a central initiative in 2008/9, a "weeding" exercise was carried out that resulted in 45k linear metres of local records being destroyed. HMRC acknowledges that such central and similar local exercises need to be carried out more frequently and in a more coordinated fashion. A systematic approach to managing the retention and disposal of paper records is necessary.
## Recommendation 17: Hmrc To Implement A Systematic Approach To Managing Paper Based Records.
Digital information is growing at a vast rate and there is a risk that HMRC fails to apply retention schedules to CAFs and shared drives with appropriate rigour. Without proper control there is a risk that CAFs are in danger of falling into the same unmanaged state as some of the previous shared drives. Whilst HMRC is in the process of an IT rationalisation programme that will address some of the issues with the electronic storage of information, the sheer number of servers and the volume of storage available increase the risk of poor information management in the department.
## Appraisal, Disposal And Transfer
HMRC has developed Appraisal Reports for its core business records. These identify key records that need to be preserved and maintained by HMRC, including customer records to which retention periods are applied, and those that need to be eventually transferred to The National Archives. HMRC has also recently consulted The National Archives on the selection and disposal of case files and agreed what material will be selected for transfer. This is in accordance with The National Archives Acquisition and Disposition Strategy and Operational Selection Policies.
HMRC has transferred 3 metres of material to The National Archives over the last three years. In the last year, however, HMRC has proactively identified and disposed of a great deal of paper records, and has identified a significant amount of material for transfer. It is important that resources continue to be allocated for this work to ensure that HMRC's key information is preserved.
## Sustainability Of Digital Records
In common with all other government organisations, HMRC needs to take active steps to ensure its key information assets remain available and usable
as needed over time.
HRMC has a number of compelling business drivers to ensure the long-term continuity of its information assets. These include the fact that it holds sensitive information about individuals and organisations, with records sometimes spanning decades. The nature of its business and its contact with the majority of citizens means HMRC is also exposed to public scrutiny.
HMRC's ability to find and act on authentic information at the right time is critical to its reputation.
HMRC has no formal process for managing digital continuity through technological change. HMRC is revising its approach to technology change projects, to move towards a process in which the lines of business specify outcomes and the IT function determines how to deliver these. This approach should have a positive impact on the organisation's ability to manage digital continuity during technological change.
HMRC faces a number of challenges in sustaining its records. Its data holdings are exceptionally large, even within the context of central government. HMRC is also heavily reliant on bespoke and legacy IT systems. HMRC has made progress towards ensuring it can sustain the continuity of its digital information. In particular, it has strong leadership from the SIRO and CIO combined with a strong culture of information security, which has been effectively built throughout the organisation.
Recommendation 18: HMRC should incorporate digital continuity into HMRC's Gateway process for managing ongoing change. Recommendation 19: HMRC needs to engage with its supplier to clarify the contractual responsibilities for digital continuity and agree ongoing support in managing and maintaining digital continuity. Recommendation 20: HMRC should undertake a full impact assessment prior to any technological change that may affect the completeness, availability and usability of the department's information assets.
## Business Developed Applications (Bdaps)
HMRC's core business depends on a large number of bespoke and legacy software applications, which presents risks to digital continuity. For example, locally developed applications (BDAPs) are not always well documented and some have no formal support arrangements. Some of these applications may contain personal information and as such need to be managed effectively. Those unsupported by IMS are currently managed and maintained on a bestendeavours basis by the staff members who use them. The department risks loss of access to the data. Furthermore, BDAP data resides on shared drives and its dependencies are not always centrally documented or understood. The data may persist long after the application is no longer in use, presenting a risk that data which is no longer required by the business is still being kept.
HMRC recognises local application development as a risk to digital continuity and has identified funding to scope database and application rationalisation, including bringing BDAPs into the corporate infrastructure and formalising support arrangements.
## Recommendation 21: Hmrc Should Undertake A Limited Review Of Bdaps With Respect To Digital Continuity In Order To Manage And Mitigate The Risks Of These Applications Until A Longer Term Solution Has Been Agreed. Email
HMRC has published guidance on the handling and storage of emails. The average size of an account is 100 megabytes, but the Assessment Team were advised that some individuals have considerably more. Staff members are encouraged to transfer important information from email into shared areas or CAFs. However, there are no checks to ensure that this happens. Emails are also not automatically deleted after a given period of time. All managers and staff should be encouraged to do regular "housekeeping" of their email accounts to ensure that information is properly stored, is not kept for longer than it should be and is accessible.
## Recommendation 22: Hmrc To Carry Out Assurance That All Staff, Including Managers Leading By Example, Adhere To The Email Policy And Do Regular "Housekeeping" Of Their Accounts. Management Of Information
HMRC has a core team of dedicated KIM specialists supported throughout the organisation by a number of information assurance and information management roles. The roles are there to lead, shape and monitor good KIM practice across HMRC. HMRC needs to ensure good communication links between these roles. It is particularly important for the KIM roles to share examples of good practice and we suggest the creation of a networked professional community for KIM as a means of taking this forward.
## Recommendation 23: Hmrc Should Develop Information Networks To Share Good Practice Across The Organisation And Build A Professional Community Of Shared Interest In Kim. Access To Information Data Protection Act (Dpa)
The understanding of, and commitment to, securing customer information in HMRC is at a high level. Personal objectives, security checks and policies support this commitment. However, HMRC has to do more to promote staff understanding of the importance of securing personal data of its own employees. For example, whilst the information from external customers was clearly marked and secured, information on performance reviews did not have the appropriate restrictions consistently applied.
## Recommendation 24: Hmrc Should Clarify Its Guidance On How Internal Personal Information Should Be Managed To Increase Compliance Across The Department. Freedom Of Information (Foi)
There is a clearly defined process for handling FOI queries through a network of Freedom of Information Access Officers. Although HMRC keeps a record of the applied exemptions, this information is not kept in a central area on the CAF and so is not available for staff to re-use and apply without reference to the central team.
## Re-Use/Data Sharing
HMRC relies heavily on partnership working and sharing information both internally and externally. HMRC has approximately one hundred statutory Gateway Agreements. These formalise what information can be shared externally with other government departments, such as the Department for Work and Pensions (DWP), what procedures should be followed and how that information is to be used. However, there is no follow up on usage of the information after external
transfer to ensure it is being used as originally intended. There are also no restrictions on how long the receiving department can keep that information, or when use of the information should cease. HMRC, as suppliers of the data, should be confident that information is used appropriately. Data Principle 5 of the Data Protection Act states that agencies need to agree on how shared information is managed.4
## Recommendation 25: Hmrc To Assess The Validity Of Incorporating A Review Date In Its Gateway Memorandum Of Understanding Covering Use Of Its Data. Recommendation 26: Hmrc To Monitor Whether Data Is Being Used As Prescribed In The Gateway Agreements.
HMRC can make further progress in assessing what other information it holds that can be anonymised and shared externally. The emphasis to date has been on securing information. The potential for unlocking some of the nonpersonal information held in data sets and making that available to the general public should be explored within available resources, by reference to the data holdings that are currently published on data.gov.uk.
Given the sensitivity of taxpayer data HMRC are considering alternative ways of making data available. At the moment they are piloting a "datalab" system that will allow accredited academic users access to anonymised data to facilitate detailed analysis of the tax paying population. It is hoped that this will go live in 2011.
## Recommendation 27: Hmrc Should Identify What Further Information It Can Make Available As Part Of The Drive To Open Up Public Data.
## Security
Awareness of information security in HMRC is extremely high. Internal security procedures give the Executive Committee confidence that security procedures are working. However, security measures can add cost and are sometimes perceived to make it more difficult to share information.
While HMRC has addressed the processes relating to internal security and assurance, senior management recognises that the department remains vulnerable to human error or incompetence. Additionally, there was evidence that some contracting services, such as courier services, are not following security practices as rigorously as HMRC personnel. HMRC has established a process of third party assurance that has taken input from the Security and Commercial Directorates. This operates in accordance with Cabinet Office guidelines and industry best practice (using ISO 27000). A structured review is underway of the top 30 suppliers, with 22 reviews completed and a further 8 to be finished by the end of March 2011.
## Recommendation 28: Hmrc Needs To Further Improve Assurance Of Third-Party Contractors.
HMRC's Data Security Handbook is distributed to all staff but the application of protective marking is inconsistent. For instance, there was evidence of over-classification of documents and communications in some cases and an absence of protective marking on sensitive information in others. HMRC needs assurance that documents and communications are appropriately marked.5
## Recommendation 29: Hmrc To Reinforce The Usage Of The Data Security Handbook'S Guidance On Protective Marking To All Staff. Compliance Staff Responsibilities And Delegations
HMRC should be proud of its achievements in raising understanding of, and compliance with, information security and assurance. As highlighted previously, HMRC has created a range of roles with specific information management and information assurance responsibilities, but there is a lack of clarity surrounding these roles.
Information Champions are appointed by each Director General to act on their behalf to oversee and co-ordinate action to assess and address information risks. They have responsibility for information governance within their business units, including the Data Guardian and Information Partner roles. The Data Guardian role is well established and was set up in as part of work to improve data security. Information Partners are tasked with ensuring business compliance with all relevant information related legislation and associated policies.
The importance of good KIM was not always fully understood, and, in some cases, management support beyond assigning the role to an individual was minimal. The majority of these roles are in addition to the substantive job, which can limit the available time and motivation to fulfil this role.
## Recommendation 30: Hmrc Should Ensure That The Individuals' Assigned Kim Roles Are Given The Appropriate Amount Of Time And Support To Meet Their Kim Responsibilities. Policies And Guidance
KAI has worked hard to develop, publish and update its information and records management policies and guidance on the Intranet. This was found to be useful and relevant to experienced KIM staff. However, other staff perceived the guidance to be too complex for those not in specialist KIM roles. Additionally, multiple versions of the guidance were available, leading to confusion as to which was the definitive version.
## Recommendation 31: Hmrc Must Exercise Control Over Business Areas When They Adopt, Amend And Publish Kai Policies To Ensure That Only The Latest Versions Of The Policies Are Utilised. Training
Training on information management is via an online e-learning package introduced in December 2009, which had been accessed by a total of 37,017 staff by March 2010. Most staff interviewed had heard of or completed the online training package prior to the IMA and felt it offered a good basic introduction. KAI has actively championed the package across the department and HMRC should be commended for this.
A broad indication of the level of understanding of KIM across the department can be gained from the results of the KAI Records and Information Management Surveys. These were conducted in 2009 and 2010 and show a percentage increase in respondents who said they knew what information to keep, where they should keep it and how long they needed to keep it for. This increase may in part be due to the roll-out and wide uptake of the e-learning package, the contents of which were likely to be fresh in the minds of many who took part in the 2010 survey. HMRC needs to ensure that virtual learning is backed up with local activity in support. For instance, staff within the Benefits & Credits directorate (B&CD) approached virtual learning as a team exercise with meetings to discuss related issues. The staff handbook and posters were used to reinforce the information security message. This method could be used to promote the KIM e-learning package and the message that well-organised information underpins information security.
## Recommendation 32: Hmrc To Provide Supplementary Material To Support The Kim E-Learning Package Or Incorporate This Into The Data Security Handbook.
HMRC provides formal classroom training on data security as part of the induction process but not on KIM. Instead, HMRC relies mainly on e-learning and local training of staff. KAI delivers some events and attends meetings, as resources allow, but as part of their "raising awareness" efforts and not as part of the induction process. HMRC acknowledges that making new entrants familiar with sound records and information practices would be of benefit.
## Recommendation 33: Hmrc Should Include Kim Training Within Induction Training For New Staff.
HMRC has invested resources in KIM roles within the department, but how these roles are filled, used and developed has been left to the discretion of individual business areas. At the time of the assessment there was no training available for these roles.
## Recommendation 34: Hmrc Should Implement Appropriate Kim Training For Each Of The Specific Departmental Kim Roles. Change Management
Senior management constantly referenced the "journey" that HMRC is on.
They recognise that change is needed to create a leaner, more efficient and effective department. The Pacesetter programme, which will eventually cover all HMRC, encapsulates how this will be achieved. Pacesetter initiatives have two main themes: business change and capability delivery. The latter focuses on management and delivery process, mindsets and behaviours ("Lean" principles) and is underpinned by a drive to develop management capability. Staff members interviewed were highly complimentary of the programme.
Benefits & Credits is working with the Future Pacesetter team to introduce IM principles into the existing Pacesetter tools (7 Wastes and 5 Ss) and they are
being integrated into the PaceSetter learning syllabus, PaceSetter roadmap and Blueprint.
HMRC should consider incorporating KIM principles and governance as part of the programme to demonstrate how KIM can benefit and improve the way that HMRC operates.
Recommendation 35: HMRC should incorporate KIM into Pacesetter principles to support raising the awareness and the benefits of KIM across the department.
## Culture Commitment
HMRC is a large, dispersed department. The legacy of the merger of Customs and Revenue was frequently mentioned: when asked about their experiences within HMRC, staff often did so unprompted from a Customs or Revenue perspective. Most staff members have very specific tasks and do not see the potential to share information beyond traditional boundaries. Programmes such as Pacesetter, that operate across departmental silos and assist in identifying common processes, will provide opportunities for better information sharing.
HMRC has demonstrated KIM leadership and direction from the top. The Assessment Team also interviewed many engaged and committed operational staff who understood that good KIM practice can help them work effectively. However, there was a perceived gap in commitment, knowledge and support at the middle-management level. These managers were largely focussed on meeting their business or directorate objectives, without considering the impact of how their lack of engagement on KIM was interpreted by staff. The support of middle managers, leading by example, is essential in setting standards.
## Recommendation 36: Hmrc Should Review And Assess How To Engage Middle Managers In Supporting The Kim Agenda. Knowledge Management/Transfer
There is no formal or routine process for capturing the knowledge held by an individual when they leave. An individual's experience is important, especially in times of change. The Assessment Team were advised that the Legal Team have a process to capture an individual's knowledge as part of the exit process. In other areas it was ad hoc or non-existent. This is of relevance to HMRC as it continues its restructuring programme.
## Recommendation 37: Hmrc Should Establish Formal Handover Procedures To Capture Knowledge On Internal Transfer.
There is some good practice in data sharing, for instance the Risk and Intelligence Service (RIS) in creating The Standard Intelligence Package (SIP) which provides a profile of a case with identified risks which is sent to local Compliance Offices. A recognised benefit of good KIM practice is that security profiles and staff vigilance become integral to day-to-day working.
There is no process for capturing or sharing the successes of the KIM programme or good practice stories. There is an opportunity to let staff across HMRC see the benefits of good KIM.
## Recommendation 38: Hmrc Should Establish An Online Kim Space To Capture And Share Examples Of Good Kim Practice. Appendix One: Summary Of Recommended Actions
This is a summary of the recommended action to:
remedy the weakness identified; and, strengthen the commitment to the Information Management
Assessment Programme.
These recommendations, when agreed, will form an Action Plan that will be monitored.
Business
Ref
Recommendation
Area
1
HMRC should continue to invest in the structures that have allowed for significant progress on information assurance, and, more recently, management of information, particularly during this period of efficiency savings.
2
HMRC should ensure that checking of compliance with KIM policies and standards is included as part of regular internal assurance processes.
3
HMRC should develop a KIM performance measurement regime reporting to the SIRO.
4
HMRC should better define the various KIM roles within the business, provide adequate support for those roles and improve communication of these roles to staff.
Governance
5
Building on progress made, HMRC should take advantage of the Information Assurance programme, and now expand the agenda to include the benefits of good information management.
6
HMRC needs to encourage staff to explore how they can maximise data flows to support delivery of its objectives while maintaining high levels of data security.
7
Whilst The National Archives acknowledges the challenge in this complex information environment, HMRC should continue working to define key processes and their related information/data flows where relevant.
8
HMRC should continue to improve its understanding of its key information assets.
9
HMRC should harness the good work that has been initiated by local data integrity projects, sharing lessons learned across the organisation.
10
HMRC should work closely with The National Archives and adopt the "What to Keep" guidance and approach.
11
HMRC must introduce and implement appropriate retention schedules for heads of duty systems.
12
HMRC needs to ensure that the owners of significant information assets are urgently identified at below Executive Committee level, agreed and assigned and that this is communicated appropriately.
13
HMRC should ensure business areas rationalise and delete files on migration into CAFs, sharing good local practices to facilitate the process.
14
HMRC to ensure that appropriate people with relevant skills are selected to fulfil the CAF Information Manager roles.
15
HMRC should conduct compliance checks to ensure the integrity of the CAF creation and management process.
16
HMRC to ensure that corporate guidance is followed and that all areas have approved retention and disposal schedules that are fully implemented.
## Records Management
17
HMRC to implement a systematic approach to managing paper based
records.
18
HMRC should incorporate digital continuity into HMRC's Gateway process
for managing ongoing change.
19
HMRC needs to engage with its supplier to clarify the contractual responsibilities for digital continuity and agree ongoing support in managing and maintaining digital continuity.
20
HMRC should undertake a full impact assessment prior to any
technological change that may affect the completeness, availability and usability of the department's information assets.
21
HMRC should undertake a limited review of BDAPs with respect to digital continuity in order to manage and mitigate the risks of these applications until a longer term solution has been agreed.
22
HMRC to carry out assurance that all staff, including managers leading by
example, adhere to the email policy and do regular "housekeeping" of their
accounts.
23
HMRC should develop information networks to share good practice across the organisation and build a professional community of shared interest in KIM.
24
HMRC should clarify its guidance on how internal personal information should be managed to increase compliance across the department.
25
HMRC to assess the validity of incorporating a review date in its Gateway
memorandum of understanding covering use of its data.
26
HMRC to monitor whether data is being used as prescribed in the Gateway Agreements.
27
HMRC should identify what further information it can make available as
## Information Legality
part of the drive to open up public data.
28
HMRC needs to further improve assurance of third-party contractors.
29
HMRC to reinforce the usage of the Data Security Handbook's guidance
on Protective Marking to all staff.
30
HMRC should ensure that the individuals' assigned KIM roles are given the appropriate amount of time and support to meet their KIM responsibilities.
31
HMRC must exercise control over business areas when they adopt, amend and publish KAI policies to ensure that only the latest versions of
the policies are utilised.
32
HMRC to provide supplementary material to support the KIM e-learning package or incorporate this into the Data Security Handbook.
Compliance
33
HMRC should include KIM training within induction training for new staff.
34
HMRC should implement appropriate KIM training for each of the specific departmental KIM roles.
35
HMRC should incorporate KIM into Pacesetter principles to support raising the awareness and the benefits of KIM across the department.
36
HMRC should review and assess how to engage middle managers in
supporting the KIM agenda.
Culture
37
HMRC should establish formal handover procedures to capture knowledge on internal transfer.
38
HMRC should establish an online KIM space to capture and share examples of good KIM practice.
## Appendix Two: Ima Commitment
I am personally committed to making sure that we create and manage the information we need to fulfil our corporate obligations. To show the strength of my commitment, both in HMRC and to our partners, I have asked The National Archives to begin the process of assessment. The National Archives final report will be published. I will provide effective leadership on Knowledge and Information Management capability across my Department. I will make sure that our internal processes and training support effective information management. Information is recognised as a key asset in HMRC and is used to support effective data and information sharing and knowledge creation. I will ensure that our information is appropriately captured, described, managed and preserved and that the risks are controlled. I will promote access to and re-use of our information, and protect personal and other sensitive information. Permanent Secretary
## Appendix Three: Glossary
| BDAP | Business Developed Applications |
|---------|-------------------------------------------------|
| CAF | Controlled Access Folder |
| DPA | Data Protection Act |
| DRO | Departmental Records Officer |
| FOI | Freedom of Information |
| GKIM | Government Knowledge and Information Management |
| HMRC | Her Majesty's Revenue and Customs |
| IM | Information Management |
| IMA | Information Management Assessment |
| KAI | Knowledge, Analysis and Information |
| KIM | Knowledge and Information Management |
| PAYE | Pay as You Earn |
| RM | Records Management |
| SIRO | Senior Information Risk Owner |
| en |
2378-pdf | This release has been prepared by staff in Home Office Statistics under the National Statistics Code of Practice and can be downloaded from both the UK
## Drug Misuse: Findings From The 2013/14 Crime Survey For England And Wales
Statistics Authority website and the Home Office pages of the July 2014
GOV.UK website:
http://www.statistics.gov.uk
https://www.gov.uk/government/publicati ons/drug-misuse-findings-from-the-2013-
to-2014-csew
© Crown Copyright 2014
You may re-use this information (not including logos) free of charge in
any format or medium, under the
terms of the Open Government Licence. To view this licence, visit
http://www.nationalarchives.gov.uk/doc/o
pen-government-licence/
or write to the Information Policy Team, The National Archives, Kew, London, TW9 4DU or e-mail:
[email protected] Drug Misuse: Findings from the 2013/14 Crime Survey for England and Wales is also published in HTML format; this document is provided to enable users to print out all HTML pages from one source document. Tables are solely available online via https://www.gov.uk/government/publications/tablesfor-drug-misuse-findings-from-the-2013-to-2014-csew
## Contents
| Introduction | 3 |
|------------------------------------------|--------------------------------------------------------------------------------|
| Conventions used in figures and tables 5 | |
| Section 1 | Extent and trends in illicit drug use among adults 6 |
| Section 2 | Frequency of illicit drug use in the last year 16 |
| Section 3 | Illicit drug use by personal, household and area characteristics and lifestyle |
| factors 20 | |
| Section 4 | Estimates of illicit drug use by ethnicity and sexual orientation 26 |
| Annex | Accessibility of drugs 35 |
| Technical annex | 37 |
| | |
## Introduction
This release examines the extent and trends in illicit drug use among a nationally representative sample of 16 to 59 year olds resident in households in England and Wales, and is based on results from the 2013/14 Crime Survey for England and Wales (CSEW). The release covers the following topics:
Extent and trends in illicit drug use among adults, including separate analysis of young adults
(16 to 24 year olds);
Frequency of illicit drug use in the last year;
Illicit drug use by personal, household and area characteristics and lifestyle factors; Estimates of illicit drug use by ethnicity and sexual orientation.
Accessibility of drugs is covered in the Annex. As population estimates based on the 2011 Census are now available, the Office for National Statistics embarked on a programme of work to re-weight CSEW data using the new estimates. Therefore, drug use estimates from 2001/02 to 2012/13 presented in this publication have been reweighted using new Census 2011 based population weights. Re-weighting the data in this way has had minimal impact on the drug use estimates. For more detail on the re-weighting programme and the impact on drug use estimates, please see the Technical Annex. While responsibility for the CSEW transferred to the Office for National Statistics on 1 April 2012, the Home Office has retained responsibility for analysis and publication of this Drug Misuse publication. Copies of other Home Office publications are available on the Home Office pages of the Gov.uk website: https://www.gov.uk/government/organisations/home-office/series/drug-misuse-declared The dates of forthcoming publications are pre-announced and can be found via the UK National Statistics Publication Hub: http://www.statistics.gov.uk/hub/index.html For further information about the CSEW, please email [email protected]
## Home Office Responsible Statistician
David Blunt, Chief Statistician and Head of Profession for Statistics Contact via [email protected]
The United Kingdom Statistics Authority has designated these statistics as National Statistics, in accordance with the Statistics and Registration Service Act 2007 and signifying compliance with the Code of Practice for Official Statistics. Designation can be broadly interpreted to mean that the statistics: meet identified user needs; are well explained and readily accessible; are produced according to sound methods; and are managed impartially and objectively in the public interest. Once statistics have been designated as National Statistics it is a statutory requirement that the Code of Practice shall continue to be observed. This statistical bulletin is produced to the highest professional standards and is free from political interference. It has been produced by statisticians working in the Home Office Statistics Unit in accordance with the Home Office's Statement of Compliance with the Code of Practice for Official Statistics, which covers Home Office policy on revisions and other matters. The Home Office Statistics Unit works under the direct line management of the Home Office Chief Statistician, who reports to the National Statistician with respect to all professional statistical matters. From April 2012 publication of Crime Statistics bulletins transferred to the Office for National Statistics.
## Conventions Used In Figures And Tables Table Abbreviations
'0'
indicates no response in that particular category, or less than 0.5 per cent (this does not apply when percentages are presented to one decimal point).
'n/a' indicates that the question was not applicable or not asked in that particular year.
'-'
indicates that data are not reported because the unweighted base is fewer than 50.
'**'
indicates that the change is statistically significant at the five per cent level. Where a change
over time is not statistically significant this is noted in the text.
## Unweighted Base
All percentages and rates presented in the tables are based on data weighted to compensate for differential non response. Tables show the unweighted base, which represents the number of people interviewed in the specified group.
## Percentages
Row or column percentages may not add to 100 per cent due to rounding. Most tables present cell percentages where the figures refer to the percentage of adults for which the attribute being discussed applies; the complementary percentage, to add to 100%, is not shown. A percentage may be quoted in the text for a single category that is identifiable in the tables only by summing two or more component percentages. In order to avoid rounding errors, the percentage has been recalculated for the single category and therefore may differ by one percentage point from the sum of the percentages derived from the tables.
## 'No Answers' (Missing Values)
All analysis excludes don't know/refusals, unless otherwise specified1.
## 1. Extent And Trends In Illicit Drug Use Among Adults Introduction
This section covers the extent and trends in illicit drug use among adults aged 16 to 59 measured by the 2013/14 Crime Survey for England and Wales (CSEW). Also included separately are figures for young adults aged 16 to 24. Figures are presented since 1996 when comparable questions were first included on the survey. The User Guide to Drug Misuse: Findings from the CSEW provides further details relating to illicit drug use measures.
**Around 1 in 11 (8.8%) adults aged 16 to 59 had taken an illicit drug in the last year.**
However, this proportion more than doubled when looking at the age subgroup of 16 to 24 yearolds (18.9%).
**Levels of last year drug use in 2013/14 were higher than in 2012/13.** In 2012/13, 8.1% of 16
to 59 year-olds and 16.2% of 16 to 24 year-olds had taken an illicit drug in the last year. However, these figures were both lower than in 1996.
Cocaine, ecstasy, LSD and ketamine use increased between 2012/13 and 2013/14.
However there were no statistically significant decreases in last year drug use of any individual
drug types among 16 to 59 year olds between 2012/13 and 2013/14.
**Around one-third of adults had taken drugs at some point during their lifetime.** Of 16 to
59 year olds, 35.6% had reported ever using drugs.
Estimates of illicit drug use among adults from the 2013/14 CSEW can be found in the Illicit drug use among adults tables.
## Extent And Trends In Overall Drug Use And Class A Drug Use
The 2013/14 CSEW shows that (also see Figure 1.1):
Around 1 in 11 (8.8%) adults aged 16 to 59 had taken an illicit drug (excluding mephedrone) in
the last year, which equated to around 2.7 million people. This proportion was an increase compared with 2012/13 (8.1%) but is back to the same level as in 2011/12;
The overall trend in the proportion of adults taking an illicit drug in the last year has been
essentially stable at between 8% and 9% per cent since 2009/10 following a period of decreasing rates from a peak in 2003/04. (Prior to 2003/04 the proportion remained broadly flat at around 12%).
The proportion of adults aged 16 to 24 taking any drug in the last year was around double the proportion in the 16 to 59 age group, at 18.9%. This was an increase compared with 2012/13 (16.2%) but around the same level as in 2011/12 (19.2%).
Survey data can fluctuate from one year to the next and therefore, it is not yet possible to tell whether the increases between 2012/13 and 2013/14 (as detailed below) signal a reverse of the long-term downward trends, or that either the 2012/13 levels were particularly low or the 2013/14 levels particularly high. Indeed, an upturn in the figures was seen 2008/09 but this did not ultimately affect the overall downward trend.
Note: For 2001/02 to 2005/06 16 to 24 year-old figures have not been re-weighted based on census 2011 weights as it has not been possible to reproduce the youth boost weights Including mephedrone, the proportion of adults aged 16 to 59 taking any illicit drug in the last year was 8.8% in 2013/14 (i.e. no different to the proportion when excluding mephedrone). This was an increase from 8.1% in 2012/13 but a similar level to 2011/12 (9.0%) and 2010/11 (8.8%). According to the 2013/14 CSEW, 3.1% of adults aged 16 to 59 had taken a Class A drug in the last year, equivalent to 985,000 people. Although this proportion increased from 2.5% in 2012/13, the longterm trend in Class A drug use in the last year for all adults (as shown in Figure 1.1) has been broadly stable over the last few years. Figure 1.1 also shows that the long-term trend in Class A drug use in the last year for adults aged 16 to 24 decreased between the 1996 (9.2%) and 2013/14 (6.2%) surveys. This was due in part to a decline in last year use of ecstasy, LSD and magic mushrooms over the same period (see the next section 'Extent and trends in individual drug use'). The apparent increase in Class A drug use among 16 to 24 year olds from the 2012/13 survey (4.8%) was not statistically significant, and it is too early to say whether this indicates a change in the long-term downward trend. There have been fluctuations before in this series, notably in 2007/08 and 2008/09.
## Extent And Trends In Individual Drug Use Cannabis
As in previous years, cannabis was the most commonly used drug in the last year, with 6.6% of adults aged 16 to 59 using it last year. As shown in Figure 1.2, this is a similar level to 2012/13 (6.3%), which was the lowest proportion since measurement began in 1996 (when the proportion was 9.4%). The long-term trend shows that the level of last year cannabis use for 16 to 59 year olds fell between 2002/03 and 2009/10, following a period when it was around 10%. Since 2009/10 it has remained essentially stable at between 6 and 7 per cent.
Note: For 2001/02 to 2005/06 16 to 24 year-old figures have not been re-weighted based on census 2011 weights as it has not been possible to reproduce the youth boost weights Similar to the findings for all adults, cannabis was the most commonly used drug in the last year among young adults, with 15.1% of adults aged 16 to 24 using it last year. This was not statistically significantly different from the level in 2012/13 (13.5%), which saw the lowest proportion since measurement began in 1996 (when it was 25.8%, although the peak was 28.2% in 1998). As with the trend for Class A drug use among young people, it is too early to say whether this indicates a change in the long-term downward trend. There have been fluctuations before in this series, notably in 2008/09 and 2009/10.
## Powder Cocaine
As in recent years, after cannabis, the next most commonly used drug in the last year by adults aged 16 to 59 was powder cocaine (2.4%).
As shown in Figure 1.3, the proportion of adults aged 16 to 59 using powder cocaine in the last year was higher than in 2012/13 (1.9%) and is back at the same level as 2009/10 (2.4%). This increase in cocaine use has made a major contribution to the increase in overall drug use between 2012/13 and
2013/14. Although the proportion of adults reporting using powder cocaine in 2013/14 was much higher than in 1996 (0.6%), usage still remains lower than the peak in 2008/09 (3.0%).
Note: For 2001/02 to 2005/06 16 to 24 year-old figures have not been re-weighted based on census 2011 weights as it has not been possible to reproduce the youth boost weights Despite the fall in last year Class A drug use by young adults aged 16 to 24 between 1996 and 2013/14 (see Figure 1.1) there was a statistically significant increase in the use of powder cocaine over the same period (1.3% to 4.2%). However, the apparent increase in cocaine use between 2012/13 and 2013/14 (from 3.0% in 2012/13 to 4.2% in 2013/14) was not statistically significant, and it is too early to say whether this indicates a change in the downward trend observed since peak usage in 2008/09 (6.5%). The trend since 1996 in cocaine use in the last year for those aged 16 to 24 has followed a similar pattern to that for all adults aged 16 to 59, although the proportions are around twice that of the wider age group. However, in recent years, this gap has closed slightly.
## Ecstasy
As shown in Figure 1.4, the level of last year ecstasy use by adults aged 16 to 59 rose from a year earlier and was similar in 2013/14 (1.6%) to that seen in 1996 (1.7%). The proportion of 16 to 59 year olds using ecstasy in the last year has remained between 1.2% and 2.1% since measurement began in 1996.
Note: For 2001/02 to 2005/06 16 to 24 year-old figures have not been re-weighted based on census 2011 weights as it has not been possible to reproduce the youth boost weights The proportion of 16 to 24 year olds reporting ecstasy use in the last year was 3.9%, a non statistically significant increase when compared with 2012/13 (2.9%). Although the long-term trend in last year ecstasy use among young adults is quite erratic (Figure 1.4), use has fallen since the peak in 2001/2 (6.8%).
## Other Illicit Drugs
Looking at changes in individual drug use in the last year between 2012/13 and 2013/14:
For adults aged 16 to 59, as well as the increases in powder cocaine and ecstasy use (see
above) there were statistically significant increases in last year use of LSD (0.2% in 2012/13 to 0.3% in 2013/14) and ketamine (0.4% to 0.6% in 2013/14);
For young adults aged 16 to 24, there was an increase in the last year use of ketamine between
2012/13 and 2013/14 (0.8% to 1.8%), however no other changes in levels of use of any other drugs were found to be statistically significant.
For adults aged 16 to 59 and young adults aged 16 to 24, there were no statistically significant decreases in last year use between 2012/13 and 2013/14 for any type of drug. Despite some increases between 2012/13 and 2013/14, levels of last year use of most drug types in 2013/14 were not significantly different from 2011/12 levels2. It is too soon to tell whether this indicates a possible
'levelling-off' of drug-use levels or what the impact will be on the long term-trend.
See 'Summary of Trends' table below and Tables Ext_02 and Ext_05 for trends in last year drug use. Questions on khat have not been asked since the 2011/12 survey, which showed that the proportion of adults using khat in the last year was 0.2%, the same level as in 2010/11. A question on khat was reintroduced to the 2014/15 survey so future estimates will be available.
## Last Year Use Of Legal Emerging Drugs
The 2013/14 CSEW asked questions on the last year use of legal emerging drugs salvia and nitrous oxide (these questions were added to the CSEW for the first time in 2012/13):
2.3% of adults aged 16 to 59 had taken nitrous oxide in the last year (similar to 2.0% in
2012/13, i.e. not statistically significantly different)
0.5% of adults aged 16 to 59 had taken salvia in the last year (a statistically significant increase
from 0.3% in 2012/13)
For young adults, aged 16 to 24:
7.6% had taken nitrous oxide in the last year (not statistically significantly different from 6.1% in
2012/13)
1.8% had taken salvia in the last year (not statistically significantly different from 1.1% in
2012/13)
## Lifetime Use Of Illicit Drugs
Respondents are also asked about drugs they have ever used ever, but are considered to be a less reliable measure of current drug use than the last year drug use. Figures on lifetime drug use are also likely to be influenced by other factors, such as an ageing population (i.e. the longer people live, the more likely they are to have taken drugs). Therefore only headline figures on lifetime drug use are presented here. More detail is available in the Illicit drug use among adults tables.
## According To The 2013/14 Csew:
Around one-third (35.6%) of adults aged 16 to 59 said they had taken an illicit drug (excluding
mephedrone) in their lifetime, which equates to around 11.2 million people. This is a similar level to recent years but an increase from 30.4% in 1996;
The proportion of adults aged 16 to 24 having ever taken an illicit drug was similar to adults
aged 16 to 59 (36.3%), equivalent to around 2.2 million young adults and at a similar level to recent years. However, unlike for adults aged 16 to 59, this is a statistically significant fall from 1996 (48.4% for 16 to 24 year-olds);
15.4% of all adults aged 16 to 59 and 12.9% of 16 to 24 year olds had taken a Class A drug in
their lifetime. The trends in Class A drug use since 1996 for each age group follow similar patterns to use of any illicit drug;
12.9% of 16 to 24 year olds had taken a Class A drug in their lifetime (around 791,000 people).
This was a decrease from 19.4% in 1996;
For all adults aged 16 to 59, the drug most commonly reported as ever used was cannabis, with
around three-in-ten (29.9%) adults reporting using this drug at some point during their lifetime. Around one-in-ten adults said that they had used amphetamines (11.0%), powder cocaine (9.4%), ecstasy (9.3%) or amyl nitrite (9.1%) in their lifetime;
For young adults (aged 16 to 24), the drugs most widely used ever were cannabis (30.8%),
powder cocaine (9.3%) and ecstasy (9.0%).
Compared with when drug questions were added to survey: Between 1996 and 2013/14
Compared with 10 years ago: Between 2003/04 and 2013/14
Increase
No change
Decrease
Increase
No change
Decrease
Any cocaine
Crack cocaine
Hallucinogens
None
Any cocaine
Ecstasy
Ecstasy
LSD
Powder cocaine
Hallucinogens
Powder cocaine
Opiates
Magic mushrooms
Crack cocaine
Magic mushrooms
Any Class A drug
Heroin
Amphetamines
LSD
Amphetamines
Methadone
Cannabis
Opiates
Cannabis
Tranquillisers
Amyl nitrite
Heroin
Amyl nitrite
Anabolic steroids
Any stimulant drug
Methadone
Any stimulant drug
Tranquillisers
Any drug
Any drug
Anabolic steroids
Compared with last year: Between 2012/13 and 2013/14
Any Class A drug
Increase
No change
Decrease
Any cocaine
Crack cocaine
None
Magic mushrooms
Powder cocaine
Ecstasy
Opiates
Hallucinogens
Heroin
LSD
Methadone
Ketamine
Any amphetamine
Amphetamines
Any Class A drug
Methamphetamine
Any stimulant drug
Any drug
Cannabis
Tranquillisers
Anabolic steroids
Amyl nitrite
Mephedrone
## Table Notes
Source: Home Office, Illicit drug use among adults tables: Table Ext_02. 'Any drug' comprises powder cocaine, crack cocaine, ecstasy, LSD, magic mushrooms, ketamine, heroin, methadone, amphetamines, methamphetamine, cannabis, tranquillisers, anabolic steroids, amyl nitrite, any other pills/powders/drugs smoked. Where drugs are aggregated into composite groups, these are listed in bold typeface. Details on which drugs are grouped together in these groups can be found in the User Guide to Drug Misuse: Findings from the CSEW.
Drugs listed in the increase or decrease columns have seen a statistically significant change in reported usage.
Compared with when drug questions were added to survey: Between 1996 and 2013/14
Compared with 10 years ago: Between 2003/04 and 2013/14
Increase
No change
Decrease
Increase
No change
Decrease
Any cocaine
Crack cocaine
Ecstasy
None
Any cocaine
Ecstasy Crack cocaine
Powder cocaine
Opiates
Hallucinogens
Powder cocaine
Heroin
LSD
LSD
Hallucinogens
Methadone
Magic mushrooms
Methadone
Magic mushrooms
Tranquillisers
Amphetamines
Tranquillisers
Opiates
Heroin
Anabolic
steroids
Cannabis
Anabolic
steroids
Amyl nitrite
Amphetamines
Any Class A drug
Cannabis
Any stimulant drug
Amyl nitrite
Any drug
Any Class A drug
Any stimulant drug
Compared with last year: Between 2012/13 and 2013/14
Any drug
Increase
No change
Decrease
Ketamine
Any cocaine
None
Powder cocaine
Any stimulant drug
Any drug
Crack cocaine
Ecstasy
Hallucinogens
LSD
Magic mushrooms
Opiates
Heroin
Methadone
Any amphetamine
Amphetamines
Methamphetamine
Cannabis
Tranquillisers
Anabolic steroids
Amyl nitrite
Any Class A drug
Mephedrone (Class B) Table notes
Source: Home Office, Illicit drug use among adults tables: Table Ext_05 'Any drug' comprises powder cocaine, crack cocaine, ecstasy, LSD, magic mushrooms, ketamine, heroin, methadone, amphetamines, methamphetamine, cannabis, tranquillisers, anabolic steroids, amyl nitrite, any other pills/powders/drugs smoked.
Where drugs are aggregated into composite groups, these are listed in bold typeface. Details on which drugs are grouped together in these groups can be found in the User Guide to Drug Misuse: Findings from the CSEW. Drugs listed in the increase or decrease columns have seen a statistically significant change in reported usage. Comparison figures for 2003/04 have not been re-weighted based on 2011 census weights as it has not been possible to reproduce the youth boost weights
## 2. Frequency Of Illicit Drug Use In The Last Year Introduction
This section investigates levels of frequent drug use, defined as taking any illicit drug more than once a month on average in the last year, among adults aged 16 to 59 and among young adults aged 16 to 24 as measured by the 2013/14 Crime Survey for England and Wales (CSEW). It also looks at those who took drugs on average once a month in the last year and those who said they had used drugs in the last year but less often than once a month. The User Guide to Drug Misuse: Findings from the CSEW provides further details relating to illicit drug use measures.
The prevalence of frequent drug use has remained broadly similar over the last three
years. In 2013/14, 3.1% of adults aged 16 to 59 were defined as frequent drug users (having
taken any illicit drug more than once a month on average in the last year), a slightly higher proportion than in 2012/13 (2.8%) but similar to the 2011/12 proportion (3.2%).
**Young adults were more likely to be frequent drug users than older people.** The proportion
of young adults aged 16 to 24 classed as frequent drug users (6.6%) was more than twice as high as the proportion of all adults aged 16 to 59 (3.1%) in 2013/14 and represented a statistically significant increase compared with 2012/13 (5.1%).
There were differences in levels of frequent drug use among respondents with different
personal, household and area characteristics. Levels of use of any illicit drug more than
once a month on average in the last year were higher among men than women, among those who went to pubs or nightclubs more often and among those who lived in more deprived areas.
Those who went to nightclubs or pubs more often were more likely to use drugs
frequently. Levels of use of any illicit drug more than once a month on average in the last year
were higher among those who went to nightclubs four or more times in the last month (10.9%) compared with 2.3% of respondents who had not visited a nightclub in the past month. A similar
pattern was found among those visiting pubs more often.
**People living in deprived areas were more likely to be frequent drug users.** A larger
proportion (4.5%) of respondents who lived in more deprived areas3 were frequent drug users
compared with those who lived in the least deprived areas (2.3%).
## Data Tables
Estimates of frequent drug use in the last year among adults from the 2013/14 CSEW can be found in the Frequent drug use tables. Historical frequent drug use data can be found in the Extent and trends in illicit drug use tables.
## Extent Of Frequent Drug Use
Estimates from the 2013/14 CSEW show that 3.1% of adults aged 16 to 59 were defined as frequent drug users, i.e. those that have taken any illicit drug more than once a month on average in the last year. This was slightly higher than in 2012/13 (2.8%), although the increase was not statistically significant, and is similar to the 2011/12 proportion (3.2%).
Frequent drug users made up 40% of the adults who reported drug use within the last year, a similar proportion to the 2012/13 survey (38%, data not shown). A small proportion (8%) of adults who reported using drugs in the last year said they had used drugs once a month on average, and the remaining 52% said they had used drugs in the last year but less often than once a month. The proportion of all young adults (i.e. those aged 16 to 24) defined as frequent drug users was over twice as high (6.6%) as the proportion of frequent drug users among all adults aged 16 to 59 (3.1%). However, among young adults who reported taking any drug in the last year, two-fifths (40%) were defined as frequent drug users, the same proportion as among adults aged 16 to 59 who reported taking drugs last year (40%). Similarly to all adults, 7% of 16 to 24 year olds who had used drugs in the last year said they had used them once a month and 53% said they had used them less frequently than once a month.
As reported in the previous section (Extent and trends in illicit drug use among adults), cannabis was the most prevalent drug taken in the last year among adults aged 16 to 59 (6.6% had used cannabis in the last year) and among those aged 16 to 24 (15.1%). Of those 16 to 59 year olds who had used drugs in the previous year, 76% reported taking cannabis (80% among those aged 16 to 24). As shown in Figure 2.1, of those aged 16 to 59 reporting use of cannabis during the last year, 43% reported frequent use of this drug (i.e. they had taken it more than once a month on average in the last year). The equivalent proportion for young adults aged 16 to 24 was similar at 41%. Only 7% of adults aged 16 to 59 who had used cannabis in the last year, had used it just once a month. This figure was 6% among 16 to 24 year olds. In contrast, respondents were less likely to use class A drugs frequently - for example, only 14% of 16 to 59 year olds reporting using cocaine more often than once a month.
## Trends In Frequent Drug Use
There has been a decrease in frequent drug use among 16 to 24 year olds since measurement began in the 2002/03 survey (from 11.6% to 6.6% of this population). As shown in Figure 2.2, there was a general downward trend between 2003/04 (12.4%) and 2007/08 (7.3%). The trend was broadly flat between 2007/08 and 2011/12, and following a fall in 2012/13, returned to a similar level in 2013/14. Questions on frequency of drug use in the last year were first completed by all adults aged 16 to 59 in the 2009/10 survey and the proportion of frequent drug users in this age group has been relatively consistent at around 3%.
Source: Home Office, Illicit drug use among adults tables: Table Ext_02 and Ext_05. From 2012/13 figures include frequent users of mephedrone only. However, these numbers are so small that excluding them from the 2012/13 and 2013/14 figures does not change the proportions to one decimal place.
Data for 2010/11 are not available; see the Technical annex section for more information.
## Frequent Drug Use By Selected Personal, Household And Area Characteristics
The proportion of frequent drug users varied by personal and area characteristics. For example:
Levels of use of any illicit drug more than once a month on average in the last year were higher among men than women in 2013/14. Men were three times as likely as women to report frequent drug use in the last year (4.8% and 1.5% respectively).
Around 10.9% of respondents who had been to a nightclub four or more times in the last month were frequent drug users. This compares with 2.3% of respondents who had not visited a nightclub in the past month.
Similarly, those who visited pubs more frequently were more likely to be frequent drug users (9.2% of those who had been to the pub nine times or more in the past month), compared with those who hadn't visited a pub in the past month (2.4%).
A larger proportion (4.5%) of respondents who lived in more deprived areas4 were frequent
drug users compared with those who lived in the least deprived areas (2.3%).
The likelihood of frequent drug use in the last month tended to decrease as household income rose; 6.2% of respondents with an annual household income of under £10,000 reported frequent drug use, decreasing to 1.5% of respondents with a total household income of
£50,000 or more.
Similar relationships were also found for those who said they used drugs once a month and for those who said they used drugs in the last year but less often than once a month. A full breakdown of drug use by personal, area and household characteristics appears in Frequent drug use tables F_03 and F_04.
## 3. Illicit Drug Use By Personal, Household And Area Characteristics And Lifestyle Factors Introduction
This section presents findings from the 2013/14 Crime Survey for England and Wales (CSEW) on levels of illicit drug use over the last year by age, gender, frequency of nightclub and pub/wine bar visits, alcohol consumption and some area characteristics. Illicit drug use by additional personal, household and area characteristics are included in the Illicit drug use by demographics tables but are not commented on here.
The User Guide to Drug Misuse: Findings from the CSEW provides further details relating to illicit drug use measures and definitions.
**Younger people are more likely to take drugs than older people.** The level of any drug use
in the last year was highest among 16 to 19 year olds (19.3%).The level of drug use was much lower in the oldest age group covered by this part of the survey (1.5% of 55 to 59 year olds).
**The average age of drug users has risen since 1996.** The average age of people using an
illicit drug in the last 12 months has increased from 26.6 years in 1996 to 29.3 years in 2013/14. This age increase is also reflected in the change in the distribution of ages of drug users between these two survey years. It is also likely to reflect the ageing population in England and Wales.
**Men are more likely to take drugs than women.** Around one-in-eight (11.8%) men had taken
an illicit drug in the last year, according to the 2013/14 CSEW, compared with 5.8% of women.
People living in urban areas reported higher levels of drug use than those living in rural
areas. Around a tenth (9.3%) of people living in urban areas had used any drug compared with
6.5% of those living in rural areas.
Higher levels of drug use are associated with increased frequency of visits to pubs, bars
and nightclubs. For example, use of any class A drug in the 12 months prior to interview was
around 8 times higher among those who had visited a nightclub at least four times in the past month (17.1%) compared with those who had not visited a nightclub in the past month (2.0%). A similar pattern was found for those visiting pubs and bars more frequently.
## Data Tables
Estimates of last year illicit drug use by personal, household and area characteristics and lifestyle factors from the 2013/14 CSEW, alongside long-term trends for certain characteristics, can be found in the Illicit drug use by demographics tables.
## Extent And Trends In Illicit Drug Use By Age Group
As shown in previous years, the level of any drug use in the last year was highest among the youngest age groups; 19.3% of 16 to 19 year olds and 18.7% of 20 to 24 year olds reported any drug use in the last year. Levels of illicit drug use then decreased as age increased, from 13.0% of those aged 25 to 29 to 1.5% of 55 to 59 year olds.
Between the 1996 and 2013/14 CSEW last year use of any illicit drug fell overall, due in large part to the declines in illicit drug use among 16 to 24 year olds (as shown in Figure 3.1) for the most prevalent drug types (cannabis, ecstasy, amphetamines and hallucinogens). Over the same period, there have been increases in any drug use among 45 to 54 year olds (from 1.9% to 3.5%). These have primarily been driven by increases in the use of cannabis, although use of this drug among these age groups is still relatively low compared to younger age groups. Compared with estimates from the 2012/13 CSEW, it appears any drug use in the last year has increased among those aged under 45 years. However, none of the changes in any drug use for those aged 44 years and below were statistically significant. Class A drug use was highest among 20 to 29 year olds with 7.7% of 20 to 24 year olds and 5.9% of 25 to 29 year olds reporting use of these types of drugs in the last year. The overall use of Class A drugs has remained largely stable since 1996, peaking in 2008/9 at 3.6%, and falling to 3.1% in 2013/14.
## Age Profile Of Last Year Drug Users
The average age of people using an illicit drug in the last 12 months has increased from 26.6 years in 1996 to 29.3 years in 2013/14. This age increase is also reflected in the change in the distribution of ages of drug users between these two survey years, as shown in Figure 3.2. The proportion of last year drugs users aged 16 to 24 has fallen from 49.2% in 1996 to 42.0% in 2013/14, as shown in Figure 3.2. Conversely, the proportion of drug users aged 45 to 59 has increased from 4.6% in 1996 to 11.3% in 2013/14.
This is likely to be due to a number of factors, including the 1996 population of drug users ageing and continuing to use drugs, relatively fewer new young users taking up drugs, increased take up of drugs by older people than in 1996, or a combination of these.
A similar, but more pronounced, pattern is also shown in the age profile of class A drugs users in Figure 3.3. The proportions of drug users in the youngest age groups have decreased between 1996 and 2013/14, while the proportions in age groups between 25 and 54 have increased over the same period.
The average age of people using class A drugs increased from 24 years in 1996 to 28.7 years in 2013/14. Although class A drug users are younger on average than users of any illicit drug, the gap in average age appears to be closing (e.g. in 1996 there was a 2.6 year difference between average age of any illicit drug users compared with any class A drug users; in 2013/14 this fell to 0.6 years difference between average age of any illicit drug users compared with any class A drug users).
## Chart Notes Extent And Trends In Illicit Drug Use By Gender
Levels of illicit drug use during the last year were higher among men than women in 2013/14, a pattern that has been seen since 1996. Around one-in-eight (11.8%) men had taken an illicit drug in the last year, compared with around one-in-seventeen women (5.8%). According to the 2013/14 survey, men were more than twice as likely to report use of cannabis in the last year as women (9.1% of men had used cannabis in the last year, compared with 4.1% of women), as well as powder cocaine and ecstasy among other drugs, as shown in Figure 3.4.
In 2013/14, the use of any Class A drug in the last year increased among men compared with 2012/13 (from 3.6% to 4.4%), and was driven by increased powder cocaine use (usage prevalence of this drug increased from 2.7% to 3.3% of men). Over the longer term, between 1996 and 2013/14, there have been falls in use of hallucinogens, amphetamines, cannabis and any drug, but an increase in the use of powder cocaine, among both men and women.
## Extent And Trends In Illicit Drug Use By Lifestyle Factors
Illicit drug use varied by lifestyle factors such as frequency of nightclub visits, pub/wine bar visits and alcohol consumption.
As shown in previous years, levels of drug use in the last year increased with the frequency of nightclub visits and pub/wine bar visits. For example, in 2013/14, among adults aged 16 to 59:
Use of any class A drug in the 12 months prior to interview was around 8 times higher among
those who had visited a nightclub at least four times in the past month (17.1%) compared with those who had not visited a nightclub in the past month (2.0%);
This was driven by last year use of ecstasy, which was around 15 times higher among those
who had visited a nightclub at least four times in the past month (11.9%) compared with those who had not visited a nightclub in the past month (0.8%);
Similarly, powder cocaine use was around 13 times higher among those who had visited a pub
or bar at least nine times in the last month (11.4%) than those who had not visited a pub or bar at all in the last month (0.8%).
As shown in Figure 3.5, in 2013/14, as frequency of alcohol consumption increased, so did last year drug use. Adults aged 16 to 59 who reported drinking alcohol three or more days per week in the last month were around twice as likely to have used any illicit drug (11.9%) and four times more likely to have used a Class A drug (5.6%) in the last year than those who reported drinking less than once a month (including non-drinkers) (5.5% for any drug and 1.2% for any Class A drug).
## Chart Notes Extent And Trends In Illicit Drug Use By Area Characteristics
In the 2013/14 CSEW, levels of any drug use in the last year varied by area characteristics. For example:
Use of any drug, any Class A drug and any stimulant drug, was higher among those living in
urban areas compared with those living in rural areas. For example, 9.3% of people living in urban areas had used any drug compared with 6.5% of those living in rural areas.
There was variation in drug use by Output Area Classification. Those living in areas classified
as 'City living', 'Multicultural' or 'Constrained by circumstances' were more likely to have used any drug (14.7%, 10.8% and 10.5% respectively) than those living in other types of areas (e.g. 5.6% of those living in 'Countryside' areas). Use of any Class A drug was higher among those
living in 'City living' (6.5%) and 'Multicultural' (4.7%) areas compared to other types, such as
'Countryside' areas (1.2%).
Use of any drug was almost twice as high among those living in flats, maisonettes or bedsits
(13.6%) compared with those living in a house (7.9%).
## 4. Estimates Of Illicit Drug Use By Ethnicity And Sexual Orientation Introduction
This section presents findings on levels of illicit drug use of 16 to 59 year olds by ethnicity and sexual orientation. The commentary for the analysis focuses on last year drug use of any drug (excluding mephedrone) as this is the best indicator available to measure patterns of recent drug use. Typically, around one-in ten respondents who completed the self-completion module in each year identified themselves as being from a background other than White. Estimates of illicit drug use are routinely broken down by a high level5 ethnic group classification (see Illicit drug use by demographics tables). However, in order to provide estimates of drug use among more specific minority ethnic groups, the findings presented in this chapter use combined data from the 2011/12, 2012/13 and 2013/14 CSEWs (the 'combined dataset'). The resulting larger sample size means it is possible to provide estimates of drug use for a more detailed breakdown of ethnic groups than would be possible using one year's worth of survey data. Similar analysis was last carried out on a combined dataset based on the 2006/07, 2007/08 and 2008/09 surveys and was published in Drug Misuse Declared: Findings from the 2009/10 British Crime Survey. Estimates of use of illicit drugs ever, along with estimates of last year use, are available by ethnic group in the Illicit drug use among adults by ethnicity and sexual orientation tables. The self-completion module of the CSEW, which covers more sensitive topics such as illicit drug use, also includes an additional question asking respondents about their sexual orientation. A relatively small proportion (around 3%) of self-completion module respondents in each year identified themselves as gay, lesbian or bisexual6. Therefore, similarly to estimates for ethnicity, the findings presented in this chapter use combined data from the 2011/12, 2012/13 and 2013/14 CSEW in order to provide more robust estimates of use of individual drugs by sexual orientation broken down by gender. Figures and commentary are based on analysis of respondents' drug use in the last year. Similar analysis was last carried out on a combined 2007/08 and 2008/09 dataset and published in Drug Misuse Declared: Findings from the 2009/10 British Crime Survey7.
The User Guide to Drug Misuse: Findings from the CSEW provides further details relating to illicit drug use measures and definitions, and the Technical Annex gives more detail on the three-year combined dataset.
Adults from mixed ethnic backgrounds were the most likely to have taken any illicit drug in
the last year compared with adults from other ethnic groups. Adults from Asian or Asian
British ethnic backgrounds generally had the lowest levels of last year drug use.
Last year cannabis use was highest among adults from a mixed ethnic background than for
adults from other ethnic groups. The overall mixed ethnic group had a higher prevalence of last
year cannabis use than any other group (13.8%), for example when compared with adults from a white background (7.0% overall).
Gay or bisexual adults were more likely to have taken any illicit drug in the last year than
heterosexual adults. In particular, gay or bisexual men were the group most likely to have taken
any illicit drug in the last year (33.0% had taken drugs in the last year), with higher levels of illicit drug use than gay or bisexual women (22.9%) and heterosexual men (11.1%).
DATA TABLES
Estimates of drug use by ethnicity and sexual orientation based on the combined dataset (2011/12, 2012/13 and 2013/14 CSEW) can be found in the Ethnicity and sexual orientation tables.
## Estimates Of Illicit Drug Use By Ethnicity Illicit Drug Use By Ethnicity
Overall, those from mixed ethnic backgrounds generally had the highest level of any drug use in the last year (17.1% of this group had taken drugs in the last year), compared with other ethnic groups. Within the mixed ethnic group, the general pattern was that adults from mixed-white/black Caribbean backgrounds had the highest level of drug use, although compared with other mixed ethnic groups the differences were not statistically significant (likely due to the small number of respondents in each group). Proportions taking drugs within the more specific mixed ethnic groups ranged between 13.8% and 21.2% (as shown in Figure 4.1). Adults identifying as mixed-white/black Caribbean had statistically significantly higher levels of drug use than any other non-mixed ethnic groups (21.2%, compared with, for example, white-British, 9.0%).
As these results are taken from the combined dataset, these will not match the figures presented in Section 3: Illicit drug use by personal, household and area characteristics and lifestyle factors.
Mixed ethnic groups also had the highest levels of Class A drug use in the last year.
The most prevalent drug among each of the ethnic groups was cannabis. The overall mixed ethnic group had a higher prevalence of last year cannabis use than any other group (13.8% overall, ranging from 8.9% for mixed-white/black African to 16.0% mixed-white/black Caribbean), for example when compared with adults from a white background (7.0% overall). Adults from the Asian or Asian British and Chinese or other ethnic groups generally had the lowest levels of last year drug use. Levels were similar among those identifying as Asian-Indian (3.2%), Asian-Pakistani (3.4%), Asian-Bangladeshi (4.0%) and Chinese (4.0%). Within black or black British backgrounds, those from a black-Caribbean background had higher levels of cannabis and any drug use in the last year (8.0% and 8.9% respectively) than adults with a black- African background (2.8% and 3.9% respectively).
## Illicit Drug Use By Ethnicity And Gender
Overall prevalence of drug use among men in the general population is around twice as high as for women (see Demographics section). Similarly, for all ethnic backgrounds the difference in drug use between men and women was statistically significant except in the Indian, Pakistani, Bangladeshi, Chinese and black African groups (see Figure 4.2).
Note: due do small sample sizes it is not possible to show figures for men within 'Mixed - white/black African' and 'Other black background'.
As white British adults made up the vast majority of respondents, it is unsurprising that levels of last year use of any illicit drug for white British men (12.3%) were around twice as high as for white British women (5.8%), i.e. similar to the whole population. Levels were also around twice as high for men than for women in the overall 'mixed' (24.5% of men, 10.4% of women) and 'Asian or Asian British' (4.6% of men, 2.0% of women) groups, and within these high-level groups, men from 'any other mixed' background had four times (26.1% men, 7.1% women) and 'other Asian' backgrounds five times (5.8% men, 1.2% women) the levels for women of the same ethnic background.
'Black or black British' men had around three times the level of last year drug use as women from the same ethnic background (9.0% men, 3.2% women) and in particular black Caribbean men had around five-times the last year drug use as black Caribbean women (16.5% men, 3.4% women).
## Illicit Drug Use By Ethnicity, Standardised By Age
Levels of illicit drug use are known to be higher among younger adults, so the age profile of the different ethnic groups is likely to affect drug use estimates for adults within those groups (see Table Eth_07). The higher level of drug use among adults from a mixed ethnic group may reflect the younger age profile of these individuals. To illustrate, around half (53%) of the high-level mixed ethnic group were aged between 16 and 29 (mean age 31.1), whereas in the general population8 the proportion of adults aged 16 to 29 was lower at around one third (31%) (mean age 37.5). 'Age-standardisation' can be used to adjust rates and take into account the age profile of the ethnic groups (see Technical Annex for more detail). Standardising the drug use rates in this way means that many of the differences observed between groups disappear, which suggests that age, not ethnicity, is the key driver of differences between groups. As with the non-standardised analysis, the age-standardised level of last year drug use in mixed ethnic backgrounds remained higher than in other high-level groups (white; black or black British; Asian or Asian British; Chinese or Other). However, the difference between mixed and other groups was not as large, in particular when compared with white backgrounds which had the second highest rate.
Looking at the more detailed mixed backgrounds (see Figure 4.3), the overall age-standardised picture was again similar to the non-standardised analysis. The higher level of drug use among the mixed-white/black Caribbean group remains evident, although as with the non-standardised analysis this was not statistically significantly different from the mixed-white/black African or 'any other mixed' ethnic groups. Standardising the drug use rates in this way means that many of the differences observed between groups disappear, which suggests that age, not ethnicity, is the key driver of differences between groups.
8 Defined here as the age group 16 to 59.
## Estimates Of Illicit Drug Use By Sexual Orientation
Of the respondents in the combined dataset, 97% reported that they were heterosexual or straight; 2%
gay or lesbian and 1% bisexual. Analysis presented here combines adults who identified as being gay or lesbian with those who were bisexual, i.e. 3% of the respondents in total.
Illicit drug use by sexual orientation Overall, gay or bisexual adults were more likely to have taken illicit drugs in the last year (28.4% had taken drugs in the last year) compared with heterosexual adults (8.1%). This higher prevalence of last year drug use among gay or bisexual adults was also true for any Class A drug (10.0% for gay or bisexual adults compared with 2.7% of heterosexual adults) and across most drug types: powder cocaine, ecstasy, hallucinogens, amphetamines, methamphetamine, cannabis, tranquilisers, ketamine and amyl nitrite (see Figure 4.4).
## Illicit Drug Use By Sexual Orientation And Gender
As shown in Figure 4.5, the higher drug use prevalence among gay/bisexual adults also remained when making comparisons within gender.
One-third (33.0%) of gay/bisexual men had used drugs in the last year, which was around three times higher than the proportion of last year drug use by heterosexual men (11.1%). This reflects higher levels of use of the majority of individual drugs asked about, i.e. powder cocaine, ecstasy, amphetamines, methamphetamine, cannabis, tranquilisers, ketamine and amyl nitrite. The greatest difference was detected in the use of amyl nitrite9 in the last year by gay or bisexual men compared with heterosexual men (14.7% and 0.8% respectively). Last year use of any drug among gay/bisexual women was around four times higher than for heterosexual women (22.9% and 5.1% respectively). Far higher levels of last year cannabis use among gay or bisexual women (17.5% compared with 3.8%) explained much of this difference, however last year prevalence of powder cocaine, ecstasy, hallucinogens, amphetamines, tranquilisers, ketamine and amyl nitrite were also higher among gay/bisexual females than heterosexual females.
## Illicit Drug Use - Comparison Of Gay/Bisexual Men With Gay/Bisexual Women
Overall prevalence of drug use among men in the general population is around twice as high as for women (see Demographics section) and, as mentioned above, 97% of respondents reported that they were heterosexual or straight. It is therefore not surprising that heterosexual men had higher levels of last year drug use than heterosexual women for all drug types asked about. Similarly, gay/bisexual men reported overall higher levels of last year drug use than gay/bisexual women for both any illicit drug and any Class A drug (33.0% and 12.3% for men compared with 22.9% and 7.2% for women). Also, levels of amyl nitrite use in the last year were around five-times greater for gay or bisexual men (14.7%) than for gay or bisexual women (3.2%). However, there was more similarity in levels of use of certain drugs when comparing genders (see Figure 4.6). For example, a similar proportion of gay or bisexual men (20.1%) and gay or bisexual women (17.5%) had used cannabis in the last year (see Figure 4.6).
Compared with gay or bisexual women, gay or bisexual men had statistically significantly higher levels of last year use of the following illicit drugs:
amyl nitrite (gay/bisexual men: 14.7%, gay/bisexual women: 3.2%),
cocaine powder (gay/bisexual men: 9.9%, gay/bisexual women: 4.5%),
ecstasy (gay/bisexual men: 7.7%, gay/bisexual women: 4.6%)
ketamine (gay/bisexual men: 4.2%, gay/bisexual women: 1.5%).
Additionally, no gay or bisexual women said that they had taken methamphetamine, (gay/bisexual men: 1.1%), crack cocaine (gay/bisexual men: 0.8%), or anabolic steroids (gay/bisexual men: 0.8%).
## Illicit Drug Use By Sexual Orientation, Standardised By Age (Within Gender)
The higher level of illicit drug use among gay/bisexual adults in general may be due, at least in part, to the younger age profile of individuals identifying themselves as in this group. Around one third (31%)
of the heterosexual population10 (mean age 37.6) is aged between 16 and 29; the equivalent proportion of those identifying themselves as gay or bisexual (mean age 33.0) is almost half (46%). Additionally, 55% of gay/bisexual respondents were male compared to 50% of the heterosexual population. As levels of illicit drug use are known to be higher among younger adults, and also among men (see Demographics section), the higher levels of drug use among gay or bisexual adults may be explained, at least in part, by the age and sex profile of this group. Age-standardisation was used to adjust rates within sexual orientation and gender groups to take into account the younger age profile of gay or bisexual adults and see whether sexual orientation was the key driver of differences between groups (see the Technical Annex for further details). However, agestandardising the drug use rates shows that the variations observed between heterosexual and gay or bisexual adults remain after controlling for the differing age and gender distributions, indicating that levels of drug use are relatively higher among gay or bisexual adults than heterosexual adults (see Figure 4.7).
The differences in level of drug use between heterosexual and gay/bisexual men and heterosexual and gay/bisexual women were still apparent when standardised for age (see technical annex for details on age-standardisation).
However, the difference in age profile between heterosexual and gay/bisexual women was more pronounced than the difference between heterosexual and gay/bisexual men (31% of heterosexual females are aged between 16 and 29, whereas 51% of gay/bisexual females are in the same age bracket11). This means that age-standardisation had a greater effect for gay/bisexual women than gay/bisexual men, so once estimates of last year drug use are standardised by age the differences between heterosexual and gay/bisexual adults were less pronounced for women than for men.
## Annex: Accessibility Of Drugs
Findings presented here are from the 2013/14 Crime Survey for England and Wales (CSEW) on the source from which the most recent drugs taken were obtained, the location where they were obtained (i.e. where the drugs were bought by, or given to, the individual) and the location where they were subsequently taken. These findings are similar to those reported in Drug misuse: findings from the 2012 to 2013 CSEW, and so this section has not been included as a full chapter. Full accessibility statistics for selected personal and area characteristics from the 2013/14 CSEW can be found in the Accessibility of drugs tables.
The analysis is based only on those adults aged 16 to 59 who said they had taken drugs in the 12
months previous to interview. The results in this section will be heavily influenced by use of cannabis, as this was the most prevalent drug used in the last year (see Extent and trends in illicit drug use among adults). It was not possible to carry out separate analysis by drug type.
Last year drug users most commonly sourced their drugs from someone well known to
them. Over half (57%) of adults aged 16 to 59 who had taken drugs in the last 12 months said
that the last drugs they had used were obtained from someone well known to them who was not a family member, for example a friend, work colleague or neighbour. Just under a quarter (22%) had obtained their drugs from a dealer, while just 4% had obtained their drugs from a family member.
**A very small proportion of drugs were sourced from the Internet.** Only 1% of adults who
had used drugs in the last 12 months sourced the last drugs they took from the Internet.
**Drugs were mostly sourced from a domestic setting.** Just over a half (51%) of adults (who
had used drugs in the last 12 months) were in a domestic setting when they obtained the last drugs they took, i.e. their own home or someone else's home. The remaining half had obtained them at other locations in roughly equal proportions, namely at a bar or pub (10%), at a club,
party or rave (11%), on the street/in a park/outdoor area (14%) or somewhere else (14%).
**The majority of last year drug users took drugs in a domestic setting.** Almost two-thirds of
adults (62%) had been in a domestic setting (i.e. at their home or someone else's home) the last time they took drugs. Almost a quarter (23%) took the drugs at a pub, bar, club, party or rave (i.e. typically late night venues), while 6% took them in an outside location (e.g. the street, park or other outdoor area).
Last year drug users were most likely to take drugs in the same location as they obtained
them. As shown in Figure A1, of those adults who obtained the drugs they last took at home,
93% took the drugs at home as well. This is true of most locations, in particular at a club, party or rave (96%), with the exception of those who obtained their drugs in an outside location. Although 35% of these adults also took the drugs in an outside location, just over a third (34%) took them at home instead.
Percentages
Where obtained
At a bar or pub
Somewhere else
At home
At someone else's home
At a club, party or rave
Where taken
On the street, in a park, or other outdoor area
At home
93
19
12
0
34
17
At someone else's home
3
74
12
2
14
12
At a bar or pub
2
2
68
1
5
5
At a club, party or rave
1
3
5
96
8
3
On the street, in a park, or other outdoor area
0
1
1
0
35
7
Somewhere else
1
1
1
0
5
57
Total
100
100
100
100
100
100
Unweighted base
243
485
150
138
155
189
## Table Notes Technical Annex Data Quality And Interpreting The Figures
The Crime Survey for England and Wales (CSEW) provides estimates of illicit drug use among adults aged 16 to 59 within the **general household population** of England and Wales. As such, the CSEW
provides an effective measure of the more commonly used drugs for which the majority of users are contained within this population. As a household survey, the CSEW does not cover groups such as the homeless, or those living in institutions such as prisons, who have potentially high rates of drug use, and problematic drug users who are unable to take part in an interview. Figures presented from the CSEW are only for adults aged between 16 and 59 as this is the age range of the self-completion module of the CSEW where necessarily these sensitive questions on illicit drug use are asked. The 2013/14 survey provides estimates of illicit drug use among adults over two time periods: ever in their lifetime and in the last year. Information on both measures is provided for the extent of drug use and is contained in the tables for this section. However, the discussion on trends is based on last year use, which is deemed the most reliable measure of recent drug use. Only increases or decreases between years that are statistically significant at the 5% level (and are therefore likely to be real) are described as changes within the text; in the tables these changes are identified by asterisks (see the User Guide to Drug Misuse: Findings from the CSEW for more information).
## Mephedrone
A question on mephedrone use in the last year was added to the 2010/11 CSEW to gather information about the extent of its use in the general population. Legislation was passed on 16 April 2010 under the Misuse of Drugs Act 1971 to control mephedrone as a Class B substance.
From 2012/13, mephedrone has been included in an overall 'Any drug (inc. mephedrone)' use measure, for the years 2010/11 to 2013/14. This measure has been presented alongside the existing 'Any drug' measure, to allow for comparability over a longer time period.
From next year, mephedrone will be included in the 'Any drug' measure as standard.
## Frequent Drug Use
In the context of this release, frequent drug use is defined as using the same illicit drug more than once a month on average during the last year. Questions on frequency of use in the last year have been asked of 16 to 24 year olds since the 2002/03 CSEW and were first completed by all adults aged 16 to 59 in 2009/10. These questions were rotated out of the 2010/11 questionnaire and added in again from the 2012/13 CSEW onwards.
## Personal, Household And Area Characteristics
The CSEW collects a rich set of information on the personal, household and area characteristics as well as lifestyle factors of adults that are used to explore differences in illicit drug use. While these discrete relationships provide useful information, it should be noted that these factors often interact and caution should be taken when drawing conclusions; for example, marital status is strongly agerelated and different ethnic groups have different age profiles (e.g. Mixed ethnic groups tend to have younger age profiles than White ethnic groups). This can be addressed to some extend using agestandardisation (see the 'Ethnicity and sexual orientation' section below).
It is also worth noting that where sub-group sizes are small, quite large apparent differences between groups may not be statistically significant.
## Location And Source Of Drugs
Since the 2010/11 CSEW, adults who had used any illicit drug in the last year were asked more detailed questions about the location and source of obtaining drugs the last time they had taken drugs. New questions were added in 2011/12 to ask drug-taking adults how easy they found it to obtain illegal drugs and for non-drug-taking adults, how easy they thought it would be. These questions were removed in 2012/13 and replaced with questions on where adults who had taken drugs in the last year were when they last took them. These questions were included again in 2013/14 and results are presented as an Annex.
## Ethnicity And Sexual Orientation Ethnicity
In 2011/12, respondents were asked to which of six ethnic groups they considered they you belonged to (White; Mixed; Asian or Asian British; Black or Black British; Chinese; another ethnic group) and then asked a follow-up about the more detailed ethnic group. In 2012/13 and 2013/14 respondents were asked to choose one option on a card that best described their ethnic group or background. This included the options 'Irish' and 'Gypsy or Irish Traveller' which have been included in 'another White Background' and 'Arab' that has been included in 'another ethnic group' as these detailed groups were not available in 2011/12. The achieved sample size of those who provided sufficient information to calculate 'any drug use' in the last year from the combined three-year CSEW dataset (2011/12, 2012/13, 2013/14) was 70,619.
This comprises 62,660 respondents who identified themselves as White (86%); 850 who reported being of Mixed (1%) ethnic background; 3,807 who described themselves as Asian or Asian British (8%); 2,240 as Black or Black British (3%) and 1,062 as Chinese or other (2%) ethnic group. For a full breakdown of the proportion of adults within ethnic groups in this population, see Annex Table 1.
## Standardised Prevalence Of Drug Use By Ethnicity
Age-standardisation adjusts rates to take into account the age profile of the population under study and is regularly used in the analysis of morbidity and mortality statistics. This is because the age structure of the population could directly affect statistics such as mortality rates, for example it may be that a high number of deaths in an area could be due, at least in part, to a large proportion of older people in the population. In a similar way, drug use rates are known to be higher among younger adults, and also among men, hence high levels of drug use among ethnic groups may be explained, at least in part, by the age and sex profile of the group. The age-standardised rates are provided in Table Eth_07 as an indication of comparable levels across different groups. Due to the difference in age profile between the ethnic groups, and the known gender difference in drug use, age-standardised estimates of drug use prevalence within sex were created. Standardising the drug use rates in this way means that many of the differences observed between groups disappear, which suggests that age, not ethnicity, is the key driver of differences between groups.
## Sexual Orientation
The sexual orientation question is only asked if respondents complete the module on the laptop themselves, not if they agree to an interviewer completing the survey on their behalf or, of course, if they refuse to complete the module. As with any self-completion survey, respondents can choose to not to answer a particular question. Again, not all respondents provide answers to all the drug use questions (although item non-response is low). In total, the combined achieved sample size of those who responded to the sexual orientation question and also provided sufficient information to calculate 'any drug use' in the last year was 67,282. Of these, 1,732 adults aged 16 to 59 identified themselves as gay, lesbian or bisexual. Standardised prevalence of drug use in the last year by sexual orientation The age-standardised rates are provided in Table Sex_Pref_03 as an indication of comparable levels across different groups. Due to the difference in age profile between the different sexual orientation groups, age-standardised estimates of drug use prevalence within sex were created. Standardising the drug use rates in this way shows that most of the variations observed between groups remain after controlling for the differing age distributions, indicating that levels of drug use are relatively higher among gay or bisexual adults than heterosexual adults.
## Re-Weighting The Csew
The Crime Survey for England and Wales (CSEW) uses population estimates in calibration weighting, which is designed to make adjustments for known differentials in response rates between different regions and different age by sex sub-groups (for more information on calibration weighting see the User Guide to Crime Statistics for England and Wales). Given that population estimates based on the 2011 Census are now available, ONS embarked on a programme of work to re-weight CSEW data using the new estimates. As such, CSEW estimates from 2001/02 to 2012/13 have been re-weighted using the new 2011 Census-based population estimates. For more detail on the re-weighting of CSEW data, please see the methodological note 'Presentational and methodological improvements to National Statistics on the Crime Survey for England and Wales' published by the ONS. Since the drug use estimates presented in this publication use data from the CSEW, estimates from
2001/02 to 2012/13 for 16 to 59 year olds have therefore been re-weighted using the new Census 2011 based population weights.
## The Effect Of Re-Weighting On Drug Use Estimates For 16 To 59 Year Olds
The re-weighting of the CSEW data back to 2001/02 has had minimal impact on the drug use estimates in terms of the proportion of 16 to 59 years olds who have taken drugs in the last year. These estimates have changed by no more than 0.2 percentage points when compared with the original weights and the overall trend remains unaffected, as shown in Figure T1.
14.0 1996199820002001/022002/032003/042004/052005/062006/072007/082008/092009/102010/112011/122012/132013/14
Although the affect on the estimated proportion of drug users has been minimal, there has been a greater affect on the estimated number of drug users. This is unsurprising given that these figures are directly based on population estimates. For example, the 2012/13 Drug Misuse publication estimated around 2.7m people had used any drug in the last 12 months. However, using updated Census-based population figures, this estimate is now around 2.5m.
## The Effect Of Re-Weighting On Drug Use Estimates For 16 To 24 Year Olds
Between 2001/02 and 2008/09, the CSEW included a boost sample of young adults in order to further improve the accuracy of illicit drug use estimates among 16 to 24 year olds. As these survey years included this youth boost sample, estimates for 16 to 24 year olds have been re-weighted in a slightly different way, but are still based on Census 2011 weights. Estimates from the 2001/02 to 2005/06 CSEWs for 16 to 24 year olds have not been re-weighted to account for the youth boost, as it has not been possible to reproduce the youth boost weights for inclusion in this publication. However, it was possible to re-weight estimates for 16 to 24 year olds from the 2006/07 to 2012/13 CSEWs to take into account the youth boost sample. The different ways in which the CSEW data for drug use estimates have been weighted are shown in Table T1. The ticks in Table T1 show which weighting specification has been used in the trends presented in 'Drug Misuse: Findings from the 2013/14 Crime Survey for England and Wales'
publication.
2002/
2003/
2004/
2005/
2006/
2007/
2008/
2009/
2010/
2011/
2012/
2013/
1996
1998
2000
2001/
02
03
04
05
06
07
08
09
10
11
12
13
14
Original
weights
Census 2011 weights
Census 2011 weighted youth boost
From 2008/09 onwards the trend shown using the original data and re-weighted census data are almost identical. Between 2006/07 and 2008/09 it is clear that using the youth boost estimates gives very similar results to the original estimates. Estimates back to 2001/2 calculated using re-weighted Census data (but without the youth boost weights) give a slightly more erratic trend, due to the smaller sample sizes, but the trend is very similar to that found using the original weights. While the estimates are slightly different where the youth boost weights were unavailable (up to 1.5 percentage points difference), the overall trend is unaffected and the re-weighted estimates since 2008/09 are within 0.2 percentage points of those estimates based on the original weights.
## Other Data Sources
Public Health England (PHE) publishes information annually on the age, sex and ethnicity of clients aged 18 years and over in drug treatment contact in England in its annual report Statistics from the National Drug Treatment Monitoring System (NDTMS). The latest report is available online at:
http://www.nta.nhs.uk/statistics.aspx Statistics on Drug Misuse: England, 2013 are published by the Health and Social Care Information Centre and are available online at: http://www.hscic.gov.uk/catalogue/PUB12994
National and regional estimates of the prevalence of opiate and/or crack cocaine use are published by the National Treatment Agency (now Public Health England). Latest figures are available for 2011/12 online at: http://www.nta.nhs.uk/facts-prevalence.aspx The **Smoking, drinking and drug use among young people in England - 2013** report includes extensive information around first drug use for 11 to 15 year olds and is available online at: http://www.hscic.gov.uk/pubs/sdd13 | en |
0363-pdf | Disclosure ref: 26 Sent: 24th May 2019
## Freedom Of Information Act 2000 Request The Total Cost Incurred By The Crown Prosecution Service In Prosecuting The Murder Trial R V Amusa & Ors At Ipswich Crown Court Request
1. The total cost incurred by the Crown Prosecution Service in prosecuting the murder trial R v
Amusa & Ors at Ipswich Crown Court, case reference 37CJ0438118.
2. Please provide details of the lawyer costs, how much was spent in transporting the
defendants to court for each day of the trial and how much compensation was paid to Suffolk Police for providing evidence and support.
3. Also, please provide details of how many hours were spent on legal argument.
4. And what has been the overall cost of prosecuting the last five murder trials in Suffolk? Please
provide a figure broken down for each one. Response
- The total cost incurred by the CPS is £186,367.68.
Queens Counsel -
£121,906.58 Junior Counsel 1 -
£64,141.32 Junior Counsel 2 - £55.80 Junior Counsel 3 - £69.76 Junior Counsel 4- £194.22
- The defendants travel to court and compensation paid to Suffolk Police are not cost borne by
the CPS.
- Trial Counsel spent approximately 30 hours arguing matters of law.
- The CPS only holds costs in relation to preparation time for the court hearings. Please see table
below:
| Case Name | Advocate | Preparation Cost |
|------------------|-----------------------|--------------------|
| | | |
| BOSTOCK | CPS - Principal Crown | £3,155.80 |
| Advocate | | |
| BUTCHER | CPS - Senior Crown | £528.72 |
| Advocate | | |
| RYAN | CPS - Senior Crown | £1,916.61 |
| Advocate | | |
| KENNEDY MILLER & | CPS - Senior Crown | £2,863.39 |
| HARTLEY | Advocate | |
| BELARBI | CPS - Principal Crown | £254.50 |
| Advocate | | |
## External Costs
KENNEDY MILLER & HARTLEY
Queens Counsel - £51,338.28
Under Section 16 of the FOI Act, there is a duty to provide advice and assistance; it is of the view of the CPS that the records held by Her Majesty's Courts and Tribunals Service (HMCTS) will provide the cost of transporting the defendants to court. A Freedom of Information request can be made to HMCTS at:
[email protected] Information Management Unit
020 3357 0899
[email protected]
| en |
2750-pdf |
From :
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Dacorum Borough Council
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90220949-NOV16
209 0426 90
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11055561 NOV16
8,272.00
DCMS
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Natural History Museum
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629799352-NOV16
238 6993 10
76,516.00
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460.00
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EXP-AB13041611979
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59.77
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EXP-AB13041611979
499.84
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CRL Dept Mgmt
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EXP-AB13041611979
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DCMS
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CRL Dept Mgmt
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EXP-AB13041611979
119.18
DCMS
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CRL Dept Mgmt
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19/10/2016
EXP-AB13041611979
204.00
DCMS
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19/10/2016
EXP-AB13041611979
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DCMS
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Exceptional Costs
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Health & Safety Services
Barclays HMG Procurement Card
19/10/2016
EXP-AF01041612076
105.00
DCMS
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EXP-BI00041611998
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Hospitality
Natural History Museum
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Barclays HMG Procurement Card
19/10/2016
EXP-BI00041611998
42.00
DCMS
Hospitality
31-Oct-2016
To :
Department Family
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Entity
Date
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Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
NHM Consultancy
Barclays HMG Procurement Card
19/10/2016
EXP-BI00041611998
481.05
DCMS
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NHM Consultancy
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19/10/2016
EXP-BI00041611998
2.36
DCMS
Hospitality
Natural History Museum
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Barclays HMG Procurement Card
19/10/2016
EXP-CV00041612000
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DCMS
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LS Invertebrates Division
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19/10/2016
EXP-CV00041612000
441.09
DCMS
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Natural History Museum
LS Invertebrates Division
Barclays HMG Procurement Card
19/10/2016
EXP-CV00041612000
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DCMS
Travel-Bus & Rail Transport
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
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EXP-EJ01041612012
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DCMS
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LS Invertebrates Division
Barclays HMG Procurement Card
19/10/2016
EXP-EJ01041612012
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DCMS
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19/10/2016
EXP-EJ01041612012
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DCMS
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LS Vertebrates Division
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19/10/2016
EXP-EJ01041612012
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DCMS
Accommodation
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LS Vertebrates Division
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EXP-EJ01041612012
60.60
DCMS
Travel-Bus & Rail Transport
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LS Vertebrates Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
60.58
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Vertebrates Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
60.58
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Vertebrates Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
60.14
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Vertebrates Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
55.35
DCMS
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Natural History Museum
LS Vertebrates Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
871.96
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Natural History Museum
L&A Dept Management
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
81.57
DCMS
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LS Invertebrates Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
60.58
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Invertebrates Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
60.58
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Invertebrates Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
55.34
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19/10/2016
EXP-JM10041612037
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19/10/2016
EXP-JM10041612037
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Overseas Taxes
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
420.71
DCMS
Other Taxes / Import Duties
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
3,514.00
DCMS
Exceptional Costs
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
32.36
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
6.58
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
549.30
DCMS
Accommodation
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LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
600.75
DCMS
Accommodation
Natural History Museum
LS Genomics & Microbial Biodiversity Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
362.50
DCMS
Hospitality
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LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
8.50
DCMS
Advertising
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
200.03
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
45.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
410.25
DCMS
Postage & Couriers
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
60.58
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
60.15
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
1,220.32
DCMS
Accommodation
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
21.50
DCMS
Postage & Couriers
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
59.50
DCMS
Hospitality
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
105.00
DCMS
Hospitality
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Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
94.00
DCMS
Hospitality
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
46.50
DCMS
Hospitality
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LS Parasites & Vectors Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
390.00
DCMS
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Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
383.81
DCMS
Conference (Delegate) Fees
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
257.90
DCMS
Conference (Delegate) Fees
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
262.03
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Algae, Fungi and Plants Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
200.51
DCMS
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Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
363.64
DCMS
Conference (Delegate) Fees
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
355.56
DCMS
Conference (Delegate) Fees
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
363.64
DCMS
Conference (Delegate) Fees
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
375.76
DCMS
Conference (Delegate) Fees
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
363.64
DCMS
Conference (Delegate) Fees
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
323.23
DCMS
Conference (Delegate) Fees
From :
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
363.64
DCMS
Conference (Delegate) Fees
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
323.23
DCMS
Conference (Delegate) Fees
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
404.04
DCMS
Conference (Delegate) Fees
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
441.09
DCMS
Conference (Delegate) Fees
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
360.90
DCMS
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LS Insects Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
273.08
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Accommodation
Natural History Museum
LS Insects Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
60.58
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Insects Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
60.58
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Insects Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
60.58
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Insects Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
60.58
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Insects Division
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
1,220.32
DCMS
Accommodation
Natural History Museum
LS Department Mgmt Team
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
35.00
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Department Mgmt Team
Barclays HMG Procurement Card
19/10/2016
EXP-JM10041612037
100.00
DCMS
Accommodation
Natural History Museum
LS Insects Division
Barclays HMG Procurement Card
19/10/2016
EXP-LR02041612047
432.95
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Parasites & Vectors Division
Barclays HMG Procurement Card
19/10/2016
EXP-LR02041612047
390.00
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Genomics & Microbial Biodiversity Division
Barclays HMG Procurement Card
19/10/2016
EXP-LR02041612047
576.30
DCMS
IT Costs
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-LR02041612047
8.25
DCMS
Subsistence
Natural History Museum
Internal Affairs
Barclays HMG Procurement Card
19/10/2016
EXP-NR03041612052
863.00
DCMS
Hospitality
Natural History Museum
National Public Programmes
Barclays HMG Procurement Card
19/10/2016
EXP-RJ02041612060
453.39
DCMS
Travel-Bus & Rail Transport
Natural History Museum
National Public Programmes
Barclays HMG Procurement Card
19/10/2016
EXP-RJ02041612060
36.00
DCMS
Travel-Bus & Rail Transport
Natural History Museum
National Public Programmes
Barclays HMG Procurement Card
19/10/2016
EXP-RJ02041612060
145.35
DCMS
Travel-Bus & Rail Transport
Natural History Museum
National Public Programmes
Barclays HMG Procurement Card
19/10/2016
EXP-RJ02041612060
82.11
DCMS
Travel-Bus & Rail Transport
Natural History Museum
National Public Programmes
Barclays HMG Procurement Card
19/10/2016
EXP-RJ02041612060
209.61
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Learning Operations
Barclays HMG Procurement Card
19/10/2016
EXP-RJ02041612060
299.04
DCMS
Hospitality
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Exhibitions, Learning & Outreach Management
Barclays HMG Procurement Card
19/10/2016
EXP-RJ02041612060
21.80
DCMS
Hospitality
Natural History Museum
ES Economic & Environmental Earth Sciences
Barclays HMG Procurement Card
19/10/2016
EXP-AD00041612064
999.66
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-SC03041612066
105.07
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-SC03041612066
-104.80
DCMS
Conference (Delegate) Fees
Natural History Museum
CRL Imaging & Analytical
Barclays HMG Procurement Card
19/10/2016
EXP-SC03041612066
2.75
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Imaging & Analytical
Barclays HMG Procurement Card
19/10/2016
EXP-SC03041612066
5.37
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Imaging & Analytical
Barclays HMG Procurement Card
19/10/2016
EXP-SC03041612066
1.52
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-SC03041612066
318.50
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
L&A Dept Management
Barclays HMG Procurement Card
19/10/2016
EXP-SC03041612066
330.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Development
Barclays HMG Procurement Card
19/10/2016
EXP-FG00041612007
200.00
DCMS
Conference (Delegate) Fees
Natural History Museum
Development
Barclays HMG Procurement Card
19/10/2016
EXP-FG00041612007
12.20
DCMS
Publicat/Book (non-coll) purch.
Natural History Museum
Development
Barclays HMG Procurement Card
19/10/2016
EXP-FG00041612007
69.75
DCMS
Hospitality
Natural History Museum
Development
Barclays HMG Procurement Card
19/10/2016
EXP-FG00041612007
236.80
DCMS
Exceptional Costs
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-HT04041612023
13.50
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-HT04041612023
43.93
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-HT04041612023
69.14
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-HT04041612023
26.50
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-HT04041612023
3.75
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-HT04041612023
57.50
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-HT04041612023
33.33
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-HT04041612023
386.63
DCMS
Exceptional Costs
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612015
69.95
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612015
32.00
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612015
36.00
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612015
288.70
DCMS
Subscriptions & Corp. Mbrships
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612015
13.11
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612015
13.11
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612015
37.43
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612015
92.50
DCMS
Hospitality
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612015
62.00
DCMS
Hospitality
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612015
18.60
DCMS
Hospitality
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612015
92.50
DCMS
Hospitality
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612015
756.25
DCMS
Hospitality
Natural History Museum
Tring Functions
Barclays HMG Procurement Card
19/10/2016
EXP-IW02041612025
26.64
DCMS
Special Event Costs
Natural History Museum
Tring Café
Barclays HMG Procurement Card
19/10/2016
EXP-IW02041612025
4.00
DCMS
Cost of Goods Sold
Natural History Museum
Tring Café
Barclays HMG Procurement Card
19/10/2016
EXP-IW02041612025
15.46
DCMS
Hospitality
Natural History Museum
Tring Retail
Barclays HMG Procurement Card
19/10/2016
EXP-IW02041612025
8.55
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Tring Café
Barclays HMG Procurement Card
19/10/2016
EXP-IW02041612025
20.00
DCMS
Cost of Goods Sold
Natural History Museum
Tring Café
Barclays HMG Procurement Card
19/10/2016
EXP-IW02041612025
104.79
DCMS
Cost of Goods Sold
Natural History Museum
Tring Café
Barclays HMG Procurement Card
19/10/2016
EXP-IW02041612025
12.15
DCMS
Cost of Goods Sold
Natural History Museum
Tring Café
Barclays HMG Procurement Card
19/10/2016
EXP-IW02041612025
14.10
DCMS
Cost of Goods Sold
Natural History Museum
Tring Café
Barclays HMG Procurement Card
19/10/2016
EXP-IW02041612025
24.00
DCMS
Cost of Goods Sold
Natural History Museum
Tring Café
Barclays HMG Procurement Card
19/10/2016
EXP-IW02041612025
103.79
DCMS
Cost of Goods Sold
Natural History Museum
Tring Café
Barclays HMG Procurement Card
19/10/2016
EXP-IW02041612025
595.16
DCMS
Cost of Goods Sold
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-AH07041611988
346.78
DCMS
Conference (Delegate) Fees
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-AH07041611988
547.00
DCMS
Hospitality
Natural History Museum
Sci Post-Graduate Training
Barclays HMG Procurement Card
19/10/2016
EXP-AH07041611988
8.52
DCMS
Travel-Bus & Rail Transport
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Sci Post-Graduate Training
Barclays HMG Procurement Card
19/10/2016
EXP-AH07041611988
352.62
DCMS
Hospitality
Natural History Museum
Sci Post-Graduate Training
Barclays HMG Procurement Card
19/10/2016
EXP-AH07041611988
-1.47
DCMS
Hospitality
Natural History Museum
Sci Post-Graduate Training
Barclays HMG Procurement Card
19/10/2016
EXP-AH07041611988
210.24
DCMS
Hospitality
Natural History Museum
Sci Post-Graduate Training
Barclays HMG Procurement Card
19/10/2016
EXP-AH07041611988
210.24
DCMS
Hospitality
Natural History Museum
Sci Post-Graduate Training
Barclays HMG Procurement Card
19/10/2016
EXP-AH07041611988
43.20
DCMS
Hospitality
Natural History Museum
CRL Conservation Centre
Barclays HMG Procurement Card
19/10/2016
EXP-JG00041612040
3,868.00
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
ES Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JG00041612040
340.96
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
ES Department Mgmt Team
Barclays HMG Procurement Card
19/10/2016
EXP-JG00041612040
404.00
DCMS
Accommodation
Natural History Museum
ES Department Mgmt Team
Barclays HMG Procurement Card
19/10/2016
EXP-JG00041612040
260.00
DCMS
Accommodation
Natural History Museum
ES Department Mgmt Team
Barclays HMG Procurement Card
19/10/2016
EXP-JG00041612040
309.00
DCMS
Accommodation
Natural History Museum
ES Department Mgmt Team
Barclays HMG Procurement Card
19/10/2016
EXP-JG00041612040
221.00
DCMS
Accommodation
Natural History Museum
ES Department Mgmt Team
Barclays HMG Procurement Card
19/10/2016
EXP-JG00041612040
226.00
DCMS
Accommodation
Natural History Museum
ES Department Mgmt Team
Barclays HMG Procurement Card
19/10/2016
EXP-JG00041612040
260.00
DCMS
Accommodation
Natural History Museum
ES Department Mgmt Team
Barclays HMG Procurement Card
19/10/2016
EXP-JG00041612040
-321.46
DCMS
Conference (Delegate) Fees
Natural History Museum
ES Department Mgmt Team
Barclays HMG Procurement Card
19/10/2016
EXP-JG00041612040
0.66
DCMS
IT Costs
Natural History Museum
CRL Imaging & Analytical
Barclays HMG Procurement Card
19/10/2016
EXP-JG00041612040
426.42
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
CRL Imaging & Analytical
Barclays HMG Procurement Card
19/10/2016
EXP-JG00041612033
391.97
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Imaging & Analytical
Barclays HMG Procurement Card
19/10/2016
EXP-JG00041612033
95.42
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Imaging & Analytical
Barclays HMG Procurement Card
19/10/2016
EXP-JG00041612033
469.67
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JG00041612033
98.21
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-JG00041612033
112.91
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612017
28.20
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612017
33.10
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612017
72.00
DCMS
Travel-Bus & Rail Transport
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612017
15.95
DCMS
Hospitality
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612017
15.70
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Marketing
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612017
4.58
DCMS
Exceptional Costs
Natural History Museum
Marketing
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612017
500.00
DCMS
Advertising
Natural History Museum
Marketing
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612017
37.00
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Museum Programme Group (PEG)
Barclays HMG Procurement Card
19/10/2016
EXP-JB14041612035
27.35
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Programme Group (Temporary Exhibitions)
Barclays HMG Procurement Card
19/10/2016
EXP-JB14041612035
67.34
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Programme Group (Temporary Exhibitions)
Barclays HMG Procurement Card
19/10/2016
EXP-JB14041612035
740.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Programme Group (Temporary Exhibitions)
Barclays HMG Procurement Card
19/10/2016
EXP-JB14041612035
21.83
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Programme Group (Temporary Exhibitions)
Barclays HMG Procurement Card
19/10/2016
EXP-JB14041612035
63.91
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
23.14
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
22.08
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
82.73
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
28.62
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
263.91
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
138.41
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
43.67
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
11.85
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
17.43
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
75.23
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
32.52
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
20.39
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
56.59
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
31.35
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
-31.35
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
43.50
DCMS
Collections purch. (Non-Capex)
From :
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
21.50
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
25.00
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
195.00
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
46.49
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
39.64
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
-46.49
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
81.99
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
10.98
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
22.75
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
18.47
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
8.81
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
27.46
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
16.58
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
85.37
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
97.72
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-JR01041612026
56.66
DCMS
Collections purch. (Non-Capex)
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
110.29
DCMS
Accommodation
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
30.91
DCMS
Subsistence
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
16.89
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
36.06
DCMS
Subsistence
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
73.27
DCMS
Subsistence
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
11.26
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
20.79
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
8.13
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
9.18
DCMS
Subsistence
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
471.29
DCMS
Accommodation
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
9.01
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
9.93
DCMS
Travel-Bus & Rail Transport
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
5.64
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
5.18
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
16.43
DCMS
Subsistence
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
17.16
DCMS
Subsistence
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
16.35
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
226.83
DCMS
Accommodation
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
374.85
DCMS
Hospitality
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
118.80
DCMS
Accommodation
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
24.20
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-EM00041612024
174.00
DCMS
Accommodation
Natural History Museum
Exhibitions, Learning & Outreach Management
Barclays HMG Procurement Card
19/10/2016
EXP-RJ02041612014
451.60
DCMS
Conference (Delegate) Fees
Natural History Museum
Learning Operations
Barclays HMG Procurement Card
19/10/2016
EXP-RJ02041612014
417.18
DCMS
Accommodation
Natural History Museum
Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-FA03041612011
402.15
DCMS
Subsistence
Natural History Museum
Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-FA03041612011
176.25
DCMS
Travel Other
Natural History Museum
Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-FA03041612011
178.92
DCMS
Subsistence
Natural History Museum
Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-FA03041612011
91.76
DCMS
Hospitality
Natural History Museum
Estates Buildings Projects
Barclays HMG Procurement Card
19/10/2016
EXP-FA03041612011
-202.50
DCMS
Fixtures & Fittings
Natural History Museum
Estates Buildings Projects
Barclays HMG Procurement Card
19/10/2016
EXP-FA03041612011
2,291.83
DCMS
Fixtures & Fittings
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-RO00041612063
25.99
DCMS
Postage & Couriers
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-RO00041612063
76,509.52
DCMS
Library Serials
Natural History Museum
Central Project Office
Barclays HMG Procurement Card
19/10/2016
EXP-YR00041612065
594.00
DCMS
Conference (Delegate) Fees
Natural History Museum
Programme Group (Temporary Exhibitions)
Barclays HMG Procurement Card
19/10/2016
EXP-YR00041612065
89.77
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Estates Buildings Projects
Barclays HMG Procurement Card
19/10/2016
EXP-YR00041612065
19.58
DCMS
Fixtures & Fittings
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Estates Buildings Projects
Barclays HMG Procurement Card
19/10/2016
EXP-YR00041612065
28.44
DCMS
Fixtures & Fittings
Natural History Museum
Estates Buildings Projects
Barclays HMG Procurement Card
19/10/2016
EXP-YR00041612065
273.00
DCMS
Fixtures & Fittings
Natural History Museum
Estates Buildings Projects
Barclays HMG Procurement Card
19/10/2016
EXP-YR00041612065
75.00
DCMS
Fixtures & Fittings
Natural History Museum
Exhibitions & Interpretation - Interpretation
Barclays HMG Procurement Card
19/10/2016
EXP-LH00041612045
84.00
DCMS
Conference (Delegate) Fees
Natural History Museum
Learning Programme & Resources - Learning Prog
Barclays HMG Procurement Card
19/10/2016
EXP-LH00041612045
17.00
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Learning Programme & Resources - Learning Prog
Barclays HMG Procurement Card
19/10/2016
EXP-LH00041612045
18.59
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Learning Programme & Resources - Learning Prog
Barclays HMG Procurement Card
19/10/2016
EXP-LH00041612045
340.33
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Learning Programme & Resources - Science Comms
Barclays HMG Procurement Card
19/10/2016
EXP-LH00041612045
85.10
DCMS
Hospitality
Natural History Museum
Content Design
Barclays HMG Procurement Card
19/10/2016
EXP-LH00041612045
31.00
DCMS
Hospitality
Natural History Museum
Content Design
Barclays HMG Procurement Card
19/10/2016
EXP-LH00041612045
16.80
DCMS
Hospitality
Natural History Museum
Learning Programme & Resources - Science Comms
Barclays HMG Procurement Card
19/10/2016
EXP-LH00041612045
137.56
DCMS
IT Costs
Natural History Museum
Learning Programme & Resources - Science Comms
Barclays HMG Procurement Card
19/10/2016
EXP-LH00041612045
96.34
DCMS
IT Costs
Natural History Museum
Content Production Management CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LH00041612045
24.15
DCMS
Hospitality
Natural History Museum
Content Production Management CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LH00041612045
23.25
DCMS
Hospitality
Natural History Museum
Picture Library (Image Resources)
Barclays HMG Procurement Card
19/10/2016
EXP-JJ02041612032
2,693.24
DCMS
IT Costs
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-KD01041612041
273.79
DCMS
Conference (Delegate) Fees
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-KD01041612041
52.01
DCMS
Overseas Taxes
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-KD01041612041
273.79
DCMS
Conference (Delegate) Fees
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-KD01041612041
52.01
DCMS
Overseas Taxes
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-KD01041612041
32.48
DCMS
Subscriptions & Corp. Mbrships
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-KD01041612041
32.48
DCMS
Subscriptions & Corp. Mbrships
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-KD01041612041
293.94
DCMS
Travel-Air Passenger Transport
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-KD01041612041
158.98
DCMS
Travel-Air Passenger Transport
Natural History Museum
Estates Buildings Projects
Barclays HMG Procurement Card
19/10/2016
EXP-KD01041612041
27.00
DCMS
Fixtures & Fittings
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Estates Buildings Projects
Barclays HMG Procurement Card
19/10/2016
EXP-KD01041612041
39.10
DCMS
Fixtures & Fittings
Natural History Museum
LS Algae, Fungi and Plants Division
Barclays HMG Procurement Card
19/10/2016
EXP-KD01041612041
120.93
DCMS
Accommodation
Natural History Museum
LS Algae, Fungi and Plants Division
Barclays HMG Procurement Card
19/10/2016
EXP-KD01041612041
60.47
DCMS
Accommodation
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
100.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
11.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
500.00
DCMS
Advertising
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
12.33
DCMS
Hospitality
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
432.00
DCMS
Stock
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
1.69
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
37.37
DCMS
Advertising
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
3.57
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
22.74
DCMS
Exceptional Costs
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
500.00
DCMS
Advertising
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
106.35
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
223.22
DCMS
Advertising
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
32.30
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
655.39
DCMS
Stock
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
667.55
DCMS
Stock
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
500.00
DCMS
Advertising
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
504.00
DCMS
Stock
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
14.99
DCMS
Postage & Couriers
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
354.76
DCMS
Other Taxes / Import Duties
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
11.00
DCMS
Bank Charges
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
88.98
DCMS
Other Taxes / Import Duties
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
12.00
DCMS
Bank Charges
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
440.00
DCMS
Training
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
765.00
DCMS
Training
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
500.00
DCMS
Advertising
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
432.10
DCMS
Exceptional Costs
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
46.68
DCMS
Postage & Couriers
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
500.00
DCMS
IT Costs
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-AB07041611991
88.95
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Development
Barclays HMG Procurement Card
19/10/2016
EXP-FG00041612019
72.11
DCMS
Subsistence
Natural History Museum
Development
Barclays HMG Procurement Card
19/10/2016
EXP-FG00041612019
69.88
DCMS
Subsistence
Natural History Museum
Development
Barclays HMG Procurement Card
19/10/2016
EXP-FG00041612019
18.16
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Development
Barclays HMG Procurement Card
19/10/2016
EXP-FG00041612019
58.57
DCMS
Subsistence
Natural History Museum
Development
Barclays HMG Procurement Card
19/10/2016
EXP-FG00041612019
32.24
DCMS
Subsistence
Natural History Museum
Development
Barclays HMG Procurement Card
19/10/2016
EXP-FG00041612019
471.29
DCMS
Accommodation
Natural History Museum
Development
Barclays HMG Procurement Card
19/10/2016
EXP-FG00041612019
53.89
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Development
Barclays HMG Procurement Card
19/10/2016
EXP-FG00041612019
226.83
DCMS
Accommodation
Natural History Museum
Development
Barclays HMG Procurement Card
19/10/2016
EXP-FG00041612019
5.85
DCMS
Travel Other
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
23.80
DCMS
Travel-Bus & Rail Transport
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
174.51
DCMS
Travel-Bus & Rail Transport
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
22.14
DCMS
Subsistence
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
17.25
DCMS
Subsistence
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
17.21
DCMS
Subsistence
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
7.25
DCMS
Subsistence
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
24.55
DCMS
Subsistence
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
12.51
DCMS
Subsistence
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
74.43
DCMS
Travel Other
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
31.30
DCMS
Subsistence
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
18.00
DCMS
Subsistence
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
1,291.33
DCMS
Accommodation
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
26.05
DCMS
Subsistence
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
9.03
DCMS
Subsistence
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
17.95
DCMS
Subsistence
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
13.94
DCMS
Subsistence
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
0.01
DCMS
Accommodation
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
7.49
DCMS
Subsistence
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
7.30
DCMS
Subsistence
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
50.85
DCMS
Subsistence
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
469.30
DCMS
Travel-Bus & Rail Transport
Natural History Museum
ES Department Mgmt Team
Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
113.09
DCMS
Hospitality
Natural History Museum
ES Consultancy
Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
23.69
DCMS
Subsistence
Natural History Museum
ES Consultancy
Barclays HMG Procurement Card
19/10/2016
EXP-CS04041612006
16.45
DCMS
Travel-Bus & Rail Transport
The NHM Trading Company LTD
ES Consultancy
Harrington Gardens House Ltd.
13/10/2016
KH099/16
241 9103 89
1,059.00
DCMS
Accommodation
Natural History Museum
Bookings & Sales
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
26.35
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Digital Content Online
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
28.57
DCMS
IT Costs
Natural History Museum
Marketing
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
102.96
DCMS
Advertising
Natural History Museum
Marketing
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
8.92
DCMS
IT Costs
Natural History Museum
Marketing
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
1,337.77
DCMS
IT Costs
Natural History Museum
Marketing
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
555.40
DCMS
Advertising
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
5.39
DCMS
Subsistence
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
163.00
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
4.30
DCMS
Subsistence
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
80.98
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
112.33
DCMS
Hospitality
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
3.62
DCMS
Subsistence
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
35.10
DCMS
IT Costs
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
2.70
DCMS
Subsistence
From :
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
31.63
DCMS
Accommodation
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
34.48
DCMS
Accommodation
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
102.26
DCMS
Subsistence
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
14.89
DCMS
Subsistence
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
120.77
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
34.85
DCMS
Subsistence
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
182.70
DCMS
Travel-Air Passenger Transport
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
50.00
DCMS
Travel Other
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
4.60
DCMS
Subsistence
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
6.54
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
25.82
DCMS
Subsistence
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
26.41
DCMS
Subsistence
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
15.41
DCMS
Subsistence
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
708.43
DCMS
Accommodation
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
908.16
DCMS
Accommodation
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-HG01041612016
16.54
DCMS
Subsistence
Natural History Museum
Bookings & Sales
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
122.70
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
23.09
DCMS
Subsistence
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
8.53
DCMS
Subsistence
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
16.35
DCMS
Subsistence
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
68.80
DCMS
Subsistence
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
45.12
DCMS
Travel-Air Passenger Transport
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
6.00
DCMS
Travel-Air Passenger Transport
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
18.20
DCMS
Travel-Air Passenger Transport
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
11.84
DCMS
Subsistence
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
24.17
DCMS
Subsistence
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
25.84
DCMS
Subsistence
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
17.78
DCMS
Travel-Bus & Rail Transport
From :
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
115.79
DCMS
Accommodation
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
11.79
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
27.22
DCMS
Subsistence
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
17.91
DCMS
Travel-Air Passenger Transport
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
43.19
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
157.16
DCMS
Travel Other
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
20.25
DCMS
Subsistence
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
17.30
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
10.45
DCMS
Subsistence
Natural History Museum
Visitor Commerce Management
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612067
25.15
DCMS
Subsistence
Natural History Museum
LS Insects Division
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
599.17
DCMS
Accommodation
Natural History Museum
ES Economic & Environmental Earth Sciences
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
553.16
DCMS
Conference (Delegate) Fees
Natural History Museum
ES Economic & Environmental Earth Sciences
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
43.74
DCMS
Accommodation
Natural History Museum
ES Economic & Environmental Earth Sciences
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
876.69
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Algae, Fungi and Plants Division
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
175.00
DCMS
Accommodation
Natural History Museum
LS Algae, Fungi and Plants Division
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
8.33
DCMS
Accommodation
Natural History Museum
LS Algae, Fungi and Plants Division
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
25.00
DCMS
Accommodation
Natural History Museum
LS Algae, Fungi and Plants Division
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
455.03
DCMS
Accommodation
Natural History Museum
LS Algae, Fungi and Plants Division
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
2,612.65
DCMS
Hospitality
Natural History Museum
ES Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
6.57
DCMS
Postage & Couriers
Natural History Museum
ES Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
31.90
DCMS
Postage & Couriers
Natural History Museum
ES Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
37.62
DCMS
Postage & Couriers
Natural History Museum
ES Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
32.02
DCMS
Postage & Couriers
Natural History Museum
LS Parasites & Vectors Division
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
340.00
DCMS
Conference (Delegate) Fees
Natural History Museum
Museum Programme Group (PEG)
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
44.50
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Sci Directorate
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
550.00
DCMS
Accommodation
Natural History Museum
ES Department Mgmt Team
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
972.18
DCMS
Accommodation
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
852.71
DCMS
Accommodation
From :
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
78.88
DCMS
Postage & Couriers
Natural History Museum
LS Angela Marmont Centre
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
355.00
DCMS
Accommodation
Natural History Museum
ES Department Mgmt Team
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
110.00
DCMS
Accommodation
Natural History Museum
ES Department Mgmt Team
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
133.40
DCMS
Publicat/Book (non-coll) purch.
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
11.54
DCMS
Postage & Couriers
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
35.65
DCMS
Postage & Couriers
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
37.73
DCMS
Postage & Couriers
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
41.35
DCMS
Postage & Couriers
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
29.90
DCMS
Postage & Couriers
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
35.33
DCMS
Postage & Couriers
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
34.07
DCMS
Postage & Couriers
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
30.16
DCMS
Postage & Couriers
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
30.41
DCMS
Postage & Couriers
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
12.59
DCMS
Postage & Couriers
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
71.71
DCMS
Postage & Couriers
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
20.86
DCMS
Postage & Couriers
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
10.10
DCMS
Postage & Couriers
Natural History Museum
LS Collections
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
11.11
DCMS
Postage & Couriers
Natural History Museum
ES Department Mgmt Team
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
14.80
DCMS
Hospitality
Natural History Museum
ES Department Mgmt Team
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
536.20
DCMS
Hospitality
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
83.94
DCMS
Exceptional Costs
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
74.96
DCMS
Exceptional Costs
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
97.50
DCMS
Exceptional Costs
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
52.96
DCMS
Exceptional Costs
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
600.00
DCMS
Accommodation
Natural History Museum
LS Invertebrates Division
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
513.20
DCMS
Accommodation
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
635.63
DCMS
Accommodation
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
50.56
DCMS
Overseas Taxes
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
36.12
DCMS
Overseas Taxes
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
ES Invertebrates & Plants Division
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
136.50
DCMS
Travel-Bus & Rail Transport
Natural History Museum
ES Invertebrates & Plants Division
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
300.63
DCMS
Conference (Delegate) Fees
Natural History Museum
L&A Collections Operations
Barclays HMG Procurement Card
19/10/2016
EXP-ZS01041612074
77.78
DCMS
Postage & Couriers
Natural History Museum
Sci Post-Graduate Training
Barclays HMG Procurement Card
19/10/2016
EXP-JD04041612030
1,294.00
DCMS
IT Costs
Natural History Museum
Technology Solutions
Barclays HMG Procurement Card
19/10/2016
EXP-JD04041612030
207.49
DCMS
Subscriptions & Corp. Mbrships
Natural History Museum
Technology Solutions
Barclays HMG Procurement Card
19/10/2016
EXP-JD04041612030
56.68
DCMS
IT Costs
Natural History Museum
Technology Solutions
Barclays HMG Procurement Card
19/10/2016
EXP-JD04041612030
272.13
DCMS
IT Costs
Natural History Museum
Technology Solutions
Barclays HMG Procurement Card
19/10/2016
EXP-JD04041612030
28.39
DCMS
Subscriptions & Corp. Mbrships
Natural History Museum
Technology Solutions
Barclays HMG Procurement Card
19/10/2016
EXP-JD04041612030
48.33
DCMS
IT Costs
Natural History Museum
Technology Solutions
Barclays HMG Procurement Card
19/10/2016
EXP-JD04041612030
28.55
DCMS
IT Costs
Natural History Museum
Technology Solutions
Barclays HMG Procurement Card
19/10/2016
EXP-JD04041612030
9.93
DCMS
IT Costs
Natural History Museum
Technology Solutions
Barclays HMG Procurement Card
19/10/2016
EXP-JD04041612030
19.95
DCMS
IT Costs
Natural History Museum
Technology Solutions
Barclays HMG Procurement Card
19/10/2016
EXP-JD04041612030
20.66
DCMS
IT Costs
Natural History Museum
Technology Solutions
Barclays HMG Procurement Card
19/10/2016
EXP-JD04041612030
5.10
DCMS
Subscriptions & Corp. Mbrships
Natural History Museum
Technology Solutions
Barclays HMG Procurement Card
19/10/2016
EXP-JD04041612030
35.78
DCMS
Licences (Non IT)
Natural History Museum
Technology Solutions
Barclays HMG Procurement Card
19/10/2016
EXP-JD04041612030
64.24
DCMS
IT Costs
Natural History Museum
Technology Solutions
Barclays HMG Procurement Card
19/10/2016
EXP-JD04041612030
73.86
DCMS
IT Costs
Natural History Museum
Technology Solutions
Barclays HMG Procurement Card
19/10/2016
EXP-JD04041612030
216.94
DCMS
Subscriptions & Corp. Mbrships
Natural History Museum
Estates Management
Barclays HMG Procurement Card
19/10/2016
EXP-AL08041611990
29.40
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Estates Management
Barclays HMG Procurement Card
19/10/2016
EXP-AL08041611990
6.45
DCMS
Postage & Couriers
Natural History Museum
Estates Management
Barclays HMG Procurement Card
19/10/2016
EXP-AL08041611990
384.00
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Estates Management
Barclays HMG Procurement Card
19/10/2016
EXP-AL08041611990
300.99
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Estates Buildings Ops
Barclays HMG Procurement Card
19/10/2016
EXP-AL08041611990
153.48
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Estates Buildings Ops
Barclays HMG Procurement Card
19/10/2016
EXP-AL08041611990
118.11
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Estates Buildings Ops
Barclays HMG Procurement Card
19/10/2016
EXP-AL08041611990
567.20
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Estates Buildings Ops
Barclays HMG Procurement Card
19/10/2016
EXP-AL08041611990
199.39
DCMS
Consumables / Sundry (non Stat)
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Estates Buildings Ops
Barclays HMG Procurement Card
19/10/2016
EXP-AL08041611990
115.70
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Estates Buildings Ops
Barclays HMG Procurement Card
19/10/2016
EXP-AL08041611990
140.09
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Estates Buildings Ops
Barclays HMG Procurement Card
19/10/2016
EXP-AL08041611990
91.20
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Estates Buildings Ops
Barclays HMG Procurement Card
19/10/2016
EXP-AL08041611990
10.84
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Estates Buildings Ops
Barclays HMG Procurement Card
19/10/2016
EXP-AL08041611990
989.94
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Technical Production Engineering
Barclays HMG Procurement Card
19/10/2016
EXP-AP06041611993
229.98
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Technical Production Engineering
Barclays HMG Procurement Card
19/10/2016
EXP-AP06041611993
23.98
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Technical Production Engineering
Barclays HMG Procurement Card
19/10/2016
EXP-AP06041611993
106.62
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Technical Production Engineering
Barclays HMG Procurement Card
19/10/2016
EXP-AP06041611993
17.10
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Technical Production Engineering
Barclays HMG Procurement Card
19/10/2016
EXP-AP06041611993
350.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Technical Production Special Effects
Barclays HMG Procurement Card
19/10/2016
EXP-AR00041611994
1,168.00
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Learning Programme & Resources - Learning Prog
Barclays HMG Procurement Card
19/10/2016
EXP-AR00041611994
543.00
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
LS Vertebrates Division
Barclays HMG Procurement Card
19/10/2016
EXP-AA01041611992
29.40
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Tring Management & Admin.
Barclays HMG Procurement Card
19/10/2016
EXP-AA01041611992
23.76
DCMS
Special Event Costs
Natural History Museum
Tring Management & Admin.
Barclays HMG Procurement Card
19/10/2016
EXP-AA01041611992
36.10
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Tring Management & Admin.
Barclays HMG Procurement Card
19/10/2016
EXP-AA01041611992
301.82
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Tring Management & Admin.
Barclays HMG Procurement Card
19/10/2016
EXP-AA01041611992
33.60
DCMS
Special Event Costs
Natural History Museum
Tring Management & Admin.
Barclays HMG Procurement Card
19/10/2016
EXP-AA01041611992
20.70
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Tring Management & Admin.
Barclays HMG Procurement Card
19/10/2016
EXP-AA01041611992
20.10
DCMS
Subsistence
Natural History Museum
Tring Management & Admin.
Barclays HMG Procurement Card
19/10/2016
EXP-AA01041611992
29.40
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Tring Management & Admin.
Barclays HMG Procurement Card
19/10/2016
EXP-AA01041611992
6.70
DCMS
Travel Other
Natural History Museum
Tring Management & Admin.
Barclays HMG Procurement Card
19/10/2016
EXP-AA01041611992
29.40
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Tring Management & Admin.
Barclays HMG Procurement Card
19/10/2016
EXP-AA01041611992
6.70
DCMS
Travel Other
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
86.63
DCMS
Grounds Maintenance
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
13.28
DCMS
Grounds Maintenance
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
15.55
DCMS
Grounds Maintenance
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
12.50
DCMS
Grounds Maintenance
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
28.00
DCMS
Grounds Maintenance
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
7.48
DCMS
Grounds Maintenance
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
5.98
DCMS
Grounds Maintenance
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
33.30
DCMS
Grounds Maintenance
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
42.79
DCMS
Grounds Maintenance
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
106.43
DCMS
Grounds Maintenance
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
7.63
DCMS
Grounds Maintenance
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
145.00
DCMS
Conference (Delegate) Fees
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
-0.57
DCMS
Grounds Maintenance
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
80.17
DCMS
Grounds Maintenance
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
88.80
DCMS
Grounds Maintenance
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
8.99
DCMS
Grounds Maintenance
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Barclays HMG Procurement Card
19/10/2016
EXP-LC01041612008
10.75
DCMS
Grounds Maintenance
Natural History Museum
Development
Barclays HMG Procurement Card
19/10/2016
EXP-CK01041612004
1,680.46
DCMS
Hospitality
Natural History Museum
Programme Group (Temporary Exhibitions)
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
9.70
DCMS
Special Event Costs
Natural History Museum
Programme Group (Temporary Exhibitions)
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
6.66
DCMS
Special Event Costs
Natural History Museum
Programme Group (Temporary Exhibitions)
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
10.05
DCMS
Special Event Costs
Natural History Museum
Programme Group (Temporary Exhibitions)
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
10.24
DCMS
Special Event Costs
Natural History Museum
Programme Group (Temporary Exhibitions)
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
39.14
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
-3.08
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
-2.30
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
-4.26
DCMS
Special Event Costs
From :
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
-6.38
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
-6.40
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
-2.30
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
-10.00
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
-12.00
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
-7.78
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
-10.00
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
-2.30
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
-1.50
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
10.90
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
22.99
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
21.77
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
153.36
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
240.75
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
131.60
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
17.70
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
10.99
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
368.39
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
8.39
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
4.43
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
4.90
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
10.99
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
49.38
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
83.00
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
365.48
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
194.00
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
64.92
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
17.89
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
122.88
DCMS
Special Event Costs
From :
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
22.90
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
28.90
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
126.94
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
13.00
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
33.00
DCMS
Conference (Delegate) Fees
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
15.74
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
47.82
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
1,367.80
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
15.50
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
20.50
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
166.00
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
21.80
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
368.65
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
199.20
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
255.96
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
343.28
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
0.66
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
6.00
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Barclays HMG Procurement Card
19/10/2016
EXP-AK04041612043
5.03
DCMS
Special Event Costs
Natural History Museum
Photographic Unit (Image Resources)
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612031
27.36
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Photographic Unit (Image Resources)
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612031
18.18
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Commerce Mgmt & Business Strategy
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612031
516.14
DCMS
Travel Other
Natural History Museum
Commerce Mgmt & Business Strategy
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612031
45.89
DCMS
Subsistence
Natural History Museum
Commerce Mgmt & Business Strategy
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612031
229.41
DCMS
Travel Other
Natural History Museum
Commerce Mgmt & Business Strategy
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612031
451.60
DCMS
Conference (Delegate) Fees
Natural History Museum
NHM Consultancy
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612031
37.33
DCMS
Hospitality
Natural History Museum
Commerce Mgmt & Business Strategy
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612031
91.40
DCMS
Hospitality
Natural History Museum
Cultural Consultancy
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612031
25.42
DCMS
Hospitality
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Cultural Consultancy
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612031
78.75
DCMS
Hospitality
Natural History Museum
Cultural Consultancy
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612031
37.00
DCMS
Hospitality
Natural History Museum
Cultural Consultancy
Barclays HMG Procurement Card
19/10/2016
EXP-HH02041612031
18.50
DCMS
Hospitality
Natural History Museum
Sci Resources - Research Coordination Office
Barclays HMG Procurement Card
19/10/2016
EXP-OB00041612054
38.00
DCMS
Travel-Bus & Rail Transport
Natural History Museum
LS Invertebrates Division
Barclays HMG Procurement Card
19/10/2016
EXP-OB00041612054
182.00
DCMS
Travel-Bus & Rail Transport
Natural History Museum
ES Invertebrates & Plants Division
Barclays HMG Procurement Card
19/10/2016
EXP-OB00041612054
535.50
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
LS Vertebrates Division
Barclays HMG Procurement Card
19/10/2016
EXP-OB00041612054
830.84
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Vertebrates Division
Barclays HMG Procurement Card
19/10/2016
EXP-OB00041612054
568.06
DCMS
IT Costs
Natural History Museum
LS Vertebrates Division
Barclays HMG Procurement Card
19/10/2016
EXP-OB00041612054
747.86
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Genomics & Microbial Biodiversity Division
Barclays HMG Procurement Card
19/10/2016
EXP-OB00041612054
285.64
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Genomics & Microbial Biodiversity Division
Barclays HMG Procurement Card
19/10/2016
EXP-OB00041612054
43.50
DCMS
Hospitality
Natural History Museum
ES Mineral & Planetary Sciences Division Barclays HMG Procurement Card
19/10/2016
EXP-OB00041612054
1,441.33
DCMS
Hospitality
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-OB00041612054
600.00
DCMS
Training
Natural History Museum
LS Algae, Fungi and Plants Division
Barclays HMG Procurement Card
19/10/2016
EXP-OB00041612054
72.72
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
LS Parasites & Vectors Division
Barclays HMG Procurement Card
19/10/2016
EXP-OB00041612054
84.98
DCMS
Travel-Air Passenger Transport
Natural History Museum
LS Parasites & Vectors Division
Barclays HMG Procurement Card
19/10/2016
EXP-OB00041612054
372.84
DCMS
Conference (Delegate) Fees
Natural History Museum
Estates Buildings Ops
Emcor Facility Services Ltd
24/10/2016
00420904RI
188 4140 46
176,252.00
DCMS
Estates Outsourced Services
Natural History Museum
Venue Hire (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-HR02041612046
1,409.78
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Venue Hire (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-HR02041612046
8.70
DCMS
Travel-Bus & Rail Transport
Natural History Museum
Venue Hire (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-HR02041612046
56.12
DCMS
Hospitality
Natural History Museum
Venue Hire (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-HR02041612046
77.83
DCMS
Hospitality
Natural History Museum
Venue Hire (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-HR02041612046
8.44
DCMS
Hospitality
Natural History Museum
Venue Hire (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-HR02041612046
202.20
DCMS
Hospitality
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
LS Parasites & Vectors Division
Fisher Scientific UK
13/10/2016
4151848110
844 2904 24
841.70
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
LS Parasites & Vectors Division
Fisher Scientific UK
13/10/2016
4151848110
844 2904 24
374.28
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
LS Parasites & Vectors Division
Fisher Scientific UK
13/10/2016
4151848110
844 2904 24
40.18
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Content Design
Barclays HMG Procurement Card
19/10/2016
EXP-LH00041612044
195.00
DCMS
Licences (Non IT)
Natural History Museum
Learning Programme & Resources - Science Comms
Barclays HMG Procurement Card
19/10/2016
EXP-LH00041612044
232.75
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Content Design
Barclays HMG Procurement Card
19/10/2016
EXP-LH00041612044
141.97
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Learning Programme & Resources - Learning Prog
Barclays HMG Procurement Card
19/10/2016
EXP-LH00041612044
31.62
DCMS
Equip. Purch. & Hire (non IT / office)
The NHM Trading Company LTD
Media Relations
Spring Personnel
13/10/2016
5382425
232 3479 75
849.80
DCMS
Agency Staff
The NHM Trading Company LTD
Media Relations
Spring Personnel
13/10/2016
5382700
232 3479 75
849.80
DCMS
Agency Staff
The NHM Trading Company LTD
Media Relations
Spring Personnel
13/10/2016
5383146
232 3479 75
849.80
DCMS
Agency Staff
The NHM Trading Company LTD
Media Relations
Spring Personnel
13/10/2016
5383301
232 3479 75
679.84
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Step And Store Ltd
13/10/2016
4300
993 5062 91
351.65
DCMS
Fixtures & Fittings
The NHM Trading Company LTD
Retail (South Ken)
Step And Store Ltd
13/10/2016
4300
993 5062 91
382.25
DCMS
Fixtures & Fittings
The NHM Trading Company LTD
Media Relations
Spring Personnel
13/10/2016
5383458
232 3479 75
785.34
DCMS
Agency Staff
The NHM Trading Company LTD
Media Relations
Spring Personnel
13/10/2016
5383459
232 3479 75
698.08
DCMS
Agency Staff
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
Media Relations
Spring Personnel
13/10/2016
5383460
232 3479 75
872.60
DCMS
Agency Staff
Natural History Museum
Learning Programme & Resources - Learning Prog
J. A. Preece
13/10/2016
2016/0022
750.00
DCMS
Freelancers / Self Empld cont
Natural History Museum
Technology Solutions
Silverbear Ltd
27/10/2016
SIP001904
742 5236 44
900.00
DCMS
IT Costs
Natural History Museum
Technology Solutions
Adobe Systems Software Ireland Ltd
13/10/2016
743096962
6364992H
12,276.55
DCMS
IT Costs
Natural History Museum
Technology Solutions
Adobe Systems Software Ireland Ltd
13/10/2016
743096962
6364992H
6,021.60
DCMS
IT Costs
Natural History Museum
Technology Solutions
Adobe Systems Software Ireland Ltd
13/10/2016
743096962
6364992H
3,242.90
DCMS
IT Costs
Natural History Museum
Technology Solutions
Adobe Systems Software Ireland Ltd
13/10/2016
743096962
6364992H
6,610.45
DCMS
IT Costs
Natural History Museum
LS Collections
C&D Sheetmetal Engineering Limited
27/10/2016
23565
358 4413 42
3,150.00
DCMS
Furniture
Natural History Museum
LS Collections
C&D Sheetmetal Engineering Limited
27/10/2016
23565
358 4413 42
400.00
DCMS
Freight Transport
Natural History Museum
Human Resources - Ops
Disclosure Checks Ltd
27/10/2016
5184
169 1071 07
1,015.00
DCMS
Recruitment Costs
Natural History Museum
Estates Buildings Projects
Procare Building Services Ltd
12/10/2016
221331
657 2726 13
38,687.00
DCMS
Build & Eng Reactive Maintenance
The NHM Trading Company LTD
Media Relations
Spring Personnel
13/10/2016
5381439
232 3479 75
679.84
DCMS
Agency Staff
The NHM Trading Company LTD
WPoY Competition
Spring Personnel
13/10/2016
5381826
232 3479 75
849.80
DCMS
Agency Staff
The NHM Trading Company LTD
WPoY Competition
Spring Personnel
13/10/2016
5382146
232 3479 75
849.80
DCMS
Agency Staff
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Bill & Melinda Gates Foundation
Boston Zimba
04/10/2016
CA00-913-71
1,106.00
DCMS
Subsistence
Natural History Museum
Bill & Melinda Gates Foundation
Moudachirou Ibikounle
04/10/2016
CA00-912-70
862.00
DCMS
Subsistence
Natural History Museum
Bill & Melinda Gates Foundation
Rajiv Sarkar
04/10/2016
CA00-914-72
803.50
DCMS
Subsistence
Natural History Museum
Programme Group (Temporary Exhibitions)
Crown Worldwide Ltd
11/10/2016
3040040-005655
448 5987 84
700.00
DCMS
Postage & Couriers
Natural History Museum
CRL Molecular Biology Labs
Qiagen Limited
27/10/2016
95060494
644 3732 38
451.00
DCMS
Equip. Maint. & Repairs (non IT)
Natural History Museum
CRL Molecular Biology Labs
Qiagen Limited
27/10/2016
95060494
644 3732 38
452.00
DCMS
Equip. Maint. & Repairs (non IT)
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Emprise Services
13/10/2016
315990
2,433.60
DCMS
Equip. Maint. & Repairs (non IT)
Natural History Museum
Health & Safety Services
Imperial College Healthcare NHS Trust
13/10/2016
H0136613
1,679.41
DCMS
HR Outsourced Services Contracts
Natural History Museum
Central Project Office
The Management Recruitment Group
27/10/2016
14116
762 7158 14
10,000.00
DCMS
Recruitment Costs
Natural History Museum
CRL Conservation Centre
Eltek Ltd
27/10/2016
14981
393 2632 42
15.00
DCMS
Postage & Couriers
Natural History Museum
CRL Conservation Centre
Eltek Ltd
27/10/2016
14981
393 2632 42
3,500.00
DCMS
Equip. Maint. & Repairs (non IT)
Natural History Museum
CRL Conservation Centre
Eltek Ltd
27/10/2016
14981
393 2632 42
5,405.96
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Marketing
AKA Promotions Ltd
13/10/2016
L1 210559
696 8691 51
875.00
DCMS
Advertising
Natural History Museum
Marketing
AKA Promotions Ltd
13/10/2016
L1 210559
696 8691 51
65.00
DCMS
Advertising
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Marketing
AKA Promotions Ltd
13/10/2016
L1 210560
696 8691 51
2,191.69
DCMS
Advertising
Natural History Museum
Marketing
AKA Promotions Ltd
13/10/2016
L1 201562
696 8691 51
10,523.01
DCMS
Advertising
Natural History Museum
Marketing
AKA Promotions Ltd
13/10/2016
L1 201562
696 8691 51
1,876.88
DCMS
Advertising
Natural History Museum
Sci Resources - Research Coordination Office
Helix Advisory Service Ltd
13/10/2016
HE 1085
842 8492 03
991.57
DCMS
Science Outsourced Services
Natural History Museum
Sci Resources - Research Coordination Office
Helix Advisory Service Ltd
13/10/2016
HE 1097
842 8492 03
991.57
DCMS
Science Outsourced Services
Natural History Museum
Museum Programme Group (PEG)
Adams Environmental Ltd
13/10/2016
22754
437 3387 34
17,225.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Estates Security SK
Remsdaq Ltd
13/10/2016
114346
25,944.00
DCMS
Estates Systems Maintenance
Natural History Museum
Estates Housekeeping SK
Servest (Sherwood) Ltd
13/10/2016
35583
823 8446 18
973.10
DCMS
Estates Outsourced Services
Natural History Museum
LS Invertebrates Division
Fisher Scientific UK
13/10/2016
4151925023
844 2904 24
577.60
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Finance
Farrer &Co
13/10/2016
10151497
232 3892 67
3,817.10
DCMS
Legal Fees
Natural History Museum
Finance
Farrer &Co
13/10/2016
10151482
232 3892 67
228.00
DCMS
Legal Fees
Natural History Museum
Bill & Melinda Gates Foundation
Farrer &Co
13/10/2016
10151482
232 3892 67
775.20
DCMS
Legal Fees
Natural History Museum
Human Resources - Ops
Farrer &Co
13/10/2016
10151482
232 3892 67
196.18
DCMS
Legal Fees
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Human Resources - Ops
Farrer &Co
13/10/2016
10151482
232 3892 67
8,589.90
DCMS
Legal Fees
Natural History Museum
Sci Directorate
Farrer &Co
13/10/2016
10151482
232 3892 67
24.00
DCMS
Legal Fees
The NHM Trading Company LTD
NHM Consultancy
Key Travel
13/10/2016
50455458
171 5690 00
518.34
DCMS
Travel-Air Passenger Transport
The NHM Trading Company LTD
NHM Consultancy
Key Travel
13/10/2016
50455458
171 5690 00
787.50
DCMS
Accommodation
Natural History Museum
Technology Solutions
Eurobase People
13/10/2016
EP38770
570 4349 43
699.00
DCMS
Agency Staff
Natural History Museum
Technology Solutions
Eurobase People
13/10/2016
EP38771
570 4349 43
699.00
DCMS
Agency Staff
Natural History Museum
Welcome and Service
Radiocoms Systems Limited
13/10/2016
CF309761
800 7764 41
699.20
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Programme Group (Temporary Exhibitions)
Curiouser Limited
13/10/2016
110-1661
1,000.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Programme Group (Temporary Exhibitions)
Curiouser Limited
13/10/2016
110-1661
2,000.00
DCMS
Prof. Fees excl Legal & Audit
The NHM Trading Company LTD
Touring Robotics
Leach Colour
13/10/2016
629459
125 4288 19
3,500.00
DCMS
Rechargeable Costs
The NHM Trading Company LTD
Retail (South Ken)
Bachmann Europe Plc
13/10/2016
SIN0158101
531 9887 12
1,781.20
DCMS
Stock
The NHM Trading Company LTD
WPoY Competition
Lavender Green Ltd
13/10/2016
31360
538 0280 53
3,220.00
DCMS
Special Event Costs
Natural History Museum
Technical Production Engineering
Activ-Air Automation Ltd
27/10/2016
195235
1,505.12
DCMS
Consumables / Sundry (non Stat)
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Sci Directorate
Human Tissue Authority
13/10/2016
D00251
1,500.00
DCMS
Science Outsourced Services
Natural History Museum
Risk & Assurance
Marks Sattin (UK) Limited
13/10/2016
193484
892 2071 22
1,087.37
DCMS
Agency Staff
Natural History Museum
Risk & Assurance
Marks Sattin (UK) Limited
13/10/2016
193484
892 2071 22
5.70
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Bachmann Europe Plc
27/10/2016
SIN0158230
531 9887 12
2,234.71
DCMS
Stock
Natural History Museum
LS Collections
Sonatest Ltd
13/10/2016
SI46036
849 7538 65
945.32
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Technology Solutions
Emcor Facility Services Ltd
12/10/2016
00428322RI
188 4140 46
554.53
DCMS
Cabling
Natural History Museum
Technology Solutions
Emcor Facility Services Ltd
12/10/2016
00428322RI
188 4140 46
55.45
DCMS
Cabling
Natural History Museum
L&A Collections Operations
NHBS
13/10/2016
V616560
407 4846 44
45.91
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
NHBS
13/10/2016
V616560
407 4846 44
57.40
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
NHBS
13/10/2016
V616560
407 4846 44
114.14
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
NHBS
13/10/2016
V616560
407 4846 44
18.03
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
NHBS
13/10/2016
V616560
407 4846 44
24.56
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
NHBS
13/10/2016
V616560
407 4846 44
28.69
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
NHBS
13/10/2016
V616560
407 4846 44
181.74
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
NHBS
13/10/2016
V616560
407 4846 44
123.56
DCMS
Collections purch. (Non-Capex)
Natural History Museum
L&A Collections Operations
NHBS
13/10/2016
V616560
407 4846 44
27.97
DCMS
Collections purch. (Non-Capex)
Natural History Museum
Photographic Unit (Image Resources)
CMY UK
13/10/2016
52036
783 9158 81
144.10
DCMS
IT Costs
Natural History Museum
Photographic Unit (Image Resources)
CMY UK
13/10/2016
52036
783 9158 81
144.10
DCMS
IT Costs
Natural History Museum
Photographic Unit (Image Resources)
CMY UK
13/10/2016
52036
783 9158 81
72.05
DCMS
IT Costs
Natural History Museum
Photographic Unit (Image Resources)
CMY UK
13/10/2016
52036
783 9158 81
72.05
DCMS
IT Costs
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Photographic Unit (Image Resources)
CMY UK
13/10/2016
52036
783 9158 81
144.10
DCMS
IT Costs
Natural History Museum
Photographic Unit (Image Resources)
CMY UK
13/10/2016
52036
783 9158 81
72.05
DCMS
IT Costs
Natural History Museum
Photographic Unit (Image Resources)
CMY UK
13/10/2016
52036
783 9158 81
189.60
DCMS
IT Costs
Natural History Museum
Photographic Unit (Image Resources)
CMY UK
13/10/2016
52036
783 9158 81
144.10
DCMS
IT Costs
Natural History Museum
Photographic Unit (Image Resources)
CMY UK
13/10/2016
52036
783 9158 81
313.76
DCMS
IT Costs
Natural History Museum
Photographic Unit (Image Resources)
CMY UK
13/10/2016
52036
783 9158 81
8.95
DCMS
IT Costs
Natural History Museum
Technical Production Engineering
RS Components Ltd
13/10/2016
283898052
243 1640 91
727.73
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Museum Programme Group (PEG)
Lengard Limited
12/10/2016
SL002064
907 8699 68
123,786.43
DCMS
Assets under Construction
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
21.87
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
26.28
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
26.82
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
29.16
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
31.32
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
17.64
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
20.70
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
11.16
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
12.78
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
19.53
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
22.14
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
28.89
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
16.47
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
19.53
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
22.14
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
28.89
DCMS
Consumables / Sundry (non Stat)
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
130.32
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
151.56
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
195.12
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
267.12
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
387.72
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
519.48
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Alec Tiranti Ltd
13/10/2016
T 264814
840 9050 42
7.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Museum Programme Group (PEG)
Jerram Falkus
12/10/2016
JC14363
446 9008 37
138,179.79
DCMS
Assets under Construction
Natural History Museum
Tring Café
Spring Personnel
13/10/2016
5383858
232 3479 75
158.59
DCMS
Agency Staff
Natural History Museum
Tring Retail
Spring Personnel
13/10/2016
5383858
232 3479 75
92.82
DCMS
Agency Staff
Natural History Museum
Tring Visitor Services
Spring Personnel
13/10/2016
5383858
232 3479 75
1,299.91
DCMS
Agency Staff
Natural History Museum
Technology Solutions
Loyal Retainers Ltd
13/10/2016
089
209 6628 90
1,625.00
DCMS
Assets under Construction
Natural History Museum
Technology Solutions
Loyal Retainers Ltd
13/10/2016
089
209 6628 90
120.00
DCMS
Assets under Construction
Natural History Museum
ES Department Mgmt Team
Key Travel
13/10/2016
50456432
362 3348 61
682.71
DCMS
Travel-Air Passenger Transport
Natural History Museum
CRL Digitisation Unit
Key Travel
13/10/2016
50456825
362 3348 61
682.95
DCMS
Travel-Air Passenger Transport
Natural History Museum
CRL Digitisation Unit
Key Travel
13/10/2016
50457087
362 3348 61
591.00
DCMS
Accommodation
Natural History Museum
ES Economic & Environmental Earth Sciences
ALS Inspection UK Limited
13/10/2016
YN16107959 / 3750604
1,206.32
DCMS
Science Outsourced Services
Natural History Museum
ES Economic & Environmental Earth Sciences
ALS Inspection UK Limited
13/10/2016
YN16107959 / 3750604
64.55
DCMS
Science Outsourced Services
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
ES Economic & Environmental Earth Sciences
ALS Inspection UK Limited
13/10/2016
YN16107959 / 3750604
127.61
DCMS
Science Outsourced Services
Natural History Museum
LS Insects Division
Stephenson Blake Sheffield
13/10/2016
4496
992 2049 86
14,835.60
DCMS
Furniture
Natural History Museum
LS Collections
Alcohols Ltd
13/10/2016
SL 136490
232 3604 01
1,149.20
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
LS Collections
Alcohols Ltd
13/10/2016
SL 136490
232 3604 01
87.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Learning & Audience Research
GS Qual
13/10/2016
53/16
525.00
DCMS
Freelancers / Self Empld cont
Natural History Museum
Technical Production Special Effects
Black Cat Displays Ltd
13/10/2016
1038
912 0648 51
615.00
DCMS
Equip. Maint. & Repairs (non IT)
Natural History Museum
ES Collections
Conservation by Design Ltd
13/10/2016
HJ687259
608 3852 32
1,294.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Conservation by Design Ltd
13/10/2016
HJ687267
608 3852 32
470.02
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Conservation by Design Ltd
13/10/2016
HJ687267
608 3852 32
91.39
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Technology Solutions
Spring Technology
27/10/2016
Z70832/00
232 3479 75
1,770.00
DCMS
Agency Staff
Natural History Museum
Technology Solutions
Spring Technology
27/10/2016
Z74657/00
232 3479 75
1,770.00
DCMS
Agency Staff
Natural History Museum
Technology Solutions
Spring Technology
27/10/2016
Z74658/00
232 3479 75
1,770.00
DCMS
Agency Staff
Natural History Museum
Technology Solutions
Spring Technology
27/10/2016
Z74659/00
232 3479 75
1,770.00
DCMS
Agency Staff
31-Oct-2016
## To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Technology Solutions
Spring Technology
27/10/2016
Z74660/00
232 3479 75
1,416.00
DCMS
Agency Staff
Natural History Museum
Publishing
Bobby and Co Design
13/10/2016
0592
882 1780 05
2,304.00
DCMS
Work In Progress
Natural History Museum
Publishing
Bobby and Co Design
13/10/2016
0592
882 1780 05
400.00
DCMS
Work In Progress
Natural History Museum
PEG Directorate
The Up Group Limited
13/10/2016
15437
15,000.00
DCMS
Recruitment Costs
Natural History Museum
LS Parasites & Vectors Division
Siemens Healthcare Diagnostics Ltd
27/10/2016
111121903
1,914.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
LS Parasites & Vectors Division
Siemens Healthcare Diagnostics Ltd
27/10/2016
111121903
40.60
DCMS
Consumables / Sundry (non Stat)
The NHM Trading Company LTD
Touring Robotics
Constantine
13/10/2016
1160777
648 9303 07
4,255.00
DCMS
Freight Transport
The NHM Trading Company LTD
Retail (South Ken)
Wymount
13/10/2016
1208
885 8551 64
825.00
DCMS
Freelancers / Self Empld cont
The NHM Trading Company LTD
Retail (South Ken)
Esprit Group
13/10/2016
91533-91546
608 0609 56
4,211.25
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
DPD UK
13/10/2016
12203052
754 5322 32
799.52
DCMS
Postage & Couriers
The NHM Trading Company LTD
Retail (South Ken)
DPD UK
13/10/2016
12203052
754 5322 32
263.06
DCMS
Postage & Couriers
The NHM Trading Company LTD
Retail (South Ken)
Spring Personnel
13/10/2016
5383930
232 3479 75
5,288.83
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Spring Personnel
13/10/2016
5383930
232 3479 75
2,121.87
DCMS
Agency Staff
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
Retail (South Ken)
Macmillan Publishers International Ltd
13/10/2016
92180966
220 9036 43
1,299.00
DCMS
Stock
Natural History Museum
Membership
Uni-mail
13/10/2016
U/510/7003
768 3188 86
7,278.44
DCMS
Prof. Printing & Promo. Matl.
Natural History Museum
Bookings & Sales
TOR Systems Ltd
13/10/2016
6108
319 3971 35
24,540.25
DCMS
IT Costs
Natural History Museum
Learning Programme & Resources - Learning Prog
Barclays HMG Procurement Card
19/10/2016
EXP-AG04041611986
14.86
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Learning Programme & Resources - Learning Prog
Barclays HMG Procurement Card
19/10/2016
EXP-AG04041611986
14.86
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Learning Operations
Barclays HMG Procurement Card
19/10/2016
EXP-AG04041611986
1,307.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Learning Operations
Barclays HMG Procurement Card
19/10/2016
EXP-AG04041611986
4.92
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Learning Operations
Barclays HMG Procurement Card
19/10/2016
EXP-AG04041611986
271.80
DCMS
Postage & Couriers
Natural History Museum
Learning Operations
Barclays HMG Procurement Card
19/10/2016
EXP-AG04041611986
639.54
DCMS
Accommodation
Natural History Museum
Learning Operations
Barclays HMG Procurement Card
19/10/2016
EXP-AG04041611986
40.30
DCMS
Hospitality
Natural History Museum
Learning Operations
Barclays HMG Procurement Card
19/10/2016
EXP-AG04041611986
262.50
DCMS
Hospitality
Natural History Museum
Learning Operations
Barclays HMG Procurement Card
19/10/2016
EXP-AG04041611986
57.10
DCMS
Hospitality
Natural History Museum
Learning Operations
Barclays HMG Procurement Card
19/10/2016
EXP-AG04041611986
58.70
DCMS
Hospitality
Natural History Museum
Learning Operations
Barclays HMG Procurement Card
19/10/2016
EXP-AG04041611986
82.80
DCMS
Hospitality
Natural History Museum
Learning Operations
Barclays HMG Procurement Card
19/10/2016
EXP-AG04041611986
107.80
DCMS
Hospitality
Natural History Museum
Bookings & Sales
TOR Systems Ltd
13/10/2016
6109
319 3971 35
4,178.65
DCMS
IT Costs
Natural History Museum
Bookings & Sales
TOR Systems Ltd
13/10/2016
6110
319 3971 35
8,487.20
DCMS
IT Costs
Natural History Museum
Technology Solutions
Certes Computing Ltd
13/10/2016
SIN026741
377 3451 31
1,050.00
DCMS
Agency Staff
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
WPoY Competition
Blitz Communications
13/10/2016
PRO FORMA 098791/1
842 5923 17
33,120.00
DCMS
Special Event Costs
The NHM Trading Company LTD
Venue Hire (South Ken)
Cover it Up Ltd
13/10/2016
42046
751 7479 07
2,050.00
DCMS
Rechargeable Costs
Natural History Museum
LS Insects Division
Key Travel
13/10/2016
50456172
362 3348 61
558.44
DCMS
Travel-Air Passenger Transport
The NHM Trading Company LTD
Venue Hire (South Ken)
Cover it Up Ltd
13/10/2016
42047
751 7479 07
2,050.00
DCMS
Rechargeable Costs
The NHM Trading Company LTD
Venue Hire (South Ken)
Cover it Up Ltd
13/10/2016
42048
751 7479 07
2,445.00
DCMS
Rechargeable Costs
The NHM Trading Company LTD
Venue Hire (South Ken)
Cover it Up Ltd
13/10/2016
42070
751 7479 07
2,050.00
DCMS
Rechargeable Costs
The NHM Trading Company LTD
Venue Hire (South Ken)
Cover it Up Ltd
13/10/2016
42071
751 7479 07
2,050.00
DCMS
Rechargeable Costs
Natural History Museum
HR Organisational Development
University of Portsmouth
13/10/2016
13323549
504 0052 14
3,000.00
DCMS
Training
The NHM Trading Company LTD
Touring WPY
AMB Ausstellungsservice u. Messebau GmbH
06/10/2016
20014983
U64406066
295.65
DCMS
Advertising
The NHM Trading Company LTD
Touring Robotics
AMB Ausstellungsservice u. Messebau GmbH
06/10/2016
20014983
U64406066
295.65
DCMS
Advertising
The NHM Trading Company LTD
Touring Objects IP
AMB Ausstellungsservice u. Messebau GmbH
06/10/2016
20014983
U64406066
295.65
DCMS
Advertising
Natural History Museum
Marketing
AKA Promotions Ltd
13/10/2016
L1 208310
696 8691 51
600.00
DCMS
Advertising
Natural History Museum
Marketing
AKA Promotions Ltd
13/10/2016
L1 208434
696 8691 51
600.00
DCMS
Advertising
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
WPoY Competition
Spring Personnel
13/10/2016
5383932
232 3479 75
698.08
DCMS
Agency Staff
Natural History Museum
Estates Security SK
Victoria & Albert Museum
13/10/2016
SI08349
444 0850 63
7,482.63
DCMS
Estates Outsourced Services
Natural History Museum
LS Vertebrates Division
Key Travel
13/10/2016
50459683
362 3348 61
1,012.25
DCMS
Travel-Air Passenger Transport
Natural History Museum
Programme Group (Temporary Exhibitions)
Johnsons Moving Services LTD
27/10/2016
532746
813 0527 65
6,615.00
DCMS
Decant / Moving / Recant costs
Natural History Museum
Programme Group (Temporary Exhibitions)
Johnsons Moving Services LTD
27/10/2016
532746
813 0527 65
661.50
DCMS
Insurance Costs
The NHM Trading Company LTD
Retail (South Ken)
Target Group
13/10/2016
53867
118 9313 10
3,133.81
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Target Group
13/10/2016
53867
118 9313 10
1,189.07
DCMS
Agency Staff
The NHM Trading Company LTD
Venue Hire (South Ken)
Cover it Up Ltd
13/10/2016
42075
751 7479 07
2,050.00
DCMS
Rechargeable Costs
Natural History Museum
HR Organisational Development
Boffin Media Limited
13/10/2016
NHM16
182 0507 29
1,900.00
DCMS
Training
Natural History Museum
LS Insects Division
Qiagen Limited
13/10/2016
95097671
644 3732 38
1,016.72
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
LS Genomics & Microbial Biodiversity Division
Qiagen Limited
13/10/2016
95097875
644 3732 38
1,520.82
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Estates Buildings Ops
Godfrey Syrett
13/10/2016
109723
698 5591 58
4,496.00
DCMS
Furniture
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
CRL Imaging & Analytical
Preservation Equipment Ltd
13/10/2016
0000352981
491 0421 69
25.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
13/10/2016
0000352981
491 0421 69
127.20
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
13/10/2016
0000352981
491 0421 69
147.50
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
13/10/2016
0000352981
491 0421 69
49.95
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
13/10/2016
0000352981
491 0421 69
88.50
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
13/10/2016
0000352981
491 0421 69
65.82
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Programme Group (Temporary Exhibitions)
Reflex Limited
13/10/2016
0000571168
641 7874 16
1,188.00
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Technology Solutions
Eurobase People
13/10/2016
EP38855
570 4349 43
699.00
DCMS
Agency Staff
Natural History Museum
Estates Housekeeping SK
Total Support Services Ltd
12/10/2016
49723
627 2335 49
142,708.12
DCMS
Estates Outsourced Services
Natural History Museum
Marketing
London & Partners
13/10/2016
INV-06251
7,000.00
DCMS
Advertising
Natural History Museum
Marketing
Arts Head Ltd
13/10/2016
2969
946 7656 69
629.00
DCMS
Advertising
Natural History Museum
CRL Conservation Centre
Dell Computer Corporation Ltd
13/10/2016
7402313333
635 8235 28
1,156.00
DCMS
IT Costs
Natural History Museum
Welcome and Service
Spring Personnel
13/10/2016
5382699
232 3479 75
11,840.82
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
BM Fashions Ltd
13/10/2016
000024220
776 1070 27
1,914.99
DCMS
Stock
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
Retail (South Ken)
Fleet Retail Packaging Ltd
13/10/2016
48663
846 7527 88
2,625.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Fleet Retail Packaging Ltd
13/10/2016
48663
846 7527 88
105.30
DCMS
Postage & Couriers
Natural History Museum
L&A Collections Operations
Key Travel
13/10/2016
50461232
362 3348 61
718.15
DCMS
Travel-Air Passenger Transport
Natural History Museum
Risk & Assurance
Marks Sattin (UK) Limited
13/10/2016
193679
892 2071 22
1,373.04
DCMS
Agency Staff
Natural History Museum
Risk & Assurance
Marks Sattin (UK) Limited
13/10/2016
193679
892 2071 22
7.15
DCMS
Agency Staff
Natural History Museum
Programme Group (Temporary Exhibitions)
Mahogany Community Ventures Limited
13/10/2016
MCV 1122
676 0414 34
920.00
DCMS
Special Event Costs
Natural History Museum
Estates Management
TMP (UK) Ltd
13/10/2016
100001109541
872 9045 02
708.00
DCMS
Recruitment Costs
Natural History Museum
Development
TMP (UK) Ltd
13/10/2016
100001109542
872 9045 02
770.80
DCMS
Agency Staff
Natural History Museum
Programme Group (Temporary Exhibitions)
G T Services
13/10/2016
4339
610.00
DCMS
Site Preparation / Demolition
Natural History Museum
Tring Café
Spring Personnel
13/10/2016
5384027
232 3479 75
152.72
DCMS
Agency Staff
Natural History Museum
Tring Retail
Spring Personnel
13/10/2016
5384027
232 3479 75
354.23
DCMS
Agency Staff
Natural History Museum
Tring Visitor Services
Spring Personnel
13/10/2016
5384027
232 3479 75
1,014.18
DCMS
Agency Staff
The NHM Trading Company LTD
Venue Hire (South Ken)
Spring Personnel
13/10/2016
5384075
232 3479 75
532.95
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Emcor Facility Services Ltd
27/10/2016
00429005RI
188 4140 46
2,503.47
DCMS
Fixtures & Fittings
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
SS CHP Boilerhouse
Gazprom Marketing & Trading Retail Ltd
13/10/2016
4491433
927 4051 29
64,902.19
DCMS
Gas
Natural History Museum
SS CHP Boilerhouse
Gazprom Marketing & Trading Retail Ltd
13/10/2016
4474941
927 4051 29
68,729.85
DCMS
Gas
Natural History Museum
SS CHP Boilerhouse
Gazprom Marketing & Trading Retail Ltd
13/10/2016
4474940
927 4051 29
67,914.41
DCMS
Gas
Natural History Museum
SS CHP Boilerhouse
Gazprom Marketing & Trading Retail Ltd
13/10/2016
4474939
927 4051 29
61,946.86
DCMS
Gas
The NHM Trading Company LTD
Retail (South Ken)
Creative Apparel Concepts Inc.
06/10/2016
112719
3,620.81
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
NoaPoa Asia Pte Ltd
06/10/2016
2016.0901
877.31
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Cavallini Papers & Co Inc
06/10/2016
226389
768.09
DCMS
Stock
The NHM Trading Company LTD
Business & Commercial Trading
Alchemy VR Ltd
13/10/2016
ALSI 9
240 9598 84
6,951.95
DCMS
Trading Activities-3rd P Sales
The NHM Trading Company LTD
Touring Robotics
Key Travel
13/10/2016
50462767
171 5690 00
871.00
DCMS
Rechargeable Costs
Natural History Museum
Estates Buildings Projects
Emcor Facility Services Ltd
12/10/2016
00429007RI
188 4140 46
4,262.32
DCMS
Build & Eng Reactive Maintenance
The NHM Trading Company LTD
Touring Robotics
Key Travel
13/10/2016
50462943
171 5690 00
699.00
DCMS
Rechargeable Costs
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Museum Programme Group (PEG)
Survey Solutions (South East)
13/10/2016
2144920
889 5546 48
625.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Museum Programme Group (PEG)
Survey Solutions (South East)
13/10/2016
2144920
889 5546 48
3,800.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Museum Programme Group (PEG)
Survey Solutions (South East)
13/10/2016
2144920
889 5546 48
985.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
HR Organisational Development
JISC (London)
13/10/2016
000226
197 0632 86
1,500.00
DCMS
Training
Natural History Museum
LS Invertebrates Division
Fisher Scientific UK
13/10/2016
4151939112
844 2904 24
509.20
DCMS
Consumables / Sundry (non Stat)
The NHM Trading Company LTD
Touring Robotics
Key Travel
13/10/2016
50462939
171 5690 00
699.00
DCMS
Rechargeable Costs
The NHM Trading Company LTD
Touring Robotics
Key Travel
13/10/2016
50462944
171 5690 00
663.50
DCMS
Rechargeable Costs
Natural History Museum
Museum Programme Group (PEG)
Baker Mallett
13/10/2016
T/7374
238 4185 51
775.00
DCMS
Assets under Construction
Natural History Museum
Museum Programme Group (PEG)
Baker Mallett
13/10/2016
T/7375
238 4185 51
3,625.00
DCMS
Assets under Construction
Natural History Museum
Museum Programme Group (PEG)
Baker Mallett
13/10/2016
T/7376
238 4185 51
516.00
DCMS
Assets under Construction
Natural History Museum
Estates Buildings Projects
Baker Mallett
13/10/2016
T/7377
238 4185 51
3,795.00
DCMS
Assets under Construction
Natural History Museum
Estates Buildings Projects
Baker Mallett
13/10/2016
T/7378
238 4185 51
1,056.00
DCMS
Assets under Construction
Natural History Museum
Technology Solutions
Spring Technology
27/10/2016
Z86677/00
232 3479 75
1,770.00
DCMS
Agency Staff
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
Touring Robotics
Spring Personnel
13/10/2016
5381436
232 3479 75
520.03
DCMS
Agency Staff
The NHM Trading Company LTD
Touring Robotics
Spring Personnel
13/10/2016
5381024
232 3479 75
510.57
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Wymount
13/10/2016
1209
885 8551 64
825.00
DCMS
Freelancers / Self Empld cont
The NHM Trading Company LTD
Retail (South Ken)
DPD UK
13/10/2016
12211729
754 5322 32
714.94
DCMS
Postage & Couriers
The NHM Trading Company LTD
Retail (South Ken)
DPD UK
13/10/2016
12211729
754 5322 32
315.17
DCMS
Postage & Couriers
The NHM Trading Company LTD
Retail (South Ken)
Gisela Graham Ltd
13/10/2016
SINV280637/0
381 8617 27
3,840.64
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Impact China
13/10/2016
17027
670 5758 13
1,501.92
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Rockshop Wholesale
13/10/2016
57445
183 6395 33
1,092.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
RGM Products Limited
13/10/2016
2172
842 6797 88
2,299.55
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Tyrrell Katz Ltd
13/10/2016
80983
835 5314 31
634.20
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Wild Republic Europe (Denmark) ApS
13/10/2016
SI322480
20.12.40.83
1,248.00
DCMS
Stock
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
Retail (South Ken)
Wild Republic Europe (Denmark) ApS
13/10/2016
SI322536
20.12.40.83
5,397.30
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Wild Republic Europe (Denmark) ApS
13/10/2016
SI322545
20.12.40.83
4,506.76
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Cornflower Limited
13/10/2016
43837
678 7954 52
1,095.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Nature Planet ApS
13/10/2016
42682
28.98.51.18
2,270.40
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Nature Planet ApS
13/10/2016
42654
28.98.51.18
822.48
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Ravensden PLC
13/10/2016
OP/I104615
486 5098 02
988.80
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Littlehampton Book Services Ltd
13/10/2016
5988536X
205 5053 05
609.80
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Insect Lore Europe
13/10/2016
N297692
650 6107 63
574.56
DCMS
Stock
Natural History Museum
CRL Molecular Biology Labs
Illumina UK Ltd.
13/10/2016
7020183262
726 0351 59
8,974.65
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Technology Solutions
Dell Computer Corporation Ltd
13/10/2016
7402315094
635 8235 28
392.23
DCMS
IT Costs
Natural History Museum
Technology Solutions
Dell Computer Corporation Ltd
13/10/2016
7402315094
635 8235 28
124.83
DCMS
IT Costs
Natural History Museum
Development
Richard Kanareck
13/10/2016
13TH SEPT 16
9,372.00
DCMS
Prof. Fees excl Legal & Audit
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Museum Programme Group (PEG)
Kokoro Company Limited
06/10/2016
KKR-0198A01
18,000.00
DCMS
Assets under Construction
Natural History Museum
Technology Solutions - Telecoms (NHM) Verizon
13/10/2016
W010598623
823 8170 33
1,276.22
DCMS
Telecoms Direct Costs
Natural History Museum
Museum Programme Group (PEG)
Purcell Miller Tritton LLP
13/10/2016
LON013097
105 0807 13
3,075.00
DCMS
Assets under Construction
Natural History Museum
Human Resources - Ops
Childcare Vouchers Ltd
12/10/2016
IN133500781
649 5035 20
202.52
DCMS
HR Outsourced Services Contracts
Natural History Museum
NHM Governance & Admin
Childcare Vouchers Ltd
12/10/2016
IN133500781
649 5035 20
10,125.83
DCMS
Child Care Vouchers
The NHM Trading Company LTD
Retail (South Ken)
Grantham Book Services (TBS Ltd)
13/10/2016
KW6267IW
102 8389 80
1,991.73
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Penguin Books Ltd
13/10/2016
39034070
102 8389 80
43.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Penguin Books Ltd
13/10/2016
39034070
102 8389 80
1,546.80
DCMS
Stock
Natural History Museum
Sci Directorate
Key Travel
13/10/2016
50463727
362 3348 61
276.61
DCMS
Travel-Air Passenger Transport
Natural History Museum
Sci Directorate
Key Travel
13/10/2016
50463727
362 3348 61
346.79
DCMS
Accommodation
Natural History Museum
LS Parasites & Vectors Division
Key Travel
13/10/2016
50464050
362 3348 61
692.94
DCMS
Travel-Air Passenger Transport
Natural History Museum
LS Parasites & Vectors Division
Key Travel
13/10/2016
50464051
362 3348 61
693.24
DCMS
Travel-Air Passenger Transport
Natural History Museum
L&A Researcher Services & Digital Delivery
Internet Archive
06/10/2016
13214
3,321.50
DCMS
Library Serials
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
ES Vertebrates & Anthropology Palaeobiology
Key Travel
13/10/2016
50464122
362 3348 61
705.34
DCMS
Travel-Air Passenger Transport
Natural History Museum
Estates Management
Crest Commercial Removals Ltd
13/10/2016
333
840 0451 69
1,088.64
DCMS
Storage Costs
Natural History Museum
Museum Programme Group (PEG)
Reier
06/10/2016
R16X0110
157 9886 38
7,731.90
DCMS
Assets under Construction
Natural History Museum
L&A Researcher Services & Digital Delivery
Internet Archive
06/10/2016
13423
4,977.00
DCMS
Library Serials
Natural History Museum
Museum Programme Group (PEG)
Purcell Miller Tritton LLP
13/10/2016
LON013052
105 0807 13
3,075.00
DCMS
Assets under Construction
Natural History Museum
HR Organisational Development
Language Link
13/10/2016
C-FT 160914
750.00
DCMS
Training
Natural History Museum
Publishing
Toppan Leefung Printing Limited
06/10/2016
EB1608492
236.76
DCMS
Work In Progress
Natural History Museum
Publishing
Toppan Leefung Printing Limited
06/10/2016
EB1608492
1,500.00
DCMS
Work In Progress
Natural History Museum
Publishing
Toppan Leefung Printing Limited
06/10/2016
EB1608492
250.00
DCMS
Work In Progress
Natural History Museum
Publishing
Toppan Leefung Printing Limited
06/10/2016
EB1608492
300.00
DCMS
Work In Progress
Natural History Museum
Estates Security SK
Godfrey Syrett
27/10/2016
109928
698 5591 58
709.92
DCMS
Office Equip. < £5k (Non IT)
Natural History Museum
Technology Solutions
Spring Personnel
13/10/2016
5383986
232 3479 75
756.00
DCMS
Agency Staff
Natural History Museum
Development
Christina Grant Consultancy Ltd
13/10/2016
009
1,650.00
DCMS
Training
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Estates Housekeeping SK
Investec Asset Finance Plc
13/10/2016
MI/1238721
480 9126 39
2,300.00
DCMS
Postage & Couriers
Natural History Museum
LS Invertebrates Division
VWR International Ltd
13/10/2016
5063221450
823 8532 25
781.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Tring Retail
Spring Personnel
13/10/2016
5379590
232 3479 75
358.23
DCMS
Agency Staff
Natural History Museum
Tring Visitor Services
Spring Personnel
13/10/2016
5379590
232 3479 75
348.88
DCMS
Agency Staff
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Spring Personnel
13/10/2016
5380545
232 3479 75
920.00
DCMS
Agency Staff
Natural History Museum
Production Services Exhibitn & Cons. CLOSED FY1617
Spring Personnel
13/10/2016
5380546
232 3479 75
805.00
DCMS
Agency Staff
Natural History Museum
Membership
Spring Personnel
13/10/2016
5383108
232 3479 75
223.74
DCMS
Agency Staff
Natural History Museum
Bookings & Sales
Spring Personnel
13/10/2016
5383108
232 3479 75
1,373.33
DCMS
Agency Staff
Natural History Museum
Bookings & Sales
Spring Personnel
13/10/2016
5383108
232 3479 75
1,172.75
DCMS
Agency Staff
Natural History Museum
Bookings & Sales
Spring Personnel
13/10/2016
5383108
232 3479 75
1,181.10
DCMS
Agency Staff
Natural History Museum
Bookings & Sales - Cloakroom
Spring Personnel
13/10/2016
5383108
232 3479 75
1,186.80
DCMS
Agency Staff
Natural History Museum
VC Donations & Maps
Spring Personnel
13/10/2016
5383108
232 3479 75
402.00
DCMS
Agency Staff
Natural History Museum
VC Donations & Maps
Spring Personnel
13/10/2016
5383259
232 3479 75
406.80
DCMS
Agency Staff
Natural History Museum
Bookings & Sales - Cloakroom
Spring Personnel
13/10/2016
5383259
232 3479 75
1,162.13
DCMS
Agency Staff
Natural History Museum
Bookings & Sales
Spring Personnel
13/10/2016
5383259
232 3479 75
610.85
DCMS
Agency Staff
Natural History Museum
Bookings & Sales
Spring Personnel
13/10/2016
5383259
232 3479 75
1,243.48
DCMS
Agency Staff
Natural History Museum
Bookings & Sales
Spring Personnel
13/10/2016
5383259
232 3479 75
1,428.02
DCMS
Agency Staff
Natural History Museum
Membership
Spring Personnel
13/10/2016
5383259
232 3479 75
657.14
DCMS
Agency Staff
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Membership
Spring Personnel
13/10/2016
5383411
232 3479 75
606.07
DCMS
Agency Staff
Natural History Museum
Bookings & Sales
Spring Personnel
13/10/2016
5383411
232 3479 75
1,167.81
DCMS
Agency Staff
Natural History Museum
Bookings & Sales
Spring Personnel
13/10/2016
5383411
232 3479 75
1,365.39
DCMS
Agency Staff
Natural History Museum
Bookings & Sales
Spring Personnel
13/10/2016
5383411
232 3479 75
1,175.46
DCMS
Agency Staff
Natural History Museum
Bookings & Sales - Cloakroom
Spring Personnel
13/10/2016
5383411
232 3479 75
1,478.49
DCMS
Agency Staff
Natural History Museum
VC Donations & Maps
Spring Personnel
13/10/2016
5383411
232 3479 75
589.35
DCMS
Agency Staff
Natural History Museum
Technology Solutions
Certes Computing Ltd
13/10/2016
SIN026798
377 3451 31
210.00
DCMS
Agency Staff
Natural History Museum
Technology Solutions
Certes Computing Ltd
13/10/2016
SIN026798
377 3451 31
420.00
DCMS
Agency Staff
Natural History Museum
Technology Solutions
Certes Computing Ltd
13/10/2016
SIN026798
377 3451 31
210.00
DCMS
Agency Staff
Natural History Museum
Technology Solutions
Certes Computing Ltd
13/10/2016
SIN026798
377 3451 31
210.00
DCMS
Agency Staff
Natural History Museum
Museum Programme Group (PEG)
Casson Mann
13/10/2016
2156
446 0116 79
13,300.45
DCMS
Assets under Construction
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612053
1,223.85
DCMS
IT Costs
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612053
684.50
DCMS
IT Costs
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612053
954.00
DCMS
IT Costs
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612053
85.00
DCMS
IT Costs
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612053
390.05
DCMS
IT Costs
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612053
498.15
DCMS
IT Costs
Natural History Museum
Retail (South Ken)
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612053
80.05
DCMS
IT Costs
Natural History Museum
Estates Buildings Projects
Deloitte LLP
13/10/2016
1111351215
809 7077 06
720.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
LS Genomics & Microbial Biodiversity Division
Dell Computer Corporation Ltd
13/10/2016
7402314676
635 8235 28
1,498.50
DCMS
IT Costs
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Learning Operations
Dell Computer Corporation Ltd
13/10/2016
7402314445
635 8235 28
1,233.40
DCMS
IT Costs
Natural History Museum
Learning Operations
Dell Computer Corporation Ltd
13/10/2016
7402314445
635 8235 28
203.98
DCMS
IT Costs
Natural History Museum
Museum Programme Group (PEG)
3 Form
06/10/2016
IQ-726047
0097 27 784 B01
3,252.25
DCMS
Assets under Construction
Natural History Museum
Museum Programme Group (PEG)
3 Form
06/10/2016
IQ-726047
0097 27 784 B01
377.53
DCMS
Assets under Construction
Natural History Museum
Museum Programme Group (PEG)
3 Form
06/10/2016
IQ-726047
0097 27 784 B01
312.66
DCMS
Postage & Couriers
Natural History Museum
Museum Programme Group (PEG)
3 Form
06/10/2016
IQ-726047
0097 27 784 B01
113.84
DCMS
Assets under Construction
The NHM Trading Company LTD
WPoY Competition
Key Travel
13/10/2016
50463460
171 5690 00
143.00
DCMS
Travel-Air Passenger Transport
The NHM Trading Company LTD
WPoY Competition
Key Travel
13/10/2016
50463460
171 5690 00
944.42
DCMS
Travel-Air Passenger Transport
The NHM Trading Company LTD
Touring Robotics
Key Travel
27/10/2016
50463835
171 5690 00
990.45
DCMS
Rechargeable Costs
The NHM Trading Company LTD
Touring Robotics
Key Travel
27/10/2016
50463852
171 5690 00
887.30
DCMS
Rechargeable Costs
The NHM Trading Company LTD
WPoY Competition
Thebigword
27/10/2016
INV549321
945 6015 21
1,426.56
DCMS
Prof. Fees excl Legal & Audit
The NHM Trading Company LTD
Retail (South Ken)
Link 51
13/10/2016
90942581
797 0731 91
1,633.54
DCMS
Fixtures & Fittings
Natural History Museum
Human Resources - Ops
Dell Computer Corporation Ltd
13/10/2016
7402314752
635 8235 28
578.00
DCMS
IT Costs
Natural History Museum
LS Collections
Statebourne Cryogenics Ltd
13/10/2016
062875
176 6400 55
587.00
DCMS
Equip. Maint. & Repairs (non IT)
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Museum Programme Group (PEG)
Taylor Pearce Limited
27/10/2016
17/122
437 1083 44
1,390.00
DCMS
Exhibition Construction / Hire
Natural History Museum
ES Vertebrates & Anthropology Palaeobiology
Qiagen Limited
27/10/2016
95103581
644 3732 38
587.88
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
L&A Researcher Services & Digital Delivery
OCLC (UK) Ltd
13/10/2016
201760047
600 2065 11
2,860.00
DCMS
IT Costs
Natural History Museum
CRL Imaging & Analytical
Sure-Safe Ltd
13/10/2016
38499
632 5950 37
937.00
DCMS
Equip. Maint. & Repairs (non IT)
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
27/10/2016
S00466029
853 9368 83
159,133.26
DCMS
Estates Outsourced Services
The NHM Trading Company LTD
Venue Hire (South Ken)
Music & Arts Security Ltd
13/10/2016
21553
644 8760 08
1,416.00
DCMS
Rechargeable Costs
The NHM Trading Company LTD
Venue Hire (South Ken)
Music & Arts Security Ltd
13/10/2016
21554
644 8760 08
1,091.00
DCMS
Rechargeable Costs
Natural History Museum
Audience Development Mgmt CLOSED FY1617
AKA Promotions Ltd
13/10/2016
L1 211045
696 8691 51
800.00
DCMS
Advertising
Natural History Museum
Audience Development Mgmt CLOSED FY1617
AKA Promotions Ltd
13/10/2016
L1 211043
696 8691 51
1,209.21
DCMS
Advertising
Natural History Museum
Technology Solutions
IC Consultants Ltd
13/10/2016
0098466
27,130.95
DCMS
IT Costs
Natural History Museum
Museum Programme Group (PEG)
RWCA
13/10/2016
15/503/RW/B/742
704 5540 57
1,640.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Museum Programme Group (PEG)
RWCA
13/10/2016
15/503/RW/B/742
704 5540 57
410.00
DCMS
Prof. Fees excl Legal & Audit
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Museum Programme Group (PEG)
RWCA
13/10/2016
15/500/RW/C/741
704 5540 57
8,588.68
DCMS
Assets under Construction
Natural History Museum
Museum Programme Group (PEG)
RWCA
13/10/2016
15/500/RW/C/741
704 5540 57
864.36
DCMS
Assets under Construction
Natural History Museum
HR Organisational Development
Micropaleontological Fndtn Micropress Eu
06/10/2016
8/2016
6772380282
608.61
DCMS
Training
Natural History Museum
Risk & Assurance
Marks Sattin (UK) Limited
27/10/2016
193890
892 2071 22
1,382.25
DCMS
Agency Staff
Natural History Museum
Risk & Assurance
Marks Sattin (UK) Limited
27/10/2016
193890
892 2071 22
7.15
DCMS
Agency Staff
Natural History Museum
Audience Development Mgmt CLOSED FY1617
Northfields
27/10/2016
172671
629 2048 40
595.00
DCMS
Special Event Costs
Natural History Museum
ES Vertebrates & Anthropology Palaeobiology
Fisher Scientific UK
27/10/2016
4151947906
844 2904 24
381.90
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
ES Vertebrates & Anthropology Palaeobiology
Fisher Scientific UK
27/10/2016
4151947906
844 2904 24
232.20
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
LS Department Mgmt Team
Media Planet Ltd
27/10/2016
16000472
853 5223 32
3,500.00
DCMS
Prof. Printing & Promo. Matl.
The NHM Trading Company LTD
ES Consultancy
Charles Kendall Packing
27/10/2016
17002003
563 2027 64
1,222.00
DCMS
Postage & Couriers
The NHM Trading Company LTD
ES Consultancy
Charles Kendall Packing
27/10/2016
17002003
563 2027 64
60.00
DCMS
Postage & Couriers
The NHM Trading Company LTD
NHM Consultancy
The National Children Museum Society
06/10/2016
69
17912610
2,300.63
DCMS
Conference (Delegate) Fees
Natural History Museum
Technology Solutions
Esteem Systems Ltd t/a ESTEEM
27/10/2016
OP/I092690
772 2280 35
642.00
DCMS
IT Costs
Natural History Museum
Marketing
AKA Promotions Ltd
13/10/2016
L1 211058
696 8691 51
1,500.00
DCMS
Advertising
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Marketing
AKA Promotions Ltd
27/10/2016
L1 211330
696 8691 51
2,082.08
DCMS
Advertising
Natural History Museum
Marketing
AKA Promotions Ltd
27/10/2016
L1 211329
696 8691 51
1,000.00
DCMS
Advertising
Natural History Museum
Marketing
AKA Promotions Ltd
27/10/2016
L1 211328
696 8691 51
1,000.00
DCMS
Advertising
Natural History Museum
Marketing
AKA Promotions Ltd
27/10/2016
L1 211049
696 8691 51
660.00
DCMS
Advertising
Natural History Museum
Estates Management
Dacorum Borough Council
13/10/2016
94583563 11.07.2016
209 0426 90
513.83
DCMS
Other Taxes / Import Duties
Natural History Museum
Marketing
AKA Promotions Ltd
13/10/2016
L1 211048
696 8691 51
2,450.45
DCMS
Advertising
Natural History Museum
Marketing
AKA Promotions Ltd
13/10/2016
L1 211050
696 8691 51
666.65
DCMS
Advertising
Natural History Museum
Marketing
AKA Promotions Ltd
13/10/2016
L1 211051
696 8691 51
2,191.69
DCMS
Advertising
Natural History Museum
HR Organisational Development
Capita Business Services Ltd
27/10/2016
WX2127
618 1841 40
1,030.49
DCMS
Training
Natural History Museum
Programme Group (Temporary Exhibitions)
Factory Settings Ltd
27/10/2016
INV-1910
18,420.00
DCMS
Exhibition Construction / Hire
Natural History Museum
Programme Group (Temporary Exhibitions)
Factory Settings Ltd
27/10/2016
INV-1910
13,650.00
DCMS
Exhibition Construction / Hire
Natural History Museum
Programme Group (Temporary Exhibitions)
Factory Settings Ltd
27/10/2016
INV-1910
8,980.00
DCMS
Exhibition Construction / Hire
Natural History Museum
Programme Group (Temporary Exhibitions)
Factory Settings Ltd
27/10/2016
INV-1910
4,160.00
DCMS
Exhibition Construction / Hire
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Programme Group (Temporary Exhibitions)
Factory Settings Ltd
27/10/2016
INV-1910
6,800.00
DCMS
Exhibition Construction / Hire
Natural History Museum
Media Relations
Spring Personnel
13/10/2016
5383859
232 3479 75
571.01
DCMS
Agency Staff
Natural History Museum
Media Relations
Spring Personnel
13/10/2016
5383860
232 3479 75
708.84
DCMS
Agency Staff
Natural History Museum
Tring Visitor Services
Spring Personnel
27/10/2016
5384187
232 3479 75
972.62
DCMS
Agency Staff
Natural History Museum
Tring Retail
Spring Personnel
27/10/2016
5384187
232 3479 75
245.83
DCMS
Agency Staff
Natural History Museum
Membership
Experian Data Quality
27/10/2016
HEX67000586707
887 1335 93
1,233.16
DCMS
Licences (Non IT)
Natural History Museum
HR Organisational Development
Universal Safety Consultants Ltd
27/10/2016
INV-201587
805 3616 46
600.00
DCMS
Training
Natural History Museum
LS Collections
Alcohols Ltd
27/10/2016
SL136729
232 3604 01
1,193.14
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
LS Collections
Alcohols Ltd
27/10/2016
SL136729
232 3604 01
87.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Programme Group (Temporary Exhibitions)
Mojo Polytunnels Ltd
27/10/2016
50
3,000.00
DCMS
Exhibition Construction / Hire
Natural History Museum
HR Organisational Development
Marlin Training Ltd
13/10/2016
2014
700.00
DCMS
Training
The NHM Trading Company LTD
Retail (South Ken)
Cotswold Fayre Ltd
13/10/2016
255862
653 4530 44
922.40
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Brandart Ltd
13/10/2016
39505
625 5142 57
6,543.16
DCMS
Stock
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
Retail (South Ken)
Best Years Ltd
13/10/2016
SI-1209928
844 8405 12
823.15
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
British Fossils
13/10/2016
SIN026010
423 8505 60
2,722.58
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Archivist Ltd
13/10/2016
INV609324
670 0489 39
673.44
DCMS
Stock
Natural History Museum
Museum Programme Group (PEG)
Niall McLaughlin Architects
27/10/2016
016/095
719 2974 02
6,666.67
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Museum Programme Group (PEG)
Niall McLaughlin Architects
27/10/2016
016/095
719 2974 02
1,833.33
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Museum Programme Group (PEG)
Niall McLaughlin Architects
27/10/2016
016/095
719 2974 02
7,750.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Museum Programme Group (PEG)
Niall McLaughlin Architects
27/10/2016
016/095
719 2974 02
2,153.33
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Museum Programme Group (PEG)
Niall McLaughlin Architects
27/10/2016
016/095
719 2974 02
2,416.67
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Museum Programme Group (PEG)
Niall McLaughlin Architects
27/10/2016
016/095
719 2974 02
728.50
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Museum Programme Group (PEG)
Niall McLaughlin Architects
27/10/2016
016/095
719 2974 02
183.33
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Museum Programme Group (PEG)
Niall McLaughlin Architects
27/10/2016
016/095
719 2974 02
1,606.67
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Museum Programme Group (PEG)
Equals Consulting Limited
27/10/2016
2374
979 0817 67
2,545.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Technology Solutions
Loyal Retainers Ltd
27/10/2016
092
209 6628 90
1,625.00
DCMS
Assets under Construction
Natural History Museum
Technology Solutions
Loyal Retainers Ltd
27/10/2016
092
209 6628 90
240.00
DCMS
Assets under Construction
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
27/10/2016
S00466766
853 9368 83
1,561.61
DCMS
Build & Eng Reactive Maintenance
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
27/10/2016
S00466787
853 9368 83
656.89
DCMS
Build & Eng Reactive Maintenance
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
27/10/2016
S00466794
853 9368 83
1,770.66
DCMS
Build & Eng Reactive Maintenance
Natural History Museum
Museum Programme Group (PEG)
CBRE Managed Services Limited
27/10/2016
S00466796
853 9368 83
4,426.65
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
27/10/2016
S00466797
853 9368 83
984.96
DCMS
Build & Eng Reactive Maintenance
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
27/10/2016
S00467129
853 9368 83
3,091.00
DCMS
Build & Eng Reactive Maintenance
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
27/10/2016
S00467136
853 9368 83
8,385.50
DCMS
Build & Eng Reactive Maintenance
Natural History Museum
Estates Buildings Projects
CBRE Managed Services Limited
27/10/2016
S00467020
853 9368 83
33,784.00
DCMS
Exceptional Costs
Natural History Museum
Estates Buildings Projects
CBRE Managed Services Limited
27/10/2016
S00466129
853 9368 83
26,487.60
DCMS
Exceptional Costs
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
27/10/2016
S00466730
853 9368 83
545.32
DCMS
Build & Eng Reactive Maintenance
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
27/10/2016
S00466732
853 9368 83
4,363.07
DCMS
Build & Eng Reactive Maintenance
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
27/10/2016
S00466734
853 9368 83
3,956.66
DCMS
Build & Eng Reactive Maintenance
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
27/10/2016
S00466739
853 9368 83
1,472.27
DCMS
Build & Eng Reactive Maintenance
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
27/10/2016
S00466744
853 9368 83
1,123.60
DCMS
Build & Eng Reactive Maintenance
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
27/10/2016
S00466747
853 9368 83
630.18
DCMS
Build & Eng Reactive Maintenance
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
27/10/2016
S00466754
853 9368 83
1,814.38
DCMS
Build & Eng Reactive Maintenance
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
27/10/2016
S00466757
853 9368 83
630.18
DCMS
Build & Eng Reactive Maintenance
Natural History Museum
Estates Buildings Projects
CBRE Managed Services Limited
27/10/2016
S00466120
853 9368 83
9,712.50
DCMS
Build & Eng Reactive Maintenance
Natural History Museum
Technical Production Special Effects
Black Cat Displays Ltd
27/10/2016
1044
912 0648 51
914.00
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Technical Production Special Effects
Black Cat Displays Ltd
27/10/2016
1044
912 0648 51
300.00
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Programme Group (Temporary Exhibitions)
Black Cat Displays Ltd
27/10/2016
1043
912 0648 51
2,697.00
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
27/10/2016
0000353315
491 0421 69
29.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
27/10/2016
0000353315
491 0421 69
39.90
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
27/10/2016
0000353315
491 0421 69
6.25
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
27/10/2016
0000353315
491 0421 69
7.75
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
27/10/2016
0000353315
491 0421 69
6.25
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
27/10/2016
0000353315
491 0421 69
7.75
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
27/10/2016
0000353315
491 0421 69
24.75
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
27/10/2016
0000353315
491 0421 69
44.75
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
27/10/2016
0000353315
491 0421 69
21.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
27/10/2016
0000353315
491 0421 69
15.00
DCMS
Postage & Couriers
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
27/10/2016
0000353315
491 0421 69
295.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
27/10/2016
0000353315
491 0421 69
150.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
CRL Conservation Centre
Preservation Equipment Ltd
27/10/2016
0000353315
491 0421 69
139.75
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Technology Solutions - Telecoms (NHM) Vodafone Limited
13/10/2016
81497469
569 9532 77
2,408.85
DCMS
Telecoms Direct Costs
Natural History Museum
HR Organisational Development
B A Whitton Algal Training
13/10/2016
16.15
560.00
DCMS
Conference (Delegate) Fees
Natural History Museum
LS Algae, Fungi and Plants Division
B A Whitton Algal Training
13/10/2016
16.15
300.00
DCMS
Accommodation
Natural History Museum
Programme Group (Temporary Exhibitions)
Cranborne House Ltd
13/10/2016
1617/025
701 2157 89
11,041.00
DCMS
Site Preparation / Demolition
Natural History Museum
Publishing
James Wilkins
27/10/2016
1
1,000.00
DCMS
Work In Progress
Natural History Museum
HR Organisational Development
Dick Hawkes Consulting
27/10/2016
280
1,500.00
DCMS
Training
The NHM Trading Company LTD
Business & Commercial Trading
Alchemy VR Ltd
27/10/2016
ALSI11
240 9598 84
3,324.53
DCMS
Trading Activities-3rd P Sales
The NHM Trading Company LTD
Venue Hire (South Ken)
Cover it Up Ltd
27/10/2016
42110
751 7479 07
2,050.00
DCMS
Rechargeable Costs
The NHM Trading Company LTD
Venue Hire (South Ken)
Music & Arts Security Ltd
27/10/2016
21587
644 8760 08
1,304.50
DCMS
Special Event Costs
The NHM Trading Company LTD
Venue Hire (South Ken)
Music & Arts Security Ltd
27/10/2016
21588
644 8760 08
1,725.00
DCMS
Special Event Costs
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
Venue Hire (South Ken)
Music & Arts Security Ltd
27/10/2016
21589
644 8760 08
1,606.00
DCMS
Special Event Costs
The NHM Trading Company LTD
NHM Consultancy
Amanda Chambers Consulting
13/10/2016
NHM 008
750.00
DCMS
Freelancers / Self Empld cont
Natural History Museum
Museum Programme Group (PEG)
Aleksa Studio Ltd
27/10/2016
NHM02
1,500.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Museum Programme Group (PEG)
Aleksa Studio Ltd
27/10/2016
NHM-PD02
1,500.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Technology Solutions
Certes Computing Ltd
27/10/2016
SIN026855
377 3451 31
3,962.00
DCMS
Agency Staff
Natural History Museum
Museum Programme Group (PEG)
Purcell Miller Tritton LLP
27/10/2016
LON013138
105 0807 13
3,075.00
DCMS
Assets under Construction
Natural History Museum
Museum Programme Group (PEG)
Sykes & Sons Limited
27/10/2016
IN002723
239 8476 14
56,766.87
DCMS
Assets under Construction
Natural History Museum
Museum Programme Group (PEG)
Sykes & Sons Limited
27/10/2016
IN002723
239 8476 14
10,687.11
DCMS
Site Preparation / Demolition
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
12/10/2016
S00458607
853 9368 83
24,895.92
DCMS
Estates Outsourced Services
Natural History Museum
Estates Buildings Ops
CBRE Managed Services Limited
12/10/2016
S00458608
853 9368 83
171,843.69
DCMS
Estates Outsourced Services
Natural History Museum
Sci Resources - Research Coordination Office
Research Research Ltd
27/10/2016
NSLUK28241
12,106.00
DCMS
Subscriptions & Corp. Mbrships
Natural History Museum
Estates Buildings Projects
Procare Building Services Ltd
27/10/2016
221721
657 2726 13
26,740.26
DCMS
Build & Eng Reactive Maintenance
Natural History Museum
Estates Buildings Projects
Procare Building Services Ltd
27/10/2016
221721
657 2726 13
4,923.74
DCMS
Build & Eng Reactive Maintenance
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Programme Group (Temporary Exhibitions)
Ashtead Plant Hire Co Ltdt/a Eve Trakway
27/10/2016
1010598
209 5687 37
1,587.20
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Media Relations
Gorkana Group Ltd
27/10/2016
GB_53017
757 1580 12
1,543.75
DCMS
Subscriptions & Corp. Mbrships
Natural History Museum
Technology Solutions
Dell Computer Corporation Ltd
13/10/2016
7402313339
635 8235 28
4,002.30
DCMS
IT Costs
Natural History Museum
Technology Solutions
Dell Computer Corporation Ltd
13/10/2016
7402313339
635 8235 28
287.44
DCMS
IT Costs
Natural History Museum
Programme Group (Temporary Exhibitions)
Aaron Jones
27/10/2016
16/12
920 5729 31
1,701.00
DCMS
Freelancers / Self Empld cont
Natural History Museum
Estates Buildings Projects
Titan Containers A/S
27/10/2016
1639595
941 1109 61
780.00
DCMS
Building & Engineering PPM
Natural History Museum
Welcome and Service
Spring Personnel
13/10/2016
5383300
232 3479 75
14,964.33
DCMS
Agency Staff
Natural History Museum
Welcome and Service
Spring Personnel
13/10/2016
5383457
232 3479 75
13,388.02
DCMS
Agency Staff
Natural History Museum
Welcome and Service
Spring Personnel
13/10/2016
5383612
232 3479 75
14,407.50
DCMS
Agency Staff
Natural History Museum
Welcome and Service
Spring Personnel
13/10/2016
5383746
232 3479 75
12,643.31
DCMS
Agency Staff
Natural History Museum
Welcome and Service
Spring Personnel
13/10/2016
5383931
232 3479 75
8,857.79
DCMS
Agency Staff
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
Retail (South Ken)
Grantham Book Services (TBS Ltd)
13/10/2016
KS2255IW
102 8389 80
1,595.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Rockshop Wholesale
27/10/2016
57848
183 6395 33
1,045.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
H Grossman Limited
13/10/2016
0000210585
299 2526 13
1,006.72
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
L Deeley Enterprises
13/10/2016
NHM0183
1,920.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
L Deeley Enterprises
13/10/2016
NHM0183
66.86
DCMS
Postage & Couriers
The NHM Trading Company LTD
Retail (South Ken)
Wild Republic Europe (Denmark) ApS
13/10/2016
SL322813
20.12.40.83
6,426.91
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Keycraft
13/10/2016
203697
140 1547 10
4,815.12
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Suck UK
13/10/2016
141877
773 8390 89
513.21
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
The Lagoon Group
13/10/2016
170596
493 4100 57
1,027.93
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Great Gizmos Ltd
13/10/2016
234251
697 4395 69
2,211.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Dowman Imports
13/10/2016
43972
501 7702 81
1,127.90
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Littlehampton Book Services Ltd
13/10/2016
59925264
205 5053 05
187.84
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Littlehampton Book Services Ltd
13/10/2016
59925264
205 5053 05
740.51
DCMS
Stock
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
Retail (South Ken)
Tobar Group Trading Ltd
13/10/2016
3371095
1,247.09
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Global Solutions for Clothing (GSC) Ltd
13/10/2016
33999
806 2879 13
514.40
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Keycraft
13/10/2016
204222
140 1547 10
3,380.86
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Great Gizmos Ltd
13/10/2016
234381
697 4395 69
668.52
DCMS
Stock
Natural History Museum
Human Resources - Ops
Broadbean Technology
27/10/2016
021263
184 0887 78
3,700.00
DCMS
Recruitment Costs
Natural History Museum
Programme Group (Temporary Exhibitions)
Metro Imaging
27/10/2016
SIN574135
17,416.86
DCMS
Prof. Printing & Promo. Matl.
Natural History Museum
Development
Act 4 Ltd
13/10/2016
1914
739 7216 05
6,000.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Estates Security SK
Atec Security Ltd
27/10/2016
46005
431 3211 10
1,100.00
DCMS
Estates Systems Maintenance
Natural History Museum
LS Algae, Fungi and Plants Division
Key Travel
27/10/2016
50467649
362 3348 61
1,162.30
DCMS
Travel-Air Passenger Transport
Natural History Museum
ES Mineral & Planetary Sciences Division Key Travel
27/10/2016
50468020
362 3348 61
589.20
DCMS
Travel-Air Passenger Transport
Natural History Museum
ES Mineral & Planetary Sciences Division Key Travel
27/10/2016
50468020
362 3348 61
589.20
DCMS
Travel-Air Passenger Transport
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
CRL Dept Mgmt
Key Travel
27/10/2016
50467385
362 3348 61
160.96
DCMS
Accommodation
Natural History Museum
CRL Dept Mgmt
Key Travel
27/10/2016
50467385
362 3348 61
616.81
DCMS
Travel-Air Passenger Transport
Natural History Museum
LS Parasites & Vectors Division
Key Travel
27/10/2016
50467365
362 3348 61
633.74
DCMS
Travel-Air Passenger Transport
The NHM Trading Company LTD
Retail (South Ken)
Macmillan Publishers International Ltd
13/10/2016
92239340
220 9036 43
1,373.75
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Penguin Books Ltd
13/10/2016
39109917
102 8389 80
906.95
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Orange Tree Toys
13/10/2016
56569
556.32
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Littlehampton Book Services Ltd
13/10/2016
59943653
205 5053 05
168.62
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Littlehampton Book Services Ltd
13/10/2016
59943653
205 5053 05
899.43
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Littlehampton Book Services Ltd
13/10/2016
59962321
205 5053 05
809.55
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Penguin Books Ltd
27/10/2016
3919275X
102 8389 80
714.45
DCMS
Stock
Natural History Museum
Museum Programme Group (PEG)
Concept Display Systems Ltd.
12/10/2016
965
102 6290 54
32,132.07
DCMS
Assets under Construction
The NHM Trading Company LTD
Venue Hire (South Ken)
Cover it Up Ltd
27/10/2016
42125
751 7479 07
2,050.00
DCMS
Rechargeable Costs
The NHM Trading Company LTD
Venue Hire (South Ken)
Cover it Up Ltd
27/10/2016
42131
751 7479 07
2,050.00
DCMS
Rechargeable Costs
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
Retail (South Ken)
Target Group
27/10/2016
53877
118 9313 10
3,280.85
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Target Group
27/10/2016
53877
118 9313 10
1,284.77
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Target Group
27/10/2016
53888
118 9313 10
2,251.23
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Target Group
27/10/2016
53888
118 9313 10
2,102.67
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Keystone Employment Group LLP
27/10/2016
INV0036075
934 2836 14
1,178.76
DCMS
Agency Staff
Natural History Museum
Technology Solutions - Telecoms (NHM) British Telecommunications Plc
13/10/2016
VP 19121170 Q07101 O&
245 7193 48
2,675.38
DCMS
Telecoms Direct Costs
Natural History Museum
Estates Security SK
T&S Print Services Ltd
27/10/2016
21746
407 7201 75
855.00
DCMS
Equip. Purch. & Hire (non IT / office)
The NHM Trading Company LTD
Retail (South Ken)
Esprit Group
27/10/2016
91831 - 91844
608 0609 56
3,170.00
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Spring Personnel
27/10/2016
5384077
232 3479 75
4,133.50
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Spring Personnel
27/10/2016
5384077
232 3479 75
2,564.38
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Spring Personnel
27/10/2016
5384077
232 3479 75
1,268.20
DCMS
Agency Staff
Natural History Museum
Technical Production Painting, Joinery and Display
Working At Height Limited
27/10/2016
WAH 10515
881 4904 04
1,990.00
DCMS
Equip. Maint. & Repairs (non IT)
Natural History Museum
CRL Imaging & Analytical
Agilent Technologies
27/10/2016
1770030791
731 6143 59
9,628.80
DCMS
Equip. Maint. & Repairs (non IT)
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Sci Directorate
Nature Publishing Group
13/10/2016
213640OI
199 4406 21
3,150.00
DCMS
Prof. Printing & Promo. Matl.
Natural History Museum
Development
Onesource Information Services Ltd
27/10/2016
SI-26954
3,025.00
DCMS
IT Costs
The NHM Trading Company LTD
Technology Solutions
Spring Technology
27/10/2016
Z97039/00
232 3479 75
1,473.65
DCMS
Agency Staff
The NHM Trading Company LTD
Technology Solutions
Spring Technology
27/10/2016
Z97040/00
232 3479 75
1,473.65
DCMS
Agency Staff
The NHM Trading Company LTD
Technology Solutions
Spring Technology
27/10/2016
Z97041/00
232 3479 75
1,473.65
DCMS
Agency Staff
The NHM Trading Company LTD
Technology Solutions
Spring Technology
27/10/2016
Z97042/00
232 3479 75
884.19
DCMS
Agency Staff
The NHM Trading Company LTD
Technology Solutions
Spring Technology
27/10/2016
Z97043/00
232 3479 75
1,178.92
DCMS
Agency Staff
The NHM Trading Company LTD
Technology Solutions
Spring Technology
27/10/2016
Z97044/00
232 3479 75
1,473.65
DCMS
Agency Staff
Natural History Museum
Estates Buildings Ops
Toyota Material Handling UK Limited
13/10/2016
105088177
669 2842 89
531.45
DCMS
Build & Eng Reactive Maintenance
Natural History Museum
Technology Solutions
SoftwareONE UK Ltd
27/10/2016
GB-PSI-162853
942 5301 43
6,035.85
DCMS
IT Costs
Natural History Museum
Technology Solutions
SoftwareONE UK Ltd
27/10/2016
GB-PSI-162853
942 5301 43
20,610.30
DCMS
IT Costs
Natural History Museum
Technology Solutions
SoftwareONE UK Ltd
27/10/2016
GB-PSI-162853
942 5301 43
2,357.48
DCMS
IT Costs
Natural History Museum
Marketing
Dotmailer Ltd
27/10/2016
DM1044184
945 6513 05
25.00
DCMS
IT Costs
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Marketing
Dotmailer Ltd
27/10/2016
DM1044184
945 6513 05
500.00
DCMS
IT Costs
Natural History Museum
Marketing
Dotmailer Ltd
27/10/2016
DM1044184
945 6513 05
791.00
DCMS
IT Costs
The NHM Trading Company LTD
Venue Hire (South Ken)
Wilson James Ltd
27/10/2016
90034397
546 1539 38
5,974.67
DCMS
Special Event Costs
The NHM Trading Company LTD
Venue Hire (South Ken)
Wilson James Ltd
27/10/2016
90034397
546 1539 38
5,857.47
DCMS
Special Event Costs
The NHM Trading Company LTD
WPoY Competition
AKA
27/10/2016
L1 211333
696 8691 51
3,500.00
DCMS
Prof. Printing & Promo. Matl.
The NHM Trading Company LTD
WPoY Competition
AKA
27/10/2016
L1 211334
696 8691 51
5,000.00
DCMS
Prof. Printing & Promo. Matl.
The NHM Trading Company LTD
WPoY Competition
AKA
27/10/2016
L1 211335
696 8691 51
1,000.00
DCMS
Prof. Printing & Promo. Matl.
The NHM Trading Company LTD
Venue Hire (South Ken)
PCS Cleaning
13/10/2016
153641
404 6707 66
15,674.09
DCMS
Special Event Costs
The NHM Trading Company LTD
Retail (South Ken)
Intelligent Counting Ltd
27/10/2016
4376
1,434.00
DCMS
Fixtures & Fittings
The NHM Trading Company LTD
Touring WPY
Metro Imaging
27/10/2016
SIN574136
342 1081 02
29,240.00
DCMS
Exhibition Construction / Hire
The NHM Trading Company LTD
Touring Robotics
Kokoro Company Limited
19/10/2016
QUART STATE
12,000.00
DCMS
Commission Costs
The NHM Trading Company LTD
Touring Robotics
Kokoro Company Limited
19/10/2016
QUART STATE
16,800.00
DCMS
Commission Costs
The NHM Trading Company LTD
Touring Robotics
Kokoro Company Limited
19/10/2016
QUART STATE
8,050.00
DCMS
Commission Costs
The NHM Trading Company LTD
Cultural Consultancy
Key Travel
27/10/2016
50469265
171 5690 00
673.85
DCMS
Travel-Air Passenger Transport
From :
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
Tring Retail
Deluxebase Ltd
13/10/2016
00056503
647 6600 22
1,441.17
DCMS
Stock
Natural History Museum
Development
Institute of Fundraising
13/10/2016
53/RAC326
547 8930 96
3,988.52
DCMS
Subscriptions & Corp. Mbrships
Natural History Museum
Finance
Hays Accountancy Personnel
27/10/2016
1006856453
773 6958 71
837.72
DCMS
Agency Staff
Natural History Museum
Finance
Hays Accountancy Personnel
27/10/2016
1006856452
773 6958 71
674.83
DCMS
Agency Staff
Natural History Museum
Finance
Hays Accountancy Personnel
27/10/2016
1006874269
773 6958 71
787.69
DCMS
Agency Staff
Natural History Museum
Finance
Hays Accountancy Personnel
27/10/2016
1006893820
773 6958 71
837.70
DCMS
Agency Staff
Natural History Museum
Finance
Hays Accountancy Personnel
27/10/2016
1006874598
773 6958 71
837.70
DCMS
Agency Staff
Natural History Museum
Finance
Hays Accountancy Personnel
27/10/2016
1006904519
773 6958 71
1,176.00
DCMS
Agency Staff
Natural History Museum
Finance
Hays Accountancy Personnel
27/10/2016
1006892037
773 6958 71
1,470.00
DCMS
Agency Staff
Natural History Museum
Risk & Assurance
Marks Sattin (UK) Limited
27/10/2016
194125
892 2071 22
555.80
DCMS
Agency Staff
Natural History Museum
Marketing
AKA Promotions Ltd
27/10/2016
L1 211047
696 8691 51
850.00
DCMS
Advertising
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
LS Collections
New Alchemy
27/10/2016
4204
575.00
DCMS
Science Outsourced Services
Natural History Museum
Marketing
Witherbys Ltd
27/10/2016
039896
100 1371 91
1,245.00
DCMS
Prof. Printing & Promo. Matl.
Natural History Museum
Development
Dell Computer Corporation Ltd
27/10/2016
7402316859
635 8235 28
675.00
DCMS
IT Costs
Natural History Museum
Development
Dell Computer Corporation Ltd
27/10/2016
7402316859
635 8235 28
101.99
DCMS
IT Costs
Natural History Museum
Technology Solutions
Ricoh UK Ltd
27/10/2016
100575837
524 1612 80
1,731.61
DCMS
Equip. Lease Costs
The NHM Trading Company LTD
Touring Robotics
Charles Kendall Packing
27/10/2016
17002067
563 2027 64
2,813.26
DCMS
Rechargeable Costs
The NHM Trading Company LTD
Touring Robotics
Charles Kendall Packing
27/10/2016
17002069
563 2027 64
2,068.63
DCMS
Rechargeable Costs
The NHM Trading Company LTD
Touring Robotics
Charles Kendall Packing
27/10/2016
17002069
563 2027 64
1,845.00
DCMS
Rechargeable Costs
The NHM Trading Company LTD
Touring Robotics
Charles Kendall Packing
27/10/2016
17002069
563 2027 64
21,901.89
DCMS
Rechargeable Costs
Natural History Museum
ES Economic & Environmental Earth Sciences
Imperial College
27/10/2016
52059069
649 9266 78
1,211.67
DCMS
Science Outsourced Services
Natural History Museum
Estates Buildings Projects
Titan Containers A/S
27/10/2016
1639434
941 1109 61
540.00
DCMS
Exceptional Costs
Natural History Museum
Visitor Events
London Hair & Beauty Ltd
27/10/2016
3188
115 5766 11
570.00
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Benugo Limited
27/10/2016
I8081010006999
765 3217 26
3,369.80
DCMS
Special Event Costs
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Visitor Events
Benugo Limited
13/10/2016
I8081010006957
765 3217 26
593.18
DCMS
Special Event Costs
The NHM Trading Company LTD
Retail (South Ken)
Gisela Graham Ltd
27/10/2016
SINV282007/0
381 8617 27
898.80
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Prodigi UK Limited
13/10/2016
131903
183 5130 19
1,470.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Prodigi UK Limited
13/10/2016
131903
183 5130 19
19.95
DCMS
Postage & Couriers
The NHM Trading Company LTD
Retail (South Ken)
Cornflower Limited
27/10/2016
43850
678 7954 52
2,016.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
L Deeley Enterprises
27/10/2016
NHM 0184
765.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
L Deeley Enterprises
27/10/2016
NHM 0184
41.60
DCMS
Postage & Couriers
The NHM Trading Company LTD
Retail (South Ken)
Deluxebase Ltd
13/10/2016
00056575
647 6600 22
3,795.64
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Rockshop Wholesale
27/10/2016
57847
183 6395 33
2,026.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Paul Lamond Games
13/10/2016
INV83553
645 4857 07
549.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Deluxebase Ltd
13/10/2016
00056636
647 6600 22
1,554.32
DCMS
Stock
Natural History Museum
Museum Programme Group (PEG)
SVM Consulting Engineers
27/10/2016
L5368
596 2541 11
1,200.00
DCMS
Assets under Construction
Natural History Museum
Technology Solutions
Certes Computing Ltd
27/10/2016
SIN026986
377 3451 31
1,050.00
DCMS
Agency Staff
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
CRL Molecular Biology Labs
Leica Microsystems (UK) Ltd
27/10/2016
96532451
290 7562 38
541.00
DCMS
Equip. Maint. & Repairs (non IT)
Natural History Museum
CRL Molecular Biology Labs
Leica Microsystems (UK) Ltd
27/10/2016
96532451
290 7562 38
541.00
DCMS
Equip. Maint. & Repairs (non IT)
Natural History Museum
CRL Molecular Biology Labs
Leica Microsystems (UK) Ltd
27/10/2016
96532451
290 7562 38
300.00
DCMS
Equip. Maint. & Repairs (non IT)
Natural History Museum
CRL Molecular Biology Labs
Leica Microsystems (UK) Ltd
27/10/2016
96532451
290 7562 38
324.00
DCMS
Equip. Maint. & Repairs (non IT)
The NHM Trading Company LTD
Retail (South Ken)
Macmillan Publishers International Ltd
13/10/2016
92188029
220 9036 43
1,373.75
DCMS
Stock
Natural History Museum
ES Invertebrates & Plants Division
Wex Photographic Ltd
13/10/2016
51417613
231 9471 12
391.00
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
ES Invertebrates & Plants Division
Wex Photographic Ltd
13/10/2016
51417613
231 9471 12
668.00
DCMS
Equip. Purch. & Hire (non IT / office)
The NHM Trading Company LTD
Retail (South Ken)
Sgt Smith Ltd
27/10/2016
1038
976 0112 26
639.73
DCMS
Cost of Goods Sold
The NHM Trading Company LTD
Retail (South Ken)
Beckford Silk Limited
27/10/2016
1268
862.50
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Beckford Silk Limited
27/10/2016
1268
15.00
DCMS
Postage & Couriers
The NHM Trading Company LTD
Retail (South Ken)
NoaPoa Asia Pte Ltd
19/10/2016
2016.0916
910.44
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Geoworld EU
19/10/2016
B6100162
02540280308
1,336.43
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Cavallini Papers & Co Inc
19/10/2016
227264
609.56
DCMS
Stock
Natural History Museum
Museum Programme Group (PEG)
Buro Happold Limited
27/10/2016
7059339
639 4230 34
938.00
DCMS
Prof. Fees excl Legal & Audit
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Museum Programme Group (PEG)
Buro Happold Limited
27/10/2016
7059340
639 4230 34
2,350.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Visitor Events
Benugo Limited
27/10/2016
I8081010006978
765 3217 26
3,347.20
DCMS
Special Event Costs
Natural History Museum
Estates Buildings Projects
Alan Baxter Ltd
27/10/2016
43/619
200 9259 37
2,995.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
HR Organisational Development
SA Associates
27/10/2016
6979
664 9314 12
795.00
DCMS
Training
Natural History Museum
HR Organisational Development
ChangeQuestLimited
27/10/2016
0763
733 7636 19
1,400.00
DCMS
Training
Natural History Museum
Development
Alexandra McCartney t/a Pelican Research
27/10/2016
1053
2,700.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Museum Programme Group (PEG)
C&S Relocations Ltd
27/10/2016
00599
843 7933 95
2,495.00
DCMS
Decant / Moving / Recant costs
Natural History Museum
Estates Buildings Projects
Elcomponent Ltd
27/10/2016
0000039442
424 8123 68
17,424.49
DCMS
Site Preparation / Demolition
Natural History Museum
Estates Buildings Projects
Elcomponent Ltd
27/10/2016
0000039443
424 8123 68
7,468.93
DCMS
Site Preparation / Demolition
Natural History Museum
Estates Buildings Projects
Elcomponent Ltd
27/10/2016
0000039443
424 8123 68
1,465.07
DCMS
Site Preparation / Demolition
Natural History Museum
Estates Buildings Projects
Elcomponent Ltd
27/10/2016
0000039441
424 8123 68
1,405.00
DCMS
Building & Engineering PPM
Natural History Museum
Estates Buildings Projects
Elcomponent Ltd
27/10/2016
0000039441
424 8123 68
560.00
DCMS
Building & Engineering PPM
Natural History Museum
Estates Buildings Projects
Elcomponent Ltd
27/10/2016
0000039441
424 8123 68
358.76
DCMS
Building & Engineering PPM
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
CRL Molecular Biology Labs
Appleton Woods Ltd
27/10/2016
62767
110 1675 22
900.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Technology Solutions
Eurobase People
27/10/2016
EP38929
570 4349 43
699.00
DCMS
Agency Staff
Natural History Museum
L&A Collections Operations
BioOne
27/10/2016
3009480Y
978 0301 11
2,083.88
DCMS
Library Serials
Natural History Museum
Museum Programme Group (PEG)
Dannatt Johnson Architects
27/10/2016
2186/549/9
3,309.38
DCMS
Assets under Construction
Natural History Museum
Broadcast
Shuffle Films Ltd
27/10/2016
12
900.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Marketing
Dotmailer Ltd
13/10/2016
DM1026392
945 6513 05
25.00
DCMS
IT Costs
Natural History Museum
Marketing
Dotmailer Ltd
13/10/2016
DM1026392
945 6513 05
500.00
DCMS
IT Costs
Natural History Museum
Marketing
Dotmailer Ltd
13/10/2016
DM1026392
945 6513 05
499.00
DCMS
IT Costs
The NHM Trading Company LTD
Retail (South Ken)
Wild Republic Europe (Denmark) ApS
27/10/2016
SI322679
20.12.40.83
4,195.56
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Littlehampton Book Services Ltd
27/10/2016
59980435
205 5053 05
123.55
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Littlehampton Book Services Ltd
27/10/2016
59980435
205 5053 05
1,303.11
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Littlehampton Book Services Ltd
27/10/2016
60002352
205 5053 05
1,026.96
DCMS
Stock
The NHM Trading Company LTD
Touring Robotics
Norbert Haering
19/10/2016
NHI233
15609709 5
3,280.00
DCMS
Freelancers / Self Empld cont
The NHM Trading Company LTD
Touring Robotics
Norbert Haering
19/10/2016
NHI233
15609709 5
193.00
DCMS
Travel-Mileage
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
Touring Robotics
Norbert Haering
19/10/2016
NHI233
15609709 5
170.51
DCMS
Rechargeable Costs
The NHM Trading Company LTD
Touring Robotics
Norbert Haering
19/10/2016
NHI233
15609709 5
167.05
DCMS
Travel Other
The NHM Trading Company LTD
Retail (South Ken)
Neat PR
27/10/2016
1559
110 0129 96
2,283.00
DCMS
Prof. Fees excl Legal & Audit
The NHM Trading Company LTD
Retail (South Ken)
Neat PR
27/10/2016
1559
110 0129 96
20.00
DCMS
Postage & Couriers
The NHM Trading Company LTD
Retail (South Ken)
Wymount
27/10/2016
1210
885 8551 64
1,100.00
DCMS
Freelancers / Self Empld cont
The NHM Trading Company LTD
Picture Library (Image Resources)
Spring Personnel
27/10/2016
5382963
232 3479 75
623.70
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Spring Personnel
27/10/2016
5384248
232 3479 75
5,052.20
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Spring Personnel
27/10/2016
5384248
232 3479 75
493.19
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Spring Personnel
27/10/2016
5384248
232 3479 75
2,380.27
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Spring Personnel
27/10/2016
5384248
232 3479 75
193.80
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Adecco UK Ltd.
27/10/2016
27600115
232 3479 75
559.30
DCMS
Agency Staff
The NHM Trading Company LTD
Retail (South Ken)
Cybertill Ltd
27/10/2016
22883
786 6539 66
1,730.54
DCMS
Equip. Maint. & Repairs (non IT)
The NHM Trading Company LTD
Retail (South Ken)
DPD UK
27/10/2016
12217717
754 5322 32
918.53
DCMS
Postage & Couriers
The NHM Trading Company LTD
Retail (South Ken)
DPD UK
27/10/2016
12217717
754 5322 32
118.43
DCMS
Postage & Couriers
Natural History Museum
Technical Production Special Effects
Onecall
27/10/2016
5945516
169 6803 22
502.43
DCMS
Equip. Purch. & Hire (non IT / office)
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
LS Invertebrates Division
Alphabet (GB) Ltd
27/10/2016
80080132
584 4519 13
579.58
DCMS
Travel Other
Natural History Museum
Estates Management
Alphabet (GB) Ltd
27/10/2016
80094012
584 4519 13
515.75
DCMS
Travel Other
Natural History Museum
ES Department Mgmt Team
Alphabet (GB) Ltd
27/10/2016
80094013
584 4519 13
551.83
DCMS
Travel Other
Natural History Museum
Estates Management
Alphabet (GB) Ltd
27/10/2016
80096021
584 4519 13
4,482.67
DCMS
Vehicle Leasing Costs
Natural History Museum
Marketing
Benugo Limited
27/10/2016
I8081010006946
765 3217 26
869.50
DCMS
Special Event Costs
Natural History Museum
Museum Programme Group (PEG)
Drinkall Dean
27/10/2016
299/INV 227
133 6758 03
5,000.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Digital Content Online
Ensemble Systems Inc
27/10/2016
26094452
979 4283 58
2,975.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
LS Collections
Natura Consulting Ltd
27/10/2016
2016-030
978.78
DCMS
Science Outsourced Services
Natural History Museum
Estates Buildings Projects
ME Construction Limited
27/10/2016
6/16090030
912 2967 25
50,133.50
DCMS
Assets under Construction
Natural History Museum
LS Parasites & Vectors Division
KE Software (UK) Ltd/Axiell ALM Ltd
27/10/2016
804286
757 8581 72
4,996.00
DCMS
IT Costs
Natural History Museum
Technology Solutions
Spring Technology
27/10/2016
BA8979/00
232 3479 75
1,062.00
DCMS
Agency Staff
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Health & Safety Services
Imperial College Healthcare NHS Trust
27/10/2016
H0137366
2,640.76
DCMS
HR Outsourced Services Contracts
Natural History Museum
Museum Programme Group (PEG)
Pacific Security Systems Ltd
27/10/2016
03/25089
836 8618 87
840.00
DCMS
Site Preparation / Demolition
Natural History Museum
Estates Buildings Projects
Pacific Security Systems Ltd
27/10/2016
03/25079
836 8618 87
19,294.00
DCMS
Assets under Construction
Natural History Museum
Publishing
Witherbys Ltd
27/10/2016
040032
100 1371 91
2,250.00
DCMS
Work In Progress
Natural History Museum
L&A Collections Operations
Sonja Schwoll
27/10/2016
890
700.00
DCMS
Freelancers / Self Empld cont
The NHM Trading Company LTD
Retail (South Ken)
Paypoint.net Limited
27/10/2016
CB828472NATURA04
680 1343 55
515.70
DCMS
Bank Charges
The NHM Trading Company LTD
WPoY Competition
Tetsuo Mukai t/a Study O Portable
27/10/2016
S0161001
1,643.74
DCMS
Exceptional Costs
The NHM Trading Company LTD
Retail (South Ken)
Harper Collins Publishers
27/10/2016
102786681
259 6397 06
764.12
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Harper Collins Publishers
27/10/2016
102766736
259 6397 06
1,700.35
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Harper Collins Publishers
27/10/2016
102766736
259 6397 06
131.18
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Harper Collins Publishers
27/10/2016
102757201
259 6397 06
532.48
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Grantham Book Services (TBS Ltd)
27/10/2016
KX5590IW
102 8389 80
1,144.23
DCMS
Stock
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
Retail (South Ken)
Grantham Book Services (TBS Ltd)
27/10/2016
KY1193IW
102 8389 80
1,137.31
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Penguin Books Ltd
27/10/2016
3913170X
102 8389 80
724.23
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Tate Enterprises Ltd
27/10/2016
404563
674 9453 88
549.45
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Grantham Book Services (TBS Ltd)
27/10/2016
KZ2677IW
102 8389 80
1,641.20
DCMS
Stock
Natural History Museum
Visitor Events
Wilson James Limited
27/10/2016
90032782
546 1539 38
640.39
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Wilson James Limited
27/10/2016
90033386
546 1539 38
1,713.46
DCMS
Special Event Costs
Natural History Museum
Technology Solutions
Spring Technology
27/10/2016
BB5304/00
232 3479 75
1,416.00
DCMS
Agency Staff
Natural History Museum
LS Insects Division
Wex Photographic Ltd
27/10/2016
51453848
231 9471 12
2,399.00
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
LS Insects Division
Wex Photographic Ltd
27/10/2016
51453848
231 9471 12
150.00
DCMS
Equip. Purch. & Hire (non IT / office)
Natural History Museum
Estates Management
Britannic Technologies
27/10/2016
0000181874
529 1677 22
742.30
DCMS
IT Costs
Natural History Museum
Publishing
Frances Lincoln Ltd
27/10/2016
18781
237 5657 37
1,392.41
DCMS
Commission Costs
Natural History Museum
Programme Group (Temporary Exhibitions)
Alloway Timber (Southern) Ltd
27/10/2016
1/2317546
215 9597 35
664.61
DCMS
Consumables / Sundry (non Stat)
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
SS CHP Boilerhouse
Vital Energi
27/10/2016
SI-18039
764 5182 15
1,056.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
SS CHP Boilerhouse
Vital Energi
26/10/2016
SI-18139
764 5182 15
67,626.76
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Visitor Events
Wilson James Limited
27/10/2016
90033836
546 1539 38
1,292.70
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Wilson James Limited
27/10/2016
90034576
546 1539 38
807.78
DCMS
Special Event Costs
Natural History Museum
Visitor Events
Wilson James Limited
27/10/2016
90033383
546 1539 38
630.48
DCMS
Special Event Costs
Natural History Museum
Estates Utilities
Thames Water Utilities Ltd
27/10/2016
AUG 62050-34453
537 4569 15
18,824.29
DCMS
Water/Sewage
Natural History Museum
Estates Utilities
Thames Water Utilities Ltd
27/10/2016
SEPT 62050-34453
537 4569 15
18,457.09
DCMS
Water/Sewage
Natural History Museum
Media Technicians
Jacobs Massey
27/10/2016
20389
820 4218 69
319.80
DCMS
Agency Staff
Natural History Museum
Media Technicians
Jacobs Massey
27/10/2016
20389
820 4218 69
319.80
DCMS
Agency Staff
Natural History Museum
Media Technicians
Jacobs Massey
27/10/2016
20317
820 4218 69
282.90
DCMS
Agency Staff
Natural History Museum
Media Technicians
Jacobs Massey
27/10/2016
20317
820 4218 69
319.80
DCMS
Agency Staff
Natural History Museum
Media Technicians
Jacobs Massey
27/10/2016
20317
820 4218 69
319.80
DCMS
Agency Staff
Natural History Museum
Exhibitions, Learning & Outreach Management
Key Travel
27/10/2016
50473995
362 3348 61
642.25
DCMS
Travel-Air Passenger Transport
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Exhibitions, Learning & Outreach Management
Key Travel
27/10/2016
50473995
362 3348 61
53.80
DCMS
Travel-Air Passenger Transport
The NHM Trading Company LTD
Retail (South Ken)
Harper Collins Publishers
27/10/2016
102730137
259 6397 06
849.00
DCMS
Stock
Natural History Museum
Publishing
Nielsen Book Services Ltd
27/10/2016
9016085887
232 1805 01
652.00
DCMS
Subscriptions & Corp. Mbrships
Natural History Museum
HR Organisational Development
DV Talent Ltd
27/10/2016
15044
810 5501 76
1,095.00
DCMS
Training
Natural History Museum
Programme Group (Temporary Exhibitions)
Focus Consultants 2010 LLP
27/10/2016
16A/942
996 7534 48
606.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
L&A Collections Operations
Taylor & Francis Ltd
27/10/2016
947284220
365 4626 36
2,720.00
DCMS
Library Serials
Natural History Museum
L&A Collections Operations
Taylor & Francis Ltd
27/10/2016
947284220
365 4626 36
2,669.00
DCMS
Library Serials
Natural History Museum
Programme Group (Temporary Exhibitions)
Constantine Ltd
27/10/2016
1160683
1,280.00
DCMS
Freight Transport
Natural History Museum
L&A Collections Operations
Pro Quest LLC
27/10/2016
70419819
4,710.00
DCMS
Library Serials
Natural History Museum
Finance
Sunquest Limited
27/10/2016
20140153
5,600.00
DCMS
Prof. Fees excl Legal & Audit
The NHM Trading Company LTD
Retail (South Ken)
Trademark 25 Ltd
27/10/2016
TM25/333
205 2225 59
460.67
DCMS
Cost of Goods Sold
The NHM Trading Company LTD
Retail (South Ken)
Trademark 25 Ltd
27/10/2016
TM25/333
205 2225 59
125.00
DCMS
Rechargeable Costs
The NHM Trading Company LTD
Retail (South Ken)
DPD UK
27/10/2016
12229895
754 5322 32
941.58
DCMS
Postage & Couriers
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
Retail (South Ken)
DPD UK
27/10/2016
12229895
754 5322 32
268.90
DCMS
Postage & Couriers
The NHM Trading Company LTD
Retail (South Ken)
Canny Minds Ltd (T/A Canny Store)
27/10/2016
GI16-0007
943 8702 04
6,050.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Grantham Book Services (TBS Ltd)
27/10/2016
KY7943IW
102 8389 80
533.08
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Cornflower Limited
27/10/2016
43879
678 7954 52
1,694.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Customworks
27/10/2016
49791
593 2397 10
2,635.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Colour Five Ltd
27/10/2016
00108731
714 7831 29
700.00
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Kingfisher Leisurewear Ltd
27/10/2016
0000135655
655 5300 44
844.90
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Harper Collins Publishers
27/10/2016
102774404
259 6397 06
1,014.03
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Bookpoint
27/10/2016
4670044I
205 5053 05
831.46
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Wild Republic Europe (Denmark) ApS
27/10/2016
SI322995
20.12.40.83
2,549.62
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
Littlehampton Book Services Ltd
27/10/2016
6018843X
205 5053 05
1,099.60
DCMS
Stock
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
Retail (South Ken)
British Fossils
27/10/2016
SIN026173
423 8505 60
2,162.24
DCMS
Stock
The NHM Trading Company LTD
Retail (South Ken)
The Source Ltd
27/10/2016
SI-120380
127 7341 14
960.00
DCMS
Stock
The NHM Trading Company LTD
Venue Hire (South Ken)
Cover it Up Ltd
27/10/2016
41310
751 7479 07
2,855.00
DCMS
Rechargeable Costs
The NHM Trading Company LTD
Venue Hire (South Ken)
Cover it Up Ltd
27/10/2016
41717
751 7479 07
2,050.00
DCMS
Rechargeable Costs
Natural History Museum
Finance
Hays Accountancy Personnel
27/10/2016
1006923115
773 6958 71
1,470.00
DCMS
Agency Staff
Natural History Museum
Finance
Hays Accountancy Personnel
27/10/2016
1006914854
773 6958 71
837.70
DCMS
Agency Staff
Natural History Museum
Technology Solutions
Virgin Media
27/10/2016
901248-107
591 8190 14
15,001.63
DCMS
IT Costs
Natural History Museum
NHM Governance & Admin
HM Revenue & Customs
25/10/2016
XL006887047053
888 8481 41
6,537.78
DCMS
Other Taxes / Import Duties
Natural History Museum
L&A Researcher Services & Digital Delivery
Ex Libris (UK) Ltd
25/10/2016
INVUK01137
50,810.00
DCMS
Library Serials
Natural History Museum
Estates Utilities
Southern Electric
27/10/2016
SA 111663833JUNE
553 7696 03
1,046.72
DCMS
Electricity
Natural History Museum
Estates Utilities
Southern Electric
27/10/2016
SA 111663833JUNE
553 7696 03
19,007.13
DCMS
Electricity
Natural History Museum
Media Relations
Spring Personnel
27/10/2016
5384403
232 3479 75
872.60
DCMS
Agency Staff
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Media Relations
Spring Personnel
27/10/2016
5384028
232 3479 75
571.01
DCMS
Agency Staff
Natural History Museum
Technology Solutions - Telecoms (NHM) Vodafone Limited
27/10/2016
JO38360
569 9532 77
1,770.00
DCMS
Telecoms Direct Costs
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612028
284.40
DCMS
Training
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612028
154.40
DCMS
Training
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612028
49.20
DCMS
Training
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612028
569.00
DCMS
Training
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612028
154.35
DCMS
Training
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612028
1,140.00
DCMS
Training
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612028
3,085.20
DCMS
Hospitality
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612028
90.00
DCMS
Training
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612028
44.50
DCMS
Training
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612028
75.00
DCMS
Training
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612028
478.80
DCMS
Training
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612028
30.50
DCMS
Training
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612028
570.00
DCMS
Training
Natural History Museum
HR Organisational Development
Barclays HMG Procurement Card
19/10/2016
EXP-CA00041612028
63.00
DCMS
Training
Natural History Museum
Estates Utilities
Southern Electric
27/10/2016
701431584/0075
553 7696 03
9,580.36
DCMS
Electricity
Natural History Museum
Programme Group (Temporary Exhibitions)
Morris Leslie Plant Hire Ltd
27/10/2016
1000111917
779 4510 89
2,484.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
Programme Group (Temporary Exhibitions)
Morris Leslie Plant Hire Ltd
27/10/2016
1000111917
779 4510 89
500.00
DCMS
Postage & Couriers
Natural History Museum
Marketing
Morris Hargreaves McIntyre
27/10/2016
101287
696 3813 88
1,464.50
DCMS
Prof. Fees excl Legal & Audit
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
Estates Utilities
Southern Electric
27/10/2016
41430504/0073
553 7696 03
3,552.97
DCMS
Electricity
Natural History Museum
Marketing
Morris Hargreaves McIntyre
27/10/2016
101154
696 3813 88
550.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
SS HV Ringmain
Southern Electric
27/10/2016
981457605/0064
553 7696 03
26,476.02
DCMS
Electricity
Natural History Museum
PEG Directorate
Morris Hargreaves McIntyre
27/10/2016
101259
696 3813 88
9,420.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
SS HV Ringmain
Southern Electric
27/10/2016
91431762/0071
553 7696 03
7,263.01
DCMS
Electricity
Natural History Museum
SS HV Ringmain
Southern Electric
27/10/2016
251430940/0071
553 7696 03
43,011.59
DCMS
Electricity
Natural History Museum
SS HV Ringmain
Southern Electric
27/10/2016
201616442/0029
553 7696 03
44,307.90
DCMS
Electricity
Natural History Museum
LS Parasites & Vectors Division
Millipore (UK) Ltd
27/10/2016
24687597
769 7393 59
45.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
LS Parasites & Vectors Division
Millipore (UK) Ltd
27/10/2016
24687597
769 7393 59
1,066.00
DCMS
Consumables / Sundry (non Stat)
Natural History Museum
PEG Resources & Planning
G4S Cash Solutions (UK) Ltd
27/10/2016
01988136
238 5602 56
572.96
DCMS
Bank Charges
Natural History Museum
Tring Management & Admin.
G4S Cash Solutions (UK) Ltd
27/10/2016
01988136
238 5602 56
240.60
DCMS
Bank Charges
Natural History Museum
Technology Solutions
Eurobase People
27/10/2016
EP38965
570 4349 43
699.00
DCMS
Agency Staff
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
WPoY Competition
Simon Stafford
27/10/2016
WMWPY002
1,250.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Simon Stafford
27/10/2016
WMWPY002
75.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Gideon Knight
27/10/2016
WMWPY005
75.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Gideon Knight
27/10/2016
WMWPY005
375.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Gideon Knight
27/10/2016
WMWPY005
1,000.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Gordon Illg
28/10/2016
WMWPY016
75.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Gordon Illg
28/10/2016
WMWPY016
475.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Ganesh H. Shankar
28/10/2016
WMWPY006
1,250.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Ganesh H. Shankar
28/10/2016
WMWPY006
75.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Ganesh H. Shankar
28/10/2016
WMWPY006
225.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Nayan Khanolkar
28/10/2016
WMWPY013
1,250.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Nayan Khanolkar
28/10/2016
WMWPY013
75.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Nayan Khanolkar
28/10/2016
WMWPY013
75.00
DCMS
Commission Costs
Natural History Museum
Development
Ethical Investment Research Services Ltd
27/10/2016
4753
234 1115 56
856.00
DCMS
IT Costs
Natural History Museum
HR Organisational Development
Still HR
27/10/2016
768
925 3265 27
895.00
DCMS
Training
Natural History Museum
Health & Safety Services
IonActive Consulting
27/10/2016
IAC 2159
1,200.00
DCMS
Prof. Fees excl Legal & Audit
31-Oct-2016
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
Commerce Mgmt & Business Strategy
Key Travel
27/10/2016
50471806
171 5690 00
2,551.85
DCMS
Travel-Air Passenger Transport
Natural History Museum
Directorate
Urban Productions Ltd T/A Urban Caprice
27/10/2016
8231
731 2191 68
5,757.09
DCMS
Special Event Costs
Natural History Museum
Health & Safety Services
IonActive Consulting
27/10/2016
IAC 2109
1,200.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Health & Safety Services
IonActive Consulting
27/10/2016
IAC 2201
1,200.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
Development
Act 4 Ltd
27/10/2016
1918
739 7216 05
6,000.00
DCMS
Prof. Fees excl Legal & Audit
The NHM Trading Company LTD
Retail (South Ken)
Prodigi UK Limited
27/10/2016
132481
183 5130 19
1,522.50
DCMS
Cost of Goods Sold
The NHM Trading Company LTD
Retail (South Ken)
Prodigi UK Limited
27/10/2016
132481
183 5130 19
557.50
DCMS
Postage & Couriers
Natural History Museum
Finance
Farrer &Co
27/10/2016
10152825
232 3892 67
2,290.26
DCMS
Legal Fees
The NHM Trading Company LTD
Retail (South Ken)
Land Securities Properties Ltd
27/10/2016
4066511
2,860.00
DCMS
Estates Prop Rent & Service Chgs
Natural History Museum
Publishing
Lichtenstein The Princely Collections
31/10/2016
00023
U66432238
3,475.54
DCMS
Work In Progress
Natural History Museum
Membership
Karolyn Shindler
27/10/2016
29/01
600.00
DCMS
Prof. Fees excl Legal & Audit
Natural History Museum
LS Algae, Fungi and Plants Division
The University of Sheffield
27/10/2016
1800145658
20.40
DCMS
Science Outsourced Services
Natural History Museum
LS Algae, Fungi and Plants Division
The University of Sheffield
27/10/2016
1800145658
712.20
DCMS
Science Outsourced Services
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
Natural History Museum
LS Algae, Fungi and Plants Division
The University of Sheffield
27/10/2016
1800145658
245.13
DCMS
Science Outsourced Services
Natural History Museum
LS Algae, Fungi and Plants Division
The University of Sheffield
27/10/2016
1800145658
1,702.14
DCMS
Science Outsourced Services
Natural History Museum
Estates Buildings Ops
Emcor Facility Services Ltd
24/10/2016
00431456RI
188 4140 46
133,333.33
DCMS
Estates Outsourced Services
Natural History Museum
Estates Buildings Projects
Deloitte LLP
27/10/2016
1111374790
809 7077 06
3,484.80
DCMS
Assets under Construction
The NHM Trading Company LTD
ES Consultancy
Nicola Mondillo
27/10/2016
CA00-947-51
31.10
DCMS
Travel-Bus & Rail Transport
The NHM Trading Company LTD
ES Consultancy
Nicola Mondillo
27/10/2016
CA00-947-51
294.00
DCMS
Accommodation
The NHM Trading Company LTD
ES Consultancy
Nicola Mondillo
27/10/2016
CA00-947-51
320.21
DCMS
Travel-Air Passenger Transport
Natural History Museum
Marketing
AKA Promotions Ltd
31/10/2016
L1 210562
696 8691 51
12,399.89
DCMS
Advertising
The NHM Trading Company LTD
WPoY Competition
Audun Rikardsen
28/10/2016
ABWPY003654
225.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Audun Rikardsen
28/10/2016
ABWPY003654
500.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Dhyey Shah
28/10/2016
ABWPY003646
75.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Dhyey Shah
28/10/2016
ABWPY003646
650.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Gunther Riehle
28/10/2016
ABWPY003650
225.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Gunther Riehle
28/10/2016
ABWPY003650
925.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Leon Petrinos
28/10/2016
ABWPY003648
75.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Leon Petrinos
28/10/2016
ABWPY003648
450.00
DCMS
Commission Costs
31-Oct-2016
To :
Department Family
Amount
Entity
Date
Expense Type
Expense Area
Supplier
Transaction Number
VAT Registration Number
The NHM Trading Company LTD
WPoY Competition
UNTERTHINER STEFANO
28/10/2016
WMWPY011
1,250.00
DCMS
Commission Costs
The NHM Trading Company LTD
WPoY Competition
Rudi Sebastian
28/10/2016
WMWPY010
11395788 3
1,250.00
DCMS
Commission Costs
The NHM Trading Company LTD
ES Consultancy
Dr Dmitry Konopelko
31/10/2016
CA00-954-62
556.09
DCMS
Science Outsourced Services
| en |
1883-pdf |
##
£20,000 have been considered by the Chief Executive in his capacity as Accounting Officer; and the requests for consultancy below £20,000 have been considered by the Director of Corporate Operations.
##
| Summary of application |
|-------------------------------------------|
| date |
| Ref: No. & |
| Directorate |
| Approved |
| 10/12/2015 |
| 62C(2) RME Undertaking Impact |
| Assessments of CMA's options |
| around increasing on-rail |
| competition in the rail market, |
| extension in time only |
| (extension to ref 62C) |
| Approved |
| 10/12/2015 |
| 63C(2) RME Post hearing revenue forecasts |
| and cost benefit analysis for |
| track access on the East Coast |
| Main Line, extension in time |
| only (extension to ref: 63C) |
| Approved |
| 10/12/2015 |
| 68C(2) RME Model audit of East Coast |
| access analysis, extension in |
| time only (extension to ref |
| 68C) |
##
| en |
4037-pdf |
## Item No Planning Committee 3 March 2004
Report of Head of Planning,
Transportation and Regeneration
Author/Contact Officer:
Gareth Jones
Principal Planning Officer
Tel: 01604 838916
## Planning Application N/2003/1660 Erection Of 106No Two And Three Storey Dwellings With Associated Garages, Roads, Sewers And Ancillary Works Former Ventolite Site, Kettering Road North, Boothville
Recommendation That the application be **REFUSED** for the following reasons:
(1) The proposal would result in the loss of a well located, large and significant
part of an Existing Business Area to a non-business use in conflict with the Council's business land and housing land strategies contrary to Policies B2 B14 and B15 of the Northampton Local Plan.
(2) The applicant has failed to demonstrate that the development could
incorporate adequate ventilation and attenuation of noise from nearby business uses and road traffic to ensure an adequate standard of residential
environment for the future residents contrary to Policies E21, H7 and H13 of
the Northampton Local Plan and the aims and objectives of PPG24 - Planning and Noise.
(3) The applicant has failed to demonstrate that the development would not
increase the risk of flooding to people and property contrary to Policy AR8 of the Northamptonshire County Structure Plan and the aims and objectives of the Council's Supplementary Planning Guidance: Development and Flooding
and PPG25: Development and Flood Risk.
## (4) The Proposed Development, By Reason Of The Current Absence Of Evening And Weekend Public Transport In The Vicinity Of The Site Combined With The Site'S Distance From A Recognised District Or Town Centre, Would Lead To Increased Reliance On The Private Car And Would Not Promote Alternative Forms Of Transport In Conflict With The Northamptonshire Local Transport Plan. The Proposal Is, Therefore, Contrary To Policies Gs3, Gs6, T3 And T6 Of The Northamptonshire County Structure Plan And The Aims And Objectives Of Ppg1, Ppg13 And The Council'S Spg Securing Enhanced Levels Of Public Transport In Association With New Development. (5) The Proposed Development Includes An Insufficient Amount And Quality Of Amenity Space Associated The Proposed Apartments To Ensure An Adequate Standard Of Residential Environment For The Future Occupants Contrary To Policies H7, H14 And L5 Of The Northampton Local Plan.
1.
Background and Proposals 1.1.
The site is located on the northern side of Kettering Road North close to its junction
with Booth Lane North to the east. The southern side of Kettering Road is
predominantly residential in character and a small portion of the eastern boundary abuts residential property. Notwithstanding this, the site is primarily surrounded by
business uses including Kappa packaging to the north, an electricity sub-station to the north-west, and Travis Perkins builders' merchants and Van Vliet flower
wholesalers to the west. 1.2.
Roughly a quarter of the site is in use for the purposes of car repair and recovery,
whilst the remainer is currently vacant. The application site, which measures some
1.66ha in area, and the land to the north and east form part of an Existing Business
Area as identified in the Local Plan. 1.3.
It is proposed to develop the site for residential purposes comprising the following
principle elements:
-
67 two bed apartments in two and three storey blocks;
-
39 two and three bed two and three storey houses;
-
Communal car parking areas for the apartments; and
-
Two cul-de-sacs accessed via new road junction with Kettering Road North. A
private driveway to provide access to three blocks of flats is also proposed from Kettering Road North. 2.
Planning Policies
Development Plan 2.1.
Section 54A of the Town and Country Planning Act 1990 requires an application to
be determined in accordance with the Development Plan unless material considerations indicate otherwise. The current Development Plan comprises the Northamptonshire County Structure Plan and the Northampton Local Plan. 2.2.
The **Northamptonshire County Structure Plan (1996-2016)** was adopted in
March 2001. Relevant policies are:
GS2 - Best use of brownfield land within urban area GS3 - Land use and transportation GS5 - Design
GS6 - Infrastructure, facilities and services
H6 - Housing density
H7 - Housing types and sizes
IC1 - Provision of industrial & commercial development T3 - Transportation requirements
T6 - Provision for the bus
T8 - Walking and cycling T10 - Parking for housing AR8 - Flood protection 2.3.
The **Northampton Local Plan** was adopted in June 1997. Relevant Local Plan
Policies are:
E20 & E21 - New Development E40 - Crime and Vandalism H7, H12, H13, H14, H15, H17, H20 & H32 - Housing
B2 - Land Allocations for Business and Industry
B14 - Development for Non-Business Uses in Business Areas
National Government Guidance 2.4.
The following Government guidance is relevant:
PPG1 - General Policy & Principles
PPG3 - Housing
PPG13 - Transport PPG24 - Planning & Noise PPG25 - Development and Flood Risk
Other Material Considerations 2.5.
The Borough Council Supplementary Planning Guidance (SPG) Securing
Enhanced Levels of Public Transport in Association with new development (adopted Feb 1999) and *Development and Flooding* (adopted Feb 2000) are also relevant, as is the *Northamptonshire Local Transport Plan.* 3.
Representations & Consultations 3.1.
Environmental & Health Manager (NBC) - concern is expressed about the suitability of the site for residential use particularly regarding traffic noise from
Kettering Road North, the two business operating to the western boundary and the
24 hour a day factory to the northern boundary. The applicant should be requested
to demonstrate how a satisfactory internal noise climate can be achieved. Details
of site contamination investigation should also be submitted. 3.2.
Architectural Liaison Officer, Northants Police - comments on detailed aspects
of the development including boundary treatment and the safety / security in the proposed parking courtyards and rear garden access. 3.3.
Environment Agency - objects to the proposal on the basis that no technical
information or flood risk assessment was provided with the application. In the event that the application is approved it has requested the imposition of conditions to prevent pollution of the water environment. 3.4.
Northamptonshire County Council, Historic Environment Team - confirm that
the proposed development will not have a significant impact on known or predicted archaeological features. 3.5.
Letters of objection have been received from the occupants of nos. 6, 11, 18, and
22 Chartwell Avenue and 558 Kettering Road North which raise concerns regarding:
-
Over-development of the site;
-
Traffic, congestion and highway safety;
-
Infrastructure (e.g. drainage capacity);
-
The loss of trees;
-
Three storey buildings fronting Kettering Road North being out of character with
the existing character of the area;
-
Traffic / general additional noise;
-
Comprehensive redevelopment with nearby / neighbouring land; and
-
Loss of privacy and overlooking.
3.6.
Boothville Community Council - wrote to the Council following a meeting at which
local residents raised objections and concerns regarding:
- Access and traffic congestion; - The adequacy and frequency of existing public transportation;
- The types of property proposed (especially the height and proximity of the
building proposed closest to nos. 573 and 575 Kettering Road North);
- Implications for existing schools and medical facilities; and
- The precedent for future development. 3.7.
Cooch Brothers (Northampton) Ltd - as freeholders of the Travis Perkins site and
vacant land to the south they are concerned about a potential residential development on land zoned for industrial use adjacent to business uses. It is requested that any planning permission be subject to a condition requiring the provision of an acoustic fence / screen planting along the boundary between the properties. It is also requested that the proposed development does not make use of the existing access, which serves Cooch Brothers' land. 3.8.
Travis Perkins - have no objection in principle but raise concerns regarding traffic
and nuisance that its use may cause to future residents. 3.9.
Kappa Corrigated UK Ltd - raise no objection in principle to the proposals but
point out that its factory is a 24 hours a day, 7 days a week operation and a certain
amount of noise is generated at all hours of the day and night. With reference to
this, it adds that it does not expect to hear from new residents complaining about
noise. 4.
Observations 4.1.
The site is identified as part of an Existing Business Area in the Local Plan. Local
Plan Policy B2 states that planning permission will be granted for business, general industrial and storage uses in such areas. Policy B14 states that non-business use will only be permitted these areas if they would lead to significant benefit to the local community and would lead to substantial employment opportunities. Officers feel that the proposed development would result in neither the benefits nor the opportunities identified in Policy B14. The proposal is therefore contrary to adopted
Development Plan Policy. 4.2.
The Borough Council is currently in the process of reviewing its Local Plan inline
with the recent changes to the development planning system. Until the review is complete it would be premature to allow alternative use of this established business
area. However, it is should be noted that at this stage of the Local Plan review
process, it is intended that the site and the surrounding business land be retained for business use. It is considered that the area is highly accessible and offers prime frontage accommodation that would be attractive to a range of business uses. It is also close to residential areas offering access to the local labour market. The site presents an opportunity for future business redevelopment. Moreover, the site was not identified in the Council's 2003 Housing Urban Capacity Study. Notwithstanding
the contents of PPG3, for these reasons, officers consider that the site should be retained for business purposes. 4.3.
Council officers met with the applicants on 11 February 2004. Officers advised the
applicants of the above and reminded them that the Assistant Head of Planning
(Development Control) had written to the them on 12 August 2003 advising them of
this in response to a pre-application submission. During this meeting officers also identified a number of other concerns they have over the proposed development regarding matters including noise / residential amenity, flood risk and the objection
raised by the Environment Agency; concerns raised by Council highway engineers
over the proposed layout; public transportation; and the provision of amenity space. 4.4.
Officers advised the applicant of the Council's Environmental Health Manager
concerns regarding the potential affect of noise from the surround business uses and nearby highway traffic on the amenities of the future occupants of the proposed dwellings. Given the nature and proximity of these uses to the site, officers have strong reservations over whether adequate attenuation of noise could be
incorporated into the scheme to ensure an appropriate standard of amenity for future occupants of the proposed dwellings. 4.5.
The Environment Agency (EA) has objected to the proposed development on the
basis that the applicant has not provided any technical information or a flood risk
assessment. It is acknowledged that the applicant may be able to overcome this objection from the EA. However, bearing in mind the other recommended refusal reasons and the precautionary approach promoted in PPG25, it is recommended
that the application be refused on the basis that it has not been demonstrated that the development would not increase the risk of flooding to people and property. 4.6.
Officers have reservations over the proposed site layout. Council highway
engineers have raised a number of detailed concerns regarding the site layout,
which have been brought the applicants attention. Officers have also advised that there is a very significant under-provision of amenity space proposed, in terms of
both quantity and quality. This is particularly important bearing in mind the amount
of apartments proposed and the site's distance from public amenity space. At the time of drafting the report the applicant had not addressed these points. 4.7.
The Northamptonshire Local Transport Plan, the Council's Public Transport SPG,
Development Plan policy and Government Guidance all promote the use of transport other than the private car. The site is presently served by comparatively frequent daytime bus services. However, there are no existing evening (i.e. after 1800 hours) or Sunday bus services. Given the type and size of development proposed, officers consider that the developer's proposals should also include the provision of additional public transport services beyond the existing weekday / daytime services. 4.8.
In the event that planning permission were to be granted for the proposed
development, officers would also expect to see the provision of affordable housing
at a rate of 22% in accordance with the Council's adopted SPG to be secured by legal agreement. The planning statement submitted with the application indicates
the applicants' willingness to enter into such an agreement. 5.
Sustainability Implications 5.1.
As set out in the report. 6.
Background Papers
(Local Government (Access to Information) Act 1985 6.1.
N/2003/1660.
| en |
1033-pdf |
## Annual Assessment Of Highways England'S Performance April 201 - March 2018 Annual Assessment Of Highways England'S Performance April 201 - March 2018
Presented to Parliament pursuant to section 10(8) of the Infrastructure Act 2015 Ordered by the House of Commons to be printed 16 July 2018
© Crown copyright 2018 This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3
Where we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned. This publication is available at www.gov.uk/government/publications Any enquiries regarding this publication should be sent to us at One Kemble Street, London, WC2B 4AN ISBN 978-1-5286-0576-2 CCS0618909730 C
07/18
Printed on paper containing 75% recycled fibre content minimum Printed in the UK by the APS Group on behalf of the Controller of Her Majesty's Stationery Office
## Contents
| 1. Executive Summary | | 7 |
|---------------------------------------------------------------|------------|------|
| Introduction | | 7 |
| Key messages for 2017-18 | | 7 |
| Summary of performance | | 9 |
| 2. Highways England's performance | | 11 |
| Performance in operating the network has remained steady | | 11 |
| It is delivering more improvements, but must manage costs | | 20 |
| Condition of the strategic road network has improved | | 25 |
| It is delivering efficiencies, but more evidence is required | | |
| | | |
| | 29 | |
| Priorities for 2018-19 | | 30 |
| ne | areas | |
| Annex A: Performance against outcome areas | | 32 |
| ork | safer | |
| Outcome: Making the network safer | | 32 |
| isfaction | | |
| Outcome: Improving user satisfaction | | 34 |
| of | traffic | |
| Outcome: Supporting the smooth flow of traffic | | |
| | | |
| | 36 | |
| c | growth | |
| Outcome: Encouraging economic growth | | 39 |
| utcomes | | |
| Outcome: Delivering better environmental outcomes | | 40 |
| ble | users | |
| Outcome: Helping cyclists, walkers and other vulnerable users | | 42 |
| _ | efficiency | |
| Outcome: Achieving real efficiency | | 43 |
| condition | | |
| Outcome: Keeping the network in good condition | | 45 |
| - | rmance | |
| Annex B: Financial and efficiency performance | | 47 |
| delivery | | |
| Annex C: Network investment delivery | | 55 |
| 'ed | data | |
| Annex D: Note on revisions to previously reported data | | 66 |
## 1. Executive Summary Introduction
1.1
The Office of Rail and Road (ORR) independently monitors Highways England's management of the strategic road network - the motorways and main A-roads in England.
1.2
In the road investment strategy (RIS), government has set the outcomes and investments that Highways England is required to deliver over the first road period, from April 2015 to March 2020 (road period 1). In monitoring the performance and efficiency of the company, our objective is to secure better performance and value for money from the strategic road network to benefit road users and the wider public.
1.3
This is our assessment of Highways England's performance in 2017-18. Overall, we have found that the company continues to operate a road network which is safe and serviceable, and has largely met its performance targets. Highways England is improving its management of its major schemes. Its forecast costs for the road period remain above funding, partly reflecting delivery of additional scope and planned over programming. It must continue to take action to manage this position and reconcile it with claimed efficiencies.
## Key Messages For 2017-18
1.
Highways England's performance in operating the network has remained steady in 2017-18.
In the context of increased traffic it has kept the network flowing. Road user safety remains good compared to other road networks, although the challenging target for 2020 is at risk. Highways England is becoming more customer-focused, and has plans for further improvement. Road user satisfaction remains high, but is below target.
1.4
Highways England has demonstrated a strong focus on safety, and in this area the strategic road network in England compares well to other road networks. The company is not yet delivering the reduction in the number of killed or seriously injured required to meet
its challenging target of 40% improvement by 2020. One reason for the reported increase in the number of people killed or seriously injured is a change to how police forces record road casualty data.
1.5
Traffic on the network has grown over the last year. In spite of this, average congestion is broadly stable in this road period and Highways England remains above its targets for smooth flow of traffic - keeping 98.3% of the network open to traffic and clearing 87.9% of incidents within an hour.
1.6
During 2017-18, Highways England has demonstrated its improved customer focus through reviewing road users' experience of unplanned disruption caused by major incidents. It has identified lessons learnt and developed action plans to improve future performance. However, Highways England's user satisfaction is 88.7%, slightly below its target of 90%. It is developing an improvement plan for 2018-19 which must reflect road users' priorities. It is also setting out its customer service strategy, recognising the longer-term ambition of improving customer focus and satisfaction.
1.7
The company has made progress in delivering its environmental targets on biodiversity and noise. It has helped vulnerable users by completing 100 new and upgraded crossings, which is higher than the number completed last year.
2.
Highways England is delivering more improvements on its roads but it must manage costs.
The company has improved its planning
and management of major schemes, and is
delivering the majority of these on time. It
has demonstrated improved management
of its capital portfolio. Its forecast costs for
the road period have reduced, but remain
above its funding, partly reflecting delivery
of additional scope and planned over
programming. It must continue to take action
to manage this position. Investment through
its ring-fenced funds has increased, but is
slower than originally planned.
1.8
Highways England continues to deliver most of its major schemes to schedule and has improved its scheduling of major schemes for the remainder of the road period. It started work on all seven schemes in its 2017-18 delivery plan, and an additional scheme brought forward from 2019-20. It also opened to traffic eight of the nine schemes which were planned in 2017-18.
1.9
The company has strengthened its capital portfolio management capability and, as a result, now has better information about scheme timings, costs and risks. This should support improved planning and delivery in the long-term.
1.10 The majority of major schemes completed
to date have cost more than the original funding assumptions. Highways England now expects to start 85 schemes in the first road period, down from 112 originally planned. The company's forecast total costs for its RIS1 major schemes is now £2.9bn higher in road period 1 and road period 2 than originally assumed. This partly reflects increased scope for some schemes and immature scheme estimates when RIS1 funding was set.
1.11 Highways England forecasts capital costs that
are £438m higher than its funding in the road period. It is taking action to manage costs, but there is risk that some work will need to be deferred to the next road period and / or additional funding used in road period 1 (for example through its ability to bring funds forward from the next road period).
1.12 Highways England has made good progress
to date on its flagship schemes. The A14 Cambridge to Huntington scheme is currently on schedule to meet its planned completion date, and the company has made progress with planning for the A303 Stonehenge tunnel and Lower Thames Crossing.
1.13 Highways England's delivery through its ringfenced funds is slower than planned, although the pace of delivery has picked up in 2017-18. There is particular risk to delivering the intended investment through the air quality fund. We propose that it should now review options for addressing this with government.
## 3. Highways England Is Improving The Condition Of The Strategic Road Network.
Network condition has improved during the year, and is now on target. The company has set out long-term plans for improving the identification, planning and delivery of asset maintenance and renewal works.
1.14 Highways England is moving towards a more
structured approach to managing its assets - including assuring that it is identifying and delivering the right work. It has recognised the concerns we raised previously and has set out plans for improvement which will support better maintenance and renewal of the network in this road period, and beyond.
1.15 Highways England has improved the condition
of its road network during the year and it is meeting its target to have at least 95% of the network in good condition. The timing of the surveys used to collect road condition data mean that these figures do not reflect the impact of the recent winter; this will be reflected in 2018-19 data. We are working with the company to understand what effect this has had on road surfaces, and how it is addressing any resultant impact on network condition.
1.16 The company has spent 24% more on renewals
in 2017-18 than in 2016-17 and delivered more road surface renewals. However, user satisfaction with upkeep has reduced by one percentage point this year, to 89%.
1.17 In 2017-18, Highways England spread its
expenditure on maintenance and renewals slightly more evenly throughout the year than it has done in previous years - but there remain opportunities to deliver more efficiently.
4. Highways England is delivering
efficiencies but more evidence is required that its road period target is on track.
It has reported £486m of cost savings in the road period to date (40% of its target), £226m of which are in 2017-18. This is supported by clear evidence of specific improvements made. The company needs to continue to develop its evidence that reported savings are supported by its capital portfolio delivery and its unit costs.
1.18 Highways England has presented strong
evidence of the actions it has taken to deliver more efficiently and the savings these have realised. It has started to develop improved unit cost information to provide context for its reported efficiency - this needs further work.
period, is summarised in the table below using a red, amber, green (RAG) status.
1.19 Highways England's current capital portfolio
expenditure forecast is £438m higher than its funding, partly reflecting delivery of additional work and planned over programming. This is after agreed changes to the RIS, including from the optimisation process, which have removed scope from road period 1. The company has identified plans to reduce the difference between its expenditure forecast and funding to £274m by the end of the road period. Any remaining difference will need to be managed through use of additional funds in road period 1 or deferral of work into road period 2.
## Summary Of Performance
1.20 We measure Highways England's performance
against the outcomes in the RIS. This sets out eight outcomes areas, each with one or more key performance indicator as well as a number of performance indicators1. Delivery
against each key performance indicator, and our assessment for the remainder of the road
| Outcome | KPI and target |
|-----------------------------------|-------------------|
| RAG | |
| 2016-17 | |
| Making the | |
| network safer | |
| Killed or seriously injured | |
| ~ | |
| Target: 40% reduction by end | |
| of 2020 | |
| 2017 figures delayed | |
| until September 2018. | |
| Killed or seriously injured | |
| increased by 12% in 2016. | |
| Road user satisfaction | Improving user |
| satisfaction | |
| ~ | |
| Target: 90% by March 2017 | |
| 88.7% satisfaction. | |
| Remains below 90% | |
| target. | |
| Network availability | |
| ~ | |
| Target: 97% lane availability | |
| Supporting the | |
| smooth flow of | |
| traffic | |
| | |
| 98.3% availability. | |
| Remains above target, | |
| although slightly down | |
| from 98.4% in 2016-17 | |
| | |
| Incident clearance | |
| ~ | |
| Target: 85% of motorway | |
| incidents cleared within one hour | |
| 87.9% cleared within one | |
| hour. Remains above | |
| target, and improved | |
| from 85.9% last year. | |
| Encouraging | |
| economic | |
| growth | |
| 9.2 seconds delay per | |
| vehicle mile, an increase of | |
| 0.2 seconds from 2016-17. | |
| Average delay (secs per | |
| vehicle mile) | |
| Target: No target set | |
| Delivering | |
| better | |
| environmental | |
| outcomes | |
| Noise important areas | |
| mitigated | |
| ~ | |
| Target: Mitigate at least 1,150 | |
| noise important areas by 2020 | |
| 448 mitigated during the | |
| year, bringing total for | |
| the road period to 651. | |
| Improved delivery during | |
| 2017-18. | |
| Improved biodiversity | |
| ~ | |
| Target: Publish biodiversity | |
| action plan | |
| Management plans | |
| produced for 15 SSSIs, | |
| bringing the total for the | |
| road period to 30. | |
| Number of new and upgraded | |
| crossings | |
| Target: No target set | |
| 28 new and 72 upgraded | |
| crossings delivered in | |
| 2017-18. | |
| Amber | Amber |
| Helping | |
| cyclists, | |
| walkers | |
| and other | |
| vulnerable | |
| users | |
| Achieving real | |
| efficiency | |
| | |
| £226m of efficiencies | |
| reported in 2017-18. | |
| £486m in RIS1 to date, | |
| which is 40% of the target. | |
| Capital expenditure savings | |
| ~ | |
| Target: Savings of at least | |
| £1.212 billion on capital | |
| expenditure by 2019-20 | |
| Progress of work, relative to | |
| delivery plan | |
| Target: No target set | |
| Work started on 8 | |
| schemes (target of 7). 8 | |
| schemes open to traffic | |
| (target of 9). | |
| | |
| Keeping the | |
| network in | |
| good condition | |
| 95.2% requires no | |
| further investigation. | |
| Performance improved | |
| after target missed in | |
| 2016-17. | |
| Pavement condition | |
| ~ | |
| Target: 95% of pavement | |
| requiring no further | |
| investigation for possible | |
| maintenance | |
KEY: Green = Delivery on track/clear plans in place for RP1 **Amber =** Some risk to delivery of target/plans not fully established for RP1 **Red =** High risk to delivery of target/plans not in place for RP1
RAG 2017-18
RAG road period 1
Amber
Amber
Amber
Amber
Amber
Amber
Green
Green
Green
Green
Green
Green
Amber
Amber
Amber
Green
Amber
Amber
Green
Green
Green
Amber
Amber
Green
Amber
Green
Green
Amber
Amber
Amber
Green
## 2.Highways England'S Performance Highways England'S Performance In Operating The Network Has Remained Steady In 2017-18.
In the context of increased traffic it has kept the network flowing. Road user safety remains good compared to other road networks, although the challenging target for 2020 is at risk. Highways England is becoming more customer-focused and has plans for further improvement. Road user satisfaction remains high, but is below target.
## Safety
2.1
One of Highways England's key objectives is to
2.3
One reason for the reported increase in the
improve safety on the strategic road network
number of people killed or seriously injured
for road users and workers. In 2017-18, the
is a change to how police forces record road
company has demonstrated a strong focus in
casualty data. Approximately half of English
this area. However, it is at risk of missing its
police forces adopted a new system (CRASH
key performance indicator target to reduce the
- collision recording and sharing) between
number of people killed or seriously injured on
the end of 2015 and early 20163. Forces that
the network by 40% by 2020, compared to the
adopted the new system reported a 20%
2005-09 average baseline.
increase in killed or seriously injured on the strategic road network in 2016, compared to a 5% increase for those forces that did not.
2.2
The latest available statistics show that 2,005 people were killed or seriously injured on
2.4
More generally, the trend in the number of
the strategic road network in 20162 - a 12%
killed or seriously injured on all roads, prior to
increase on the previous year. This included
the introduction of the new system, had been
231 fatalities, which is 3% higher than in 2015.
broadly flat since 2010. This highlights the challenge of achieving the target by 2020.
Note: number of KSIs are a˜ected by changes to data collection from 2012, with the biggest impact in 2016.
2.5
In 2017-18, Highways England delivered a broad range of activities aimed at improving safety on the network. These included:
- **Safety schemes.** The company has delivered
45 safety schemes through its ring-fenced funds, and completed detailed design on a further 61. These schemes focus on the sections of the network where accident rates are highest, which are typically single carriageway A-roads.
- **Driver education**. Highways England has
worked with organisations including the Driver Vehicle and Licensing Agency (DVLA), Driver and Vehicle Standards Agency (DVSA), road safety partnerships and the police to deliver better driver training and education to higher risk groups such new drivers and motorcyclists.
## Case Study - New Driver Programme
- Highways England's new driver programme aims to improve safety on the network by increasing the
knowledge of new drivers, and driving instructors when driving on motorways or high-speed roads.
- This is a joint initiative with partners, including Department for Transport, DVLA, DVSA and driving
instructor groups.
- It includes online
resources (www. drivinghub.co.uk) for learner drivers, approved driving instructors and parents and guardians covering various elements such as vehicle checks, driving to the conditions, and what to do if you break down on a high-speed road.
- This supports a change in
legislation which allows learner drivers to take lessons on motorways from June 2018.
- **Smart motorways.** The company
has worked with road users, recovery organisations and freight operators to develop improved signage, communications and training for smart motorways.
- **Suicide prevention.** Highways England
launched its suicide prevention strategy in November 2017, which sets out how it will contribute to delivering government's national strategy for suicide prevention.
- **Vehicle roadworthiness.** Highways England
has worked with partners to run information campaigns to encourage drivers to check that their vehicles are roadworthy before starting a journey.
- **Road worker safety.** The company has
strengthened checks to ensure its contractors are appropriately trained for working on the strategic road network, and is developing better systems for reporting workforce incidents.
2.6
Highways England published an update to its 5 year health and safety plan in 2017-18, and has now delivered 108 of the 130 actions in the plan. It also developed regional incident and casualty reduction plans, which set out the actions and planned interventions that will contribute to improved safety in each region, and the company's longer-term ambition that no one should be harmed whilst travelling or
working on the network by 2040.
2.7
The company has developed its work to assess the safety of the network, based on a star rating system. In 2017-18, it completed work to model the star rating of the network to reflect the improvements made in the first road period. It expects to publish further detail of this work later in 2018. It is on track to achieve 90% of travel on 3-star roads by 2020.
2.8
Accident frequency rates for the supply chain have increased slightly over the past year, while rates for Highways England's own staff have improved. However, accident rates for both remain worse than the company's internal targets.
2.9
In 2017-18, the company delivered 14 actions in its 5 year health and safety action plan that are specifically aimed at improving road worker and traffic officer safety. This included
ensuring all tier one contractors have plans to address health, safety and wellbeing for second and third tier contractors. The company also worked with the supply chain to ensure all those working on the network are provided with appropriate training, and reviewed contractors' management of occupational health risks.
2.10 Highways England has provided training for
managers in its customer service directorate to understand and identify stress in the workforce. It has also developed an improved system for reporting accidents and incidents, which covers contractors and Highways England employees.
## Supporting The Smooth Flow Of Traffic
2.11 The strategic road network fulfils a vital role in
supporting our local and national economies by facilitating the movement of people and goods. As network operator, Highways England must minimise the impact of roadworks and incidents on customers. The company's performance in this area is measured by two key performance indicators, covering network availability and incident clearance. In 2017-18, Highways England met its targets for these indicators.
2.12 Lane availability on the strategic road network
was 98.3% in 2017-18, which is above the target of 97%. Highways England expects availability to reduce during the road period, but remain above target. This reflects the increased work on the network as the RIS1 investment plan gathers pace.
2.13 During 2017-18, Highways England took a
number of actions aimed at reducing the impact of roadworks on road users. These included undertaking more work at night, working more efficiently during lane closures, and closing shorter sections of roads during works. We will continue to work with the company to understand how it is maximising lane availability as the volume of major roadworks on the network increases.
2.14 The company also met its incident clearance
target in 2017-18 - clearing 87.9% of motorway incidents within one hour, against a target of 85%. This is an improvement on performance in 2016-17, when it cleared 85.9% of incidents within one hour.
2.15 During 2017-18, Highways England has rolled
out a number of interventions, aimed at increasing the capability of the traffic officer service to respond to incidents on the network. This has included training traffic officers to tow vehicles of up to 12 tonnes from the carriageway, better coverage of the network through more single-crewed vehicles, and better targeting of known 'hot-spots'. The company has also undertaken more detailed analysis of incidents that are not cleared within one hour, and shared this intelligence across the business to improve performance.
## Case Study - Increasing The Capability Of The Traffic Officer Service
- In the past year, Highways England has trialled initiatives to support the smooth flow of traffic by
increasing the coverage and capability of the traffic officer service.
- During the 2018 Easter holiday period, traffic officer patrols were extended to the A30 in Cornwall for
the first time.
- Patrolling the A30 supports Devon and Cornwall Police and helps address increased traffic volumes
and related incidents on the road. As part of this, the traffic officers are also at hand to provide assistance on the A38.
- The extra patrols will also take place over the summer months, when this part of the strategic road
network is particularly busy.
- In the East Midlands, the traffic officer service has also been allocated some inspection duties. This
aims to: allow asset inspectors to spend more time on condition inspections; speed up repairs; and improve decision making on asset intervention.
## Supporting Economic Growth
2.16 Highways England's contribution to supporting
economic growth is monitored by a key performance indicator that measures average delay per vehicle mile. In 2017-18, average delay was 9.2 seconds per vehicle mile. This is the highest level of average delay recorded in the road period so far - up from 9 seconds per vehicle mile in 2016-17.
2.17 Traffic is at record levels, and is continuing
to grow. In 2017, 94.1bn vehicle miles were travelled on the strategic road network, which is 2.1% higher than in 2016. This is a key cause of increased delay.
2.18 Analysis of performance data from 2017-18
shows a particularly large increase in delay in March 2018, compared to March 2017. This coincides with two periods of heavy snow that affected the network in March 2018.
2.19 Many of the actions taken by Highways England
to improve lane availability and incident clearance also help to reduce delays on the network. Examples of other actions it has taken to support the smooth flow of traffic in 2017-18 include:
- Responding to advance warning of severe
winter weather by positioning recovery vehicles at strategic locations on the network based on previous snow events.
- Working with emergency services and
other road responders at a regional level to improve coordination in responding to incidents.
- Running a national driver education
campaign on using smart motorways.
2.20 The winter of 2017-18 presented challenging
conditions across the strategic road network, including heavy snow in February and March 2018. As a result, Highways England used more than double the amount of salt compared to the previous year. A key challenge in 2017-18 was traction of larger vehicles at vulnerable locations and the impact of drifting snow, particularly on A-roads. The company used location-specific plans, based on prior experience, to support road users during these periods of severe weather. Highways England's regional teams have used the lessons learnt from last winter to strengthen its plans for future years.
2.21 Increasing traffic, and delivery of the capital
investment programme, continue to present a challenge to managing delay on the network. The Department for Transport forecasts that traffic on the strategic road network will continue to grow, by between 29% and 60%, between 2010 and 2040. Continuing to build its understanding of the impact of traffic growth will help Highways England deliver interventions that have the greatest impact on minimising delays on its network.
## Satisfaction
2.22 It is important that Highways England delivers
a service that meets road users' needs, and maintains high levels of satisfaction. Satisfaction is measured through a regular survey of drivers and other road users by Transport Focus - the National Road User Satisfaction Survey (NRUSS).
2.23 Road user satisfaction with using the strategic
road network was 88.7% in 2017-18. This is below the target of 90%, and also below last year's score of 89.1%.
its understanding of issues affecting road user satisfaction in the North West of England, where scores are consistently below other areas of the country.
2.27 In 2017-18, Highways England's customer
service plan focussed on:
2.24 The overall satisfaction score is calculated
by combining five separate elements of satisfaction. Satisfaction with signage and safety were above 90%, while satisfaction with the upkeep of the network, journey times and roadworks management were all below 90%.
for traffic. Following a lessons-learnt exercise,
2.25 Analysis of regional data shows that
satisfaction in the North West fell from 83.0% to 77.8% in the last year, and is considerably lower than other regions. Highways England attributes this to the high concentration of (and delays to) major schemes; above average levels of commuters (who tend to have lower satisfaction); and fewer variable message signs in the region.
2.26 Highways England has produced plans to
improve customer satisfaction in 2018-19. These are informed by insight from a range of sources, including the NRUSS. Many of the actions it has developed to improve satisfaction are targeted at aspects of performance which attract the lowest NRUSS scores. For example, it has taken action to address users' experience of roadworks, including length of roadworks, quality of information, and visible activity. It has also worked with Transport Focus to improve
- Roadworks - providing information to
help people make the best choices and reinforcing customer service through the company and its supply chain;
- Maintenance and upkeep on the network
and reducing litter;
- Signage - improving variable message sign
availability and the user-friendliness of information; and
- Improving diversionary route signage.
2.28 There are also a number of factors affecting
customer satisfaction that are less within Highways England's control, such as the behaviour of other motorists, and volumes of traffic. This was reinforced in 2017-18 by suspected terrorist-related incidents on the M3 and M1 motorways. These caused significant disruption for users and presented new challenges to the company in relation to its control over when roads are re-opened Highways England has put a series of actions in place to mitigate the impact on road users of similar incidents in the future.
##
2.29 During 2017-18, Highways England has worked
with Transport Focus, and us, to develop the new Strategic Road User Survey which will provide more robust information on customer satisfaction in the future. Transport Focus began a period of dual running of the new survey from April 2018. The 90% target for road user satisfaction will continue to be measured by the existing NRUSS in 2018-19.
## Delivering Better Environmental Outcomes
2.30 The road investment strategy requires
Highways England to deliver better environmental outcomes through its management of the strategic road network. The company's progress in this area is monitored by two key performance indicators, covering noise and biodiversity.
2.31 For its key performance indicator on noise,
Highways England has a target to mitigate at least 1,150 noise important areas by 2020. In 2017-18, it mitigated 448 noise important areas,
bringing the total to 6514 for this road period.
## Noise Important Areas Mitigated
2.32 The number of noise important areas
mitigated in 2017-18 is significantly greater than in previous years, which is largely due to the company rolling out a programme to fit noise insulation (double-glazing) to affected properties close to the network.
2.33 In 2017-18, 386 noise important areas were
mitigated through insulation. This includes installations at 274 individual properties. Some noise important areas have been counted as mitigated where double glazing was offered to households, and the homeowner either refused, or did not respond to at least three
letters sent by Highways England5.
2.34 Of the remaining noise important areas
mitigated in 2017-18, 47 were delivered through low-noise resurfacing, eight by major scheme bypasses, two were delivered through noise barriers and five through a combination of insulation and resurfacing. Highways England expects to meet its target of 1,150 by the end of this road period, with the majority of these delivered through the insulation scheme. We will continue to monitor progress against the target closely.
2.35 Highways England has also made progress in
delivering the commitments in its biodiversity action plan. The company has approved 61 biodiversity schemes to be taken forward in 2018-19. It has undertaken testing of a newly developed biodiversity metric, and expects to trial it in 2018-19. It has also produced a further 15 management plans for sites of special scientific interest on its estate - bringing the total number of plans to 30, against a commitment to develop 40 in this road period.
2.36 In May 2018, Highways England published
a report setting out its progress against the biodiversity action plan during 2016-17. It expects to publish another report later this year, covering performance in 2017-18. This is a positive step in increasing transparency around Highways England's environmental performance.
2.37 During 2017-18, Highways England continued
to take steps to tackle litter on the strategic road network. As part of this, the company has committed to focus on 25 priority hotspots where litter is particularly evident, and appointed 'litter champions' in each of its 13 operational areas to monitor litter management. It collected more than 10,000 bags of litter from the network in 2017, and has trialled new bins at service areas, which allow drivers to deposit waste without leaving their vehicle. In January 2018, Highways England held a workshop with stakeholders to generate innovative ideas for further actions that it could take.
## Vulnerable Users
2.38 In addition to those who use it directly,
the strategic road network has an impact on its neighbouring communities. For instance, the network can act as a barrier to vulnerable users, such as cyclists, walkers and equestrians. Highways England has a key performance indicator to report the number of new and upgraded crossings it delivers for vulnerable users.
2.39 In 2017-18, the company delivered 28 new
and 72 upgraded crossings on the network. This is an increase on the previous year, when it delivered 20 new and seven upgraded crossings. Highways England has identified an error in the number of crossings that it
previously reported as delivered in 2015-166.
It is currently validating a revised figure, which we will report in our next annual assessment.
2.40 Highways England completed construction on
22 cycling schemes in 2017-18, bringing the total delivered in this road period to 79. The company reports that it is on track to meet its commitment of delivering 150 cycling facilities and crossing points on the network in this road period.
## Highways England Is Delivering More Improvements On Its Roads But It Must Manage Costs.
The company has improved its planning and management of major schemes, and is delivering the majority of these on time. It has demonstrated improved management of its capital portfolio. Its forecast costs for the road period have reduced, but remain above its funding, partly reflecting delivery of additional scope and planned over programming. It must continue to take action to manage this position. Investment through its ring-fenced funds has increased, but is slower than originally planned.
Major investment delivery
2.42 Of the eight schemes which were opened
for traffic in 2017-18, six were delivered on
2.41 Highways England is delivering the majority
time, one was completed one quarter ahead
of its major improvement schemes on time.
of schedule, and one opened three quarters
In 2017-18, the company started work on all
behind schedule. One scheme has missed its
seven schemes in its delivery plan, and an
delivery date for 2017-18 and will open in
additional scheme brought forward from
2018-19. In addition, the company also opened
2019-20. It also completed eight schemes this
to traffic the two schemes that were delayed
year against a plan to complete nine.
| Construction phase | 2017-18 commitment |
|------------------------|-----------------------|
| Start of works | 7 schemes to start |
| work in 2017-18 | |
| 8 schemes started | All 7 planned schemes |
| started | |
| Open for traffic | |
| | |
| 9 schemes to open | |
| for traffic in 2017-18 | |
| | |
| To open the 2 | |
| schemes delayed | |
| from 2016-17 | |
##
from 2016-17.
1 scheme brought forward from 2019-20
10 schemes open for traffic
8 planned schemes opened in 2017-18 1 scheme delayed and will open in 2018-19 2 schemes delayed from 2016-17 opened in 2017-18
2.43 Highways England has now started work on 24
schemes, and opened 22 schemes for traffic, in this road period.
2.44 The majority of major schemes completed
to date have cost more than agreed funding assumptions. The 22 schemes that Highways England has opened for traffic by the end of March 2018 are forecasting increased costs of £209m (9%) higher than baseline. This mainly reflects a change in the accounting treatment of land costs, and other scheme specific factors including discovery of hazardous waste, archaeological finds and immaturity of scheme design.
## Case Study - A14 Cambridge To Huntington Major Scheme
- The A14 Cambridge to Huntington scheme is
Highways England's biggest single project in construction.
- Costing £1.5bn, it is scheduled to open for
traffic in December 2020 and will address congestion on the 21 mile stretch of dual carriageway between Cambridge and Huntingdon.
- The scheme will upgrade this part of the A14
to three lanes in each direction. It includes a new 17 mile bypass south of Huntingdon, 34 new bridges and structures, and a 750 metre viaduct crossing of the River Great Ouse.
- Highways England's project team has
addressed a number of challenges associated with managing this large and complex project. This has included bringing forward work on a new bridge to accelerate other works, and speeding up delivery by setting up a concrete batching facility to build key components of the bridges on-site.
- It has also demonstrated innovative
approaches to improving safety, and sharing best practice, which has led to higher standards being adopted across the site. These, and other examples, provide important learning for delivery of future schemes.
2.45 Highways England has made good progress
to date on its flagship schemes. The A14 Cambridge to Huntington scheme (discussed in the case study below) is currently in line with the company's plans to meet its completion date and is scheduled to open for traffic in December 2020.
2.46 The company has also made progress with
planning for the A303 Stonehenge Tunnel. In 2017-18, following an extensive public consultation, it announced its preferred route for the tunnel, and construction is currently expected to begin in 2021. On the Lower Thames Crossing, it is currently evaluating options ahead of consulting on a preferred route in late summer 2018.
## Highways England'S Capital Plan
2.47 In 2017-18 we undertook an in-depth review
of Highways England's capital delivery plan. This demonstrated that Highways England has now strengthened its capital portfolio management capability, and as a result has better information about scheme timings, costs and risks.
2.48 It has reviewed how it will deliver its capital
investment during the remainder of the road period. This has enabled the company to improve its scheduling of major schemes, with a particular focus on their scope, value for money and impact on road user experience. For example, it has considered the best way of scheduling major schemes which impact on the same routes or geographical locations to reduce customer disruption ('road corridors').
2.49 As a result, some major improvement schemes
are being considered for delivery in the next road period, while other schemes have been brought forward within the reporting period. The revised plans have reduced the number of schemes which are due to start construction in the last year of this road period, from 69 to 39.
2.50 Highways England has agreed the changes7 to
its commitments in the RIS and delivery plan with government and has taken them through the Department for Transport's formal change control process. This includes:
- deferral of six schemes, and a part of one
further scheme, where they do not currently demonstrate value for money. These will be reconsidered as options for delivery in the next road period;
- 14 schemes are scheduled to start earlier
than originally planned, of which 10 schemes were advanced as a result of Highways England's review of schemes within the same 'road corridors';
- 20 schemes deferred to the next road
period, including 15 'road corridors' schemes and five further changes due to other factors - for example as an outcome of public consultations and schemes' options appraisals; and
- cancellation of one scheme, the A27
Chichester bypass. Following a public consultation, the scheme was cancelled as there was no clear consensus on the preferred option.
2.51 The revised plans mean that, of the 112 major
schemes originally planned to start works in the first road period, 85 are now planned to start
by March 2020. Funds released by this process have been retained to offset cost pressures elsewhere in the portfolio. The company's forecast total costs for its RIS1 major schemes are currently £2.9bn higher in road period 1 and road period 2 than originally assumed. This partly reflects increased scope for some schemes and immature scheme estimates when RIS1 funding was set.
## Ring-Fenced Funds
2.53 Highways England's investment plan includes
a set of ring-fenced funds, which are aimed at addressing a range of issues beyond the traditional focus of roads investment. These funds are worth £675m in the first road period and are split into five areas: air quality; cycling, safety and integration; environment; innovation; and growth and housing.
2.52 Highways England forecasts capital costs that
are £438m higher than its funding for the road period. Its forecast costs have reduced, but remain above funding, partly reflecting delivery of additional work and planned over programming. It is working to manage costs and has instigating a management action plan to address the difference, which has so far identified £164m of potential savings, which will reduce the difference to £274m. However, there is still a risk that some expenditure will need to be deferred to the next road period and / or additional funding used in road period 1 (for example through its ability to bring funds forward from the next road period). It must continue to take action to manage this position.
2.54 At the end of 2017-18, Highways England
had spent £176m of its ring-fenced funds, which is 26% of the total available in this road period. The pace of delivery has picked up in 2017-18 compared to last year, but remains behind plan. There is variability in progress between the different funds, with air quality, in particular, having spent proportionately less. We propose that the company should now review options for the air quality fund with government.
## Case Study - Ring-Fenced Funds
2.55 In 2017-18, we undertook an in-depth review
into Highways England's management of its ring-fenced funds. The final report is published
on ORR's website9. The review identified that:
- Whilst progress in delivering projects
through the funds has been slow, Highways England now has a more substantial programme of projects planned for the second half of the road period. Although a slow start was always expected, the company is underspent against its original plans.
- The programme is now heavily back-end
loaded, which increases the challenge of successful delivery. Increased resources will be required to manage this.
- The programme initially lacked oversight
required to control the funds effectively. Data and performance management information is poor and requires focus.
- Highways England has identified issues
relating to management and governance through its own internal audits. It has responded by strengthening management of the funds, and as a result, the programme has gained momentum.
2.56 In total, the review makes 21 recommendations
for Highways England to consider. The company responded positively to the findings of the review and recognises many of the issues raised. It has implemented changes to support improved delivery through ring-fenced funds.
- Highways England has used its ring-fenced
fund for environment to develop a new 'green bridge' on the A38 at Haldon Hill in Devon.
- Green bridges are structures designed to
provide wildlife and non-motorised users with easy and safe crossings of main roads and railways.
- The environment fund will provide £10.7m
for design and construction of the bridge. In addition to benefits for wildlife, it will also provide improved facilities to walkers and cyclists, and will improve safety at a location which is prone to motorists hitting deer.
- The project is currently in the detailed design
phase, but construction has experienced delays associated with securing an agreement with the landowner.
- This demonstrates the benefits which can be
delivered to wider communities through ringfenced funds, but also highlights areas where Highways England can improve its planning and management of these funds.
## Highways England Is Improving The Condition Of The Strategic Road Network
Network condition has improved during the year, and is now on target. The company has set out long-term plans for improving the identification, planning and delivery of asset maintenance and renewal works.
## Network Condition
2.57 The condition of the strategic road network
is monitored by a key performance indicator which measures the percentage of road surface that does not require further investigation for possible maintenance. At the end of 2017-18, 95.2% did not require further investigation. This is above the target of 95%, and an improvement on the 94.3% recorded in 2016-17.
2.58 The timing of the surveys used to collect road
condition data mean that these figures do not reflect the impact of last winter. Highways England has reported an increased number of potholes in some regions during the winter. It is identifying and managing these as part of its standard maintenance procedures. Beyond localised damage such as this, the company reports that it does not expect a significant impact on other characteristics that inform network condition. We will review data from the 2018-19 carriageway surveys to understand if last winter has had any lasting impact on its road surfaces.
2.59 After missing its road condition target in
2016-17, Highways England established an improvement plan for this metric. In 2017-18, the company delivered against its plan to improve network condition, which included undertaking additional resurfacing work. The increased focus on this area has contributed
to an improved understanding of the network condition metric and the issues that affect it. Highways England has also demonstrated improved internal monitoring and assurance of road condition data.
2.60 Highways England is now improving its
ability to forecast network condition. We will continue to work closely with the company to understand the actions it is taking to maintain current performance.
## Maintenance And Renewals
2.61 Highways England has maintained the
condition of its network in 2017-18. In addition to improvements in road condition, the condition of other asset types is broadly stable.
2.62 The company has recognised that it should
take a more structured approach to managing its assets. In preparation for RIS2, the company is developing a wider business transformation programme approach known as 'operational excellence' by building capability, optimising works, and focusing on planning and performance to deliver improved service to its customers. The company has also put in place a long-term action plan aligned to the recommendations in our in-depth review of asset management delivery for pavement and structures. This will support better identification, planning and delivery of asset maintenance and renewal works.
2.63 There remain opportunities for Highways
England to improve its management of renewals work. In 2017-18, the company spent 24% more on renewals than in 2016-17, although the volume of outputs did not increase as much. It delivered significantly greater volumes on the majority of asset types than it planned, and in-year forecasts show considerable variability. Its renewals delivery was highest in the last three months of 2017-18. Delivering more during the winter months may impact on the quality and efficiency of work.
2.64 The profile of renewals expenditure has
more to ensure expenditure follows its flatter
improved marginally during 2017-18, with less
budget profile and improve its efficiency in
back-end loading than seen in the previous
future years.
year. However, Highways England could do
10 Quarters refer to the financial year. Q1 covers spring (April to June) and Q4 covers winter (January to March).
2.66 We found areas where the new model is
bringing positive changes, for example it has helped Highways England balance delivering long-term solutions and short-term fixes for its assets. The review also highlighted areas where Highways England can strengthen how it collects and monitors information for measuring the benefits of the new model, including cost savings, and embedding lessons learnt.
2.65 In 2017-18, we carried out a review of Highways
England's new asset delivery contract model which has been adopted in five areas. This covers the operation, maintenance and renewal of the company's assets. The review focused on whether the model is delivering the expected benefits in road period 1, which include improved financial performance, asset management, efficiency and road user outcomes. It also considered what benefits the model is expected to deliver in the next road period.
## Highways England Is Delivering Efficiencies But More Evidence Is Required That Its Road Period Target Is On Track.
It has reported £486m of cost savings in the road period to date (40% of its target), £226m of which are in 2017-18. This is supported by clear evidence of specific improvements made. The company needs to continue to develop its evidence that reported savings are supported by its capital portfolio delivery and its unit costs.
## Financial Performance In 2017-18 And Reported Efficiency
2.67 Highways England spent £3.4bn in 2017-18,
which is largely in line with its agreed baseline funding. Of this, £2.3bn was capital spend, which included improvements to the network (£1.4bn), renewing infrastructure (£776m) and ring-fenced funds (£110m).
2.68 The company has a target to deliver £1.2bn of
capital efficiency savings by the end of this road period. It has reported £226m of efficiencies in 2017-18. This would bring the cumulative efficiency improvements to its capital programme in the first three years of the road period to £486m, against an internal milestone of £377m. The efficiency reported to date is 29% ahead of its internal target and represents 40% of the target for the first road period.
Evidenced: 2016-17 Annual Assessment Evidenced: Subsequent review
2017-18 cumulative target
2017-18 reported for ORR review
KPI RP1 target
## Evidencing Efficiency
2.69 We judge Highways England's efficiency using
three approaches:
- **Bottom up evidence**. Highways England has
presented case-study evidence of the actions it has taken to deliver efficiency. We found the case-study evidence presented to be of a good standard, and to highlight significant effort by the company and its supply chain to deliver efficiency. An example of this type of evidence is presented in the case study below.
- **Unit costs**. The renewals programme has
made the largest contribution to its reported efficiency to date. The company has adopted an improved approach to providing unit cost evidence, although this needs further work. For major schemes we are content that Highways England's model for demonstrating a reduction in unit costs on the smart motorway programme provides reasonable evidence for efficiency. However, this model has not yet been extended to provide unit cost evidence for £70m efficiency claimed under the Regional Investment Programme and Complex Infrastructure Programme.
11 As described earlier in this report, a number of schemes have been cancelled where they did not demonstrate value for money, or rescheduled to improve delivery of the capital portfolio.
- **Delivery of the road investment strategy**.
Highways England's current expenditure forecast for the road period is £438m higher than its funding, partly reflecting delivery of additional work and planned over programming. This is after agreed changes to the RIS, which have removed scope from road period 111. The company has identified
plans to reduce the difference between its expenditure forecast and funding to £274m by the end of the road period. Any remaining difference will need to be managed through use of additional funds in road period 1 or deferral of work into road period 2.
The overall costs of the programme in road period 1 and road period 2 are forecast to be £2.9bn more than the baseline funding. This is partly driven by immature plans when the road investment strategy was set up.
2.70 Taking the three approaches together we
need to see more evidence over the next year to support the claimed levels of efficiency. Providing this evidence will increase our confidence that Highways England is able to achieve its efficiency target by 2020. Our review of efficiency evidence is discussed in more detail in annex B.
## Case Study - Delivering Efficiencies
- The Oldbury viaduct carries 1.8 miles of the
elevated sections of the M5 to the west of Birmingham. Constructed in 1970, it now requires major structural repairs.
- Highways England has employed innovative
traffic management to reduce the duration of the roadworks, which will shorten the impact on road users, and deliver cost savings.
- The traffic management layout normally
employed on this type of scheme would be to maintain three narrow running lanes in each direction, providing two narrow working areas. This would require at least seven phases to complete the works and restrict each concrete repair to a small patch.
- However, running the north and southbound
traffic on one carriageway, with two lanes in each direction, enabled the other carriageway to be left free of traffic. This allowed much larger areas of repair works to be carried out, reducing the number of work phases required.
- This is expected to reduce the duration of the
work by 153 weeks, and deliver cost savings of £60m. It has also delivered safety benefits to road workers by reducing their proximity to live traffic.
## Priorities For 2018-19
2.71 In 2017-18, Highways England has
demonstrated that it is continuing to build its capability in managing the strategic road network. However, the performance requirements are more challenging in the final two years of the road period and there are risks to delivery at the end of the road period. We consider that the following areas require focus from the company in 2018-19:
- **Customer satisfaction.** Implementation and
monitoring progress against its customer satisfaction improvement plan for 2018-19.
- **Efficiency evidence.** Further development
of top down efficiency evidence to support progress against its key performance indicator.
- **Ring-fenced funds.** Increasing the pace
of delivery through ring-fenced funds in 2018-19, continuing to strengthen its management of the funds, and addressing the recommendations that are set out in our in-depth review.
- **Managing costs.** Taking action to address
the difference between forecasts capital costs and its funding for the road period.
- **Planning for RIS2.** Continuing work to
develop plans for the second road period. In particular, developing a robust strategic business plan, and presenting efficiency evidence. Also continuing to engage closely with stakeholders as it develops more detailed plans.
## Our Monitoring
2.72 We will continue to monitor Highways England's
delivery of the road investment strategy, and compliance with its licence. Priority areas for ORR in 2018-19 include:
- a continued focus on monitoring RIS1 as
Highways England moves into the later stages of delivery;
- focussed engagement with the company
in areas of performance that need improvement - for example road user satisfaction;
- further developing our work to benchmark
Highways England's performance and efficiency; and
- providing evidence and advice to inform RIS2
development.
## Annex A: Performance Against Outcome Areas Outcome: Making The Network Safer
The Department for Transport has postponed The chart below presents road casualty data up to publication of its reported road casualty statistics
2016, when there were 2,005 KSIs on the strategic until September 2018. Therefore, we are unable to road network, which is 12% higher than the previous report Highways England's performance against its year. This included 231 deaths on the network, a 3%
safety key performance indicator in 2017.
increase on 2015.
One reason for the increase in reported KSIs is a change to how some police forces record road casualty data. However, police forces which did not adopt the new reporting system also saw an increase in KSIs in 2016. This highlights the challenge of achieving the target by 2020 and is discussed in more detail in chapter 2.
Casualty numbers for all-purpose trunk roads: The Department for Transport's road casualty figures are used to monitor this performance indicator.
2017 figures are not yet available. In 2016, there were 8,441 casualties of all severities recorded on Highways England's A-roads. This is a 0.6% increase on the previous year. Incident numbers on motorways: Highways England recorded 56,136 incidents on its motorway network in 2017-18. This is a 14% increase on the figure recorded in 2016-17. Road safety investigations: In 2017-18, Highways England completed work to model the star rating of the network to reflect the improvements made in the first road period. It expects to publish further details of this work later in 2018. It is on track to achieve 90% of travel on 3-star roads by 2020. Accident frequency rates: Highways England reports accident frequency rates through the established 'Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) process. For construction and maintenance workers in Highways England's supply chain, the accident frequency rate was 0.12 in 2017-18, an increase from 0.11 in the previous year. This remains above the company's internal target.
For Highways England's operations directorate - which covers the traffic officer service - the accident frequency rate was 0.43, which is an improvement from 0.51 in the previous year. This also remains above the company's internal target.
In 2017-18, Highways England delivered 14 actions in its 5 year Health and Safety Plan which are aimed at improving the safety of road workers and traffic officers. These actions included a focus on ensuring workers have the appropriate training for working on the strategic road network, and developing better systems for reporting incidents.
## Outcome: Improving User Satisfaction
Key performance indicator: Highways England must achieve a score of 90% of respondents who are very or fairly satisfied by 31 March 2017 and then maintain or improve it Highways England's satisfaction scores are calculated from the National Road Users Satisfaction Survey (NRUSS). The overall satisfaction measure was 88.7% in 2017-18, below the target of 90% and lower than the 89.1% recorded in 2016-17.
- safety.
Figure A6 shows the satisfaction scores for these journey elements since 2013-14. Satisfaction with roadworks management is consistently lower than the other journey elements, and has shown the greatest
Satisfaction with the journey elements in NRUSS: The NRUSS asks respondents about their satisfaction with five elements of their most recent trip on the strategic road network:
- journey times;
- roadworks management;
- general upkeep;
- signage; and
decline in the past five years.
In 2017-18, satisfaction with signage and safety was above 90% but satisfaction with journey times, roadworks management and general upkeep was below 90%.
| Journey elements | Change |
|---------------------|-----------|
| 2016-17 to | |
| 2017-18 | |
| Estimated | |
| impact | |
| on overall | |
| satisfaction | |
| Journey time | +0.7% |
| Roadworks | 0 |
| General upkeep | -1.1% |
| Signage | -0.6% |
| Safety | -1.1% |
NRUSS scores by location: The map in figure A7 shows a regional breakdown of NRUSS satisfaction scores. Satisfaction was above 90% in the East and the South East, but was below 90% in all of the other regions. The North West had the lowest satisfaction for the fourth consecutive year.
NRUSS scores for motorways and all purpose trunk roads: Satisfaction with all purpose trunk roads fell 0.2 percentage points to 90.1% in 2017-18. Satisfaction on motorways fell 0.6 percentage points to 87.5%.
## Outcome: Supporting The Smooth Flow Of Traffic
Network availability is a measure of the length of road lanes that are open to traffic as a percentage of the total length of road lanes on the network. Performance is calculated over a rolling year.
At the end of 2017-18, network availability on the strategic road network was 98.3%, which is above the target of 97%.
Network availability has been relatively stable during this road period, and is 0.1 percentage point lower than the figure recorded in the previous year. Highways England expects availability to reduce further during the road period, but remain above target. This reflects the increased work on the network as the RIS1 investment plan gathers pace.
The incident management key performance indicator measures the proportion of incidents on Highways England's motorway network that it clears within one hour. At the end of 2017-18, the company cleared 87.9% of motorways incidents within an hour. This is above the target of 85%, and represents an improvement on last year's score of 85.9%.
Highways England has rolled out a number of interventions in 2017-18 aimed at increasing the capacity of the traffic officer service to respond to incidents on the network. These are discussed in more detail in chapter 2, and have contributed to improved performance against this target.
Traffic on the strategic road network: In 2017, 94.1bn vehicle miles were travelled on the strategic road network. This is 2.1% higher than in 2016, and the highest total ever recorded. Since a pause in traffic growth during the economic downturn, volumes on the strategic road network have increased in each of the past eight years.
Planning time index: The planning time index measures the additional time that road users should allow for their journey to arrive on time in 19 out of 20 journeys. It is calculated by taking the ratio of the 95th percentile journey time to the free-flow journey time.
In 2017-18, the planning time index was 1.67, which is slightly lower than the figure recorded in 2016-17. This indicates that the most delayed journeys on the network were slightly better in 2017-18 than in 2016-17. Acceptable journeys: This measures the percentage of journeys that are above 75% of free-flow speed. In 2017-18, 82.5% of journeys were above this threshold. This is less than the previous year, when 83.5% of journeys were above 75% of free-flow speed. Average speed: In 2017-18, average speed for all journeys on the strategic road network was 59.2 miles per hour. This is slower than in 2016-17, when the average speed was 59.5 miles per hour.
## Outcome: Encouraging Economic Growth
Average delay on the strategic road network is used to measure Highways England's contribution to supporting economic growth. In the year to March 2018, average delay was 9.2 seconds per vehicle mile. This is equivalent to a trip of 100 miles taking almost 17 minutes longer than on a free-flowing network. This is a higher level of delay than in 2016-17, when the average delay figure was 9 seconds per vehicle mile, and the equivalent 100 mile trip would have taken 15 minutes longer compared to free-flow conditions. This chart shows that monthly delay on the strategic road network has been relatively constant during the first three years of this road period. However, delays in March 2018 - the last month of 2017-18 - are higher than in the previous year. This may reflect two periods of heavy snow during that month. Increasing traffic, and delivery of the capital investment programme, continue to present a challenge to managing delay on the network. Actions that Highways England has taken to address this in 2017-18 are discussed in more detail in chapter 2.
Average delay on gateway routes: Gateway routes are a subset of the strategic road network, comprising key connections linking major population centres, or business and manufacturing sites, with the most important ports and airports, and rail freight services. Delay on these routes in 2017-18 was 8.7 seconds per vehicle mile - an increase from the figure of 8.2 seconds in 2016-17. Responding to formal planning applications: In 2017-18, Highways England responded to 100% of planning applications within 21 days. This is above the company's internal target of 99%. Spend on small and medium sized enterprises (SMEs): Highways England estimates that its expenditure on goods and services from small and medium sized businesses was 30.8%12 in
2017-18. The government target for spend on SMEs is 25%.
## Outcome: Delivering Better Environmental Outcomes
Highways England has a target to mitigate 1,150 noise important areas by 2020. In 2017-18, the company mitigated 448 noise important areas, bringing the total to 65113 for this road period.
Highways England has increased the rate at which it is able to mitigate noise important areas in 2017-18 through its scheme to fit insulation (double-glazing) to noise affected households. The company must now mitigate a further 500 noise important areas in the last two years of the road period. It expects the majority of these will be delivered through the insulation scheme. Highways England expects to meet its target of 1,150 by the end of this road period and we will continue to monitor progress closely.
In 2017-18, Highways England has continued to make progress in delivering the actions in its biodiversity action plan. Key areas of progress during the year have included:
- Further testing of the new biodiversity metric.
- Producing a further 15 management plans for
sites of special scientific interest, bringing the total for this road period to 30.
- 61 schemes approved through Highways England's
biodiversity technical working group.
- Publishing a biodiversity annual report, covering
performance in 2016-17.
Air quality pilot studies: Highways England has now completed the 10 air quality pilot studies it had committed to deliver in this road period. The findings from these are being used to consider potential future mitigations. Carbon dioxide (Highways England's activities): In 2017-18, Highways England reported that its activities resulted in the emission of 83,659 tonnes of carbon dioxide equivalents. This is 7% lower than in 2016-17, and is a 12% reduction from the start of this road period. Carbon dioxide (supply chain): In 2017-18, emissions from Highways England's supply chain were estimated at 255,115 tonnes of carbon dioxide equivalents. This is 22% lower than reported in 2016 17, and a 37% reduction since the start of the road period. However, we are aware that these figures may be based on incomplete returns, and therefore, any comparison between years should be treated with caution.
Number of flooding hotspots and culverts mitigated: Highways England mitigated 40 flooding hotspots, and one culvert in 2017-18. This brings the total number of flooding hotspots mitigated in the first road period to 173, and culverts to nine. Number of outfalls and soakaways mitigated: Highways England has contributed to improved water quality in watercourses close to the strategic road network by mitigating five outfalls in 2017-18, bringing the total number in this road period to ten. It has not mitigated any soakaways in this road period to date.
## Outcome: Helping Cyclists, Walkers And Other Vulnerable Users
In 2017-18, Highways England delivered 28 new and 72 upgraded crossings for cyclists, walkers and other vulnerable users. This is an increase on the previous year, when it delivered 20 new and seven upgraded crossings. Highways England has identified an error in the number of crossings that it previously reported as delivered in 2015-1614. It is currently validating a revised figure, which we will report in our next annual assessment.
Identification and delivery of the annual cycling programme: Highways England delivered 22 cycling schemes during 2017-18. This brings the total number of schemes delivered in this road period to 79. It expects to meet its commitment of delivering 150 cycle schemes in the first road period. Vulnerable user casualties: Highways England also reports vulnerable road user casualties, of all severities, as a performance indicator. Road casualty data for 2017 are not yet available. Figures for 2015 and 2016 are shown below for reference.
| | 2015 | 2016 |
|----------------|---------|---------|
| Motorcyclists | 849 | 864 |
| Pedal cyclists | 153 | 152 |
| Pedestrians | 158 | 154 |
## Outcome: Achieving Real Efficiency
Highways England has a target to deliver £1.2bn of capital efficiencies by the end of the road period. The company has reported £226m of efficiencies in 2017-18. This would bring the cumulative efficiency improvements to its capital programme in the first three years of the road period to £486m, against an internal milestone of £377m. The efficiency reported to date is 29% ahead of its internal target and represents 40% of the target for the first road period.
We consider that more evidence is required that reported savings are supported by its capital portfolio delivery and its unit costs. Our assessment of Highways England's efficiency is set out in more detail in chapter 2, and annex B, of this report.
We also monitor Highways England's performance in the construction phase of major scheme delivery using two earned value measures: Cost performance index. This is the ratio of budgeted cost of work to date to actual cost to date and a value less than 1 indicates costs are currently above the target price. Performance on the cost performance indicator has dropped in the past year from 0.99 to 0.96. Through our monitoring of network investment delivery we are working to understand the reasons for this change and measures the company is taking to improve performance. Scheduled performance index. This is the ratio of budgeted cost of work to date to value scheduled to be delivered to date. A value less than 1 indicates progress on projects is behind schedule. This indicator is close to 1 in 2017-18, indicating that the capital programme is on track in terms of schedule compared to the delivery plan.
Cost performance indicator (CPI)
0.99
0.96
Schedule performance indicator (SPI)
0.97
1.01
In 2017-18, Highways England started works on eight major improvement schemes against a target of seven.
The company opened eight schemes for traffic in 2017-18, against its plan of nine. One scheme has missed its delivery plan commitment and will open in 2018-19. In addition, the company opened to traffic the two schemes that were delayed from 2016-17. In the first three years of the road period, Highways England has started work on 24 schemes, against a target of 17. It has also opened 22 schemes to traffic, against a target of 23.
Our full assessment of Highways England's progress relative to its delivery plan are set out in chapter 2, and annex C of this report.
## Outcome: Keeping The Network In Good Condition
At the end of 2017-18, the percentage of pavement (road) that did not require further investment for maintenance was 95.2%. This is above the target of 95%, and an improvement on the 94.3% recorded in 2016-17 year, when the target was missed.
As well as pavement, Highways England also manages other physical assets on the network, including structures (such as bridges), geotechnical works (for example embankments), drainage assets (such as gullies and drains) and technology assets (such as overhead message signs). Structure assets: Highways England has continued to improve its structures inventory information, which is now 98.2% complete. This is an improvement of 0.1 percentage point from 2016-17. The company reports that the two measures of stock condition for structures have dropped this year from their reported positions in 2016-17. The drop is considered statistically insignificant and may reflect the lag in uploading inspection and maintenance data as well as a delay in undertaking inspections. Highways England has shared with us the reasons for this and we will monitor performance in this area in the year ahead. However, stock conditions remain higher than their positions in 2015-16 and the percentage of structures with a rating of 'good' is reported as 79.8% which represents a 0.6% improvement from 2016-17. Geotechnical assets: Highways England reports that 97.2% of its geotechnical assets do not require (and are not recommended for) remedial interventions at the end of 2017-18. This is higher than the position in 2016-17 (96.8%). Drainage assets: Highways England has reported no change from 2016-17 in the percentage of network that it has drainage inventory data for (88%). The percentage of the network with drainage condition data has increased, to 34% in 2017-18, up from 31% in 2016-17.
Technology asset availability: Highways England reports the availability of operational technology assets using the percentage of time lost by service affecting faults. During 2017-18 performance has been reported as above target for all three technology systems: control centre technology, national roads telecommunications services technology and roadside technology. Whilst performance has been reported as above target for roadside technology, its availability has reduced to 98.4% (from 98.8%) in the last year.
Key: Relative to position in 2016-17
The RIS Performance Specification requires that Highways England develops new condition metrics to be considered for use in the next road period. Highways England has developed a pavement indicator that is currently being validated and is expected to be completed in 2018-19. It has developed a new enhanced structures asset condition indicator and will carry out further calibration during 2018-19. It has also developed an enhanced geotechnical asset condition indicator and has shown some progress in the development of condition indicators for technology and drainage assets. These will be validated in 2018-19 and are expected to be completed by March 2020.
increase no change decrease
| Asset | PI |
|----------------------|-----------|
| | |
| Geotech | |
| Condition | 97.2% |
| 12994 km | Inventory |
| Technology | |
| Availability | |
| Control Centre | 99.97% |
| National Roads | |
| Telecommunications | |
| Services | |
| 99.99% | |
| Roadside | |
| | |
| 98.40% | |
| Drainage | |
| Inventory Coverage | 88% |
| Condition Coverage | 34% |
| Structures | |
| Inventory | 98.2% |
| Condition (Average) | |
| | |
| 84.56 | |
| Condition (Critical) | |
| | |
| 62.76 | |
| SCI Rating of 'Good' | |
| | |
| 79.8% | |
## Annex B: Financial And Efficiency Performance
This annex sets out a summary of our assessment of Highways England's financial performance during 2017-18.
We monitor Highways England against its licence requirement to achieve efficiency and value for money in operating and managing the strategic road network. Our work to assess the company's financial performance and efficiency also informs our:
- view of delivery of the investment plan in this
road period;
- work to support development of RIS2; and
- view of the efficiency evidence presented.
## Financial Performance Expenditure Compared To Baseline And Budget
In 2017-18 Highways England spent £3.4bn, which is 2% below its agreed baseline funding of £3.5bn. However, the company set a budget of £3.2bn
(£200m lower than baseline15), reflecting its latest delivery plans and the expected return of £220m in unspent funds for the cancelled M20 lorry park development. The Department for Transport subsequently agreed to Highways England repaying the balance in a future year meaning there was no change to the baseline in 2017-18.
Overall expenditure was £162m (5%) above budget. This was mainly due to capital spend of £2.3bn being £141m (6%) above budget. Significant variances compared to budget are shown in figure B2 and are summarised below:
- Resource expenditure was £21m above budget,
mainly due to an overspend on the Dart Charge arising from lower protocol funding than required. The Department for Transport provided additional funding for this during the year.
- Renewals expenditure was £18m (2%) lower
than budget which is partly due to slower than expected mobilisation of new contractors. Adverse weather in February and March 2018 also contributed to the reduced spend.
- Expenditure against the improvement schemes
budget was £148m (13%) higher than planned. This is due to additional project delivery costs and some acceleration.
- Ring-fenced investment funds underspent by
£80m (43%) because of delays on these work programmes, particularly for the air quality fund.
- 'Other' capital overspent by £90m due to known
pressures within the capital programme which the company had expected to manage out during the year or use its ability to bring forward capital funding from 2018-19.
## Expenditure Variances In The Capital Programme
When setting its capital budget for 2017-18, Highways England identified that its spending plans exceeded inyear funding by £277m. Higher project costs led to the enhancement programme costing £138m more than planned in 2017-18. There was also accelerated spend on schemes, totalling £64m. The funding pressure was reduced due to the expected slippage in some schemes and delays in projects delivered through ring-fenced funds (totalling £264m), and smaller savings (£29m). As highlighted in annex C, RIS1 project cost forecasts have increased and the portfolio is now expected to cost £17.6bn across road periods 1 and 2 (£2.9bn more than originally estimated). This partly reflects increased scope for some schemes and immature scheme estimates when RIS1 funding was set. As shown in figure B4 the overspend primarily reflects cost pressures, rather than higher outputs. Similarly, underspends mainly reflect planned deferral of work or slippage, rather than budget savings. This is supported by Highways England's cost performance index of 0.96, which indicates that schemes in construction are slightly above budget. This is discussed later in the annex.
## Variability In Scheme Financial Performance In 2017-18
Highways England's overall capital overspend of £141m consists of individual overspends totalling £500m that are partially offset by underspends of £359m. In 2017-18 the company reported greater variances above and below budget than in previous years. After taking over-programming into account, this is mainly due to the higher underspend on ring-fenced funds. Our analysis of 2017-18 budget variances for major schemes in figure B5 below has shown that 60% of schemes have budget variances greater than 20%. This is an improvement on 2016-17 where 82% had variances greater than 20%.16
The variability and reasons for the variances are important when considering Highways England's future cost forecasts, risks to delivery of the RIS and efficiency.
## Improved Short-Term Capital Forecasting
At portfolio/programme level our analysis has shown there has been some improvement in the quality of Highways England's short-term forecast of capital expenditure. The company has been more consistent in its forecast of the year-end position through the year. Also, in its monthly reporting, the company has been accurate to within 4% on average in forecasting the following month's expenditure, compared to 10% in 2016-17.
## Renewals Profile
We have highlighted in the past the apparent inefficiency of Highways England's renewals expenditure profile. This has seen the greatest level of activity in the final months of the year where costs tend to be higher due to adverse weather. Despite some marginal improvements, the profile of expenditure still shows greater activity in winter months. This may have been partly a result of the company facing a challenging year with more work, changes in suppliers and new contractual approaches.
## Efficiency
Highways England has reported £226m of efficiencies in 2017-18, bringing the cumulative efficiency improvements to its capital programme in the first three years of road period 1 to £486m. This is 40% of the target to deliver £1.2bn of efficiencies by 2020, and £109m ahead of the company's capital efficiency delivery plan milestone for 2017-18. Highways England reports efficiency improvements as set out in the Efficiency and Inflation Monitoring Manual (EIMM)17. There are three components to our assessment of Highways England's efficiency improvements. These are analysis of:
1) Highways England's bottom-up description of
efficiency improvements;
2) Capital unit cost movements; and
3) Expenditure and delivery compared to the
funding assumptions set out in the road investment strategy.
The following sections provide a more detailed commentary on our view of the evidence submitted:
## Bottom-Up Description Of Efficiency Achieved
Highways England has presented case study evidence of the actions it has taken to deliver efficiency. Figure B8 provides an analysis of the contribution of different themes to the cumulative reported figure. Scheduling of schemes makes the largest contribution and includes £29m in 2017 18 from innovative traffic management on the M5 junctions 1-2 Oldbury Viaduct scheme (discussed as a case study in chapter 2) and £63m from acceleration of the smart motorway programme.
We found the case study evidence presented to be of a good standard and to highlight significant effort by the company and its supply chain to deliver efficiency.
## Unit Costs
Highways England has developed a new approach for evidencing improvement in renewals unit costs, in response to our concerns about the previous methodology. The new approach is an improvement on previous reporting. However, Highways England reports limitations to this approach, including only 33% of relevant data has been available for use in the model. It expects that, over time, changes in contractual arrangements will mean that this will increase. On balance we believe the new approach provides better evidence. However its limitations (recognised by the company) affect the weight it is given in our review. High-level analysis indicates that the increase in Highways England's renewals expenditure in 2017 18 (24%) was not matched by increased volume of renewals delivery. Volumes increased by a greater percentage than expenditure in only three out of 18
asset types18.
For major schemes we are content that Highways England's model for demonstrating a reduction in unit costs on the smart motorway programme provides reasonable evidence of efficiency. This model has not yet been extended to provide unit cost evidence for the £60m efficiency claimed under the Regional Investment Programme and Complex Infrastructure Programme.
## Expenditure And Delivery Compared To The Ris
While Highways England has largely made good progress in delivering its investment plan to schedule so far in the road period, the company's current expenditure forecast for road period 1 is £438m higher than its funding. This is after agreed changes to the RIS, which have removed scope from road period 1. It has identified plans to reduce this to £274m by the end of the road period. The overall costs of the programme in road period 1 and road period 2 are forecast to be £2.9bn more than originally planned. The increased costs partly reflect immature plans when the road investment strategy was set up, delivery of additional work and planned over-programming. It will need to manage any remaining difference, potentially through the use of additional funds in road period 1 or deferral of work into road period 2. When the RIS was announced DfT and Highways England estimated that capital costs would exceed available funding by £652m as a result of over
programming19. Early in the road period Highways England identified further business costs of £409m which were not funded in the RIS. This £1.1bn pressure is reported in the NAO's 2017 study 'Progress with the Road Investment Strategy'. As discussed above, during 2017-18 DfT agreed changes to the RIS reducing scope in the remainder of road period 1 by £616m, leaving a remaining pressure due to over-programming and unfunded costs of £445m.
Our review of the deliverability of the investment plan has also helped inform our view of efficiency. It found no evidence of the forecast variance being due to a systemic problem with Highways England's delivery plan or its project performance. Emerging scope/cost uncertainty and change have been the most influential factors as the portfolio has developed. On balance across the three areas of efficiency evidence we consider that Highways England has more work to do to support the additional reported efficiency against the KPI. Over the next year we will work with the company to: (a) understand how it can improve assurance of its renewals unit cost evidence; and (b) provide further evidence of how scope change of major schemes has impacted the forecast outturn.
## Cost And Schedule Performance Indicators Cost Performance Index
The cost performance index (CPI) is commonly used as a measure of earned value in the construction industry. It is a measure of the relationship between target and actual cost for work completed. Highways England has reported a CPI of 0.96 (0.99 in 2016-17), which indicates that overall, projects in construction are progressing slightly above target cost.
## Schedule Performance Index
The schedule performance index (SPI) is a similar measure of progress against the agreed schedule. It is a measure of the relationship between budgeted cost of work delivered and scheduled to be delivered. The company has reported a SPI of 1.01 (0.97 in 2016-17), which indicates that overall projects in construction are ahead of schedule.
## Input Price Effects
Highways England's funding for capital projects in 2017-18 included an additional 4% for forecast increases to the costs of the company's inputs, i.e. materials and labour costs. It has since commissioned work to provide a long-term inflation profile specific to the work contained in the RIS. The company used this to produce its own cost indices for actual year on year inflation in 2017-18 of 2.7% for enhancements and 3.2% for renewals. The degree to which Highways England has benefited from lower inflation than assumed in its funding will also depend on both the timing of contract renewal and approach to sharing inflation risk in its supplier contracts.
## Annex C: Network Investment Delivery
This annex describes Highways England's performance against its investment plan in 2017-18, including ring-fenced funds. It also considers risks to delivery in the remainder of the road period.
The RIS sets the outcomes, outputs and capital investments that Highways England must deliver over the first road period. The Investment Plan, part of the RIS, outlines a five-year capital funding package of £12.2bn for Highways England to invest in maintaining, renewing and improving the strategic road network. This includes:
- a programme of major improvement schemes,
of more than £7.8bn;
- a maintenance and renewals programme, of
approximately £3.7bn;
- a £675m programme of ring-fenced investment
funds; and
- investment associated with strategic studies.
We measure and report on Highways England's performance against the network investment required by the investment plan.
## Delivery Of Major Improvement Schemes In 2017-18
Highways England's progress in delivery of its capital programme during 2017-18 is shown in table C1. The company has started construction on all seven schemes that were planned to start during the year. It also started construction of one further scheme brought forward from 2019-20 commitments (M49 Avonmouth junction). Highways England opened eight schemes to traffic against a target of nine during 2017-18. Of these, seven were on schedule, and one, the A1 Leeming to Barton scheme, opened three quarters behind schedule in March 2018. This was mainly due to extensive archaeological finds that resulted in an extension to the construction programme. The M60 junction 8 to M62 junction 20 smart motorway, which was expected to open in 2017 18, is delayed by 10 months due to additional work required on the existing assets. Part of this scheme (junctions 18 to 20) opened for traffic in December 2017, and it is forecast to be fully open in July 2018. The two schemes that were delayed from 2016-17 - the A30 Temple to Higher Carblake and the A21 Tonbridge to Pembury - opened for traffic in quarter 2 of 2017-18.
| 2017-18 commitments | Committed date | Actual date |
|-------------------------------------|----------------------|--------------------|
| Major schemes starting construction | | |
| M20 junction 10a | 2017-18, Q4 | 2017-18, Q4 |
| M6 junctions 2-4 | 2017-18, Q4 | 2017-18, Q4 |
| M6 junctions 13-15 | 2017-18, Q4 | 2017-18, Q4 |
| M20 junctions 3-5 | 2017-18, Q4 | 2017-18, Q4 |
| M23 junctions 8-10 | 2017-18, Q4 | 2017-18, Q4 |
| M62 junctions 10-12 | 2017-18, Q4 | 2017-18, Q4 |
| M4 Heathrow slip road | 2017-18, Q2 | 2017-18, Q2 |
| M49 Avonmouth junction | 2019-20 | |
| 2017-18, Q3 | | |
| Ahead of schedule | | |
| Major schemes opened for traffic | | |
| | | |
| A1 Leeming to Barton | 2017-18, Q1 | 2017-18, Q4 |
| A5-M1 link road | 2017-18, Q1 | 2017-18, Q1 |
| M3 junctions 2-4A | 2017-18, Q1 | 2017-18, Q1 |
| A43 Abthorpe junction | 2017-18, Q1 | 2017-18, Q1 |
| M60 junction 8 to M62 junction 20: | | |
| smart motorway | | |
| 2017-18, Q2 | Forecast 2018-19, Q2 | |
| M5 junctions 4A-6 | 2017-18, Q2 | |
| 2017-18, Q1 | | |
| Ahead of schedule | | |
| M1 junction 45 improvements | 2017-18, Q4 | 2017-18, Q4 |
| A47 Acle Straight | 2017-18, Q4 | 2017-18, Q4 |
| M4 Heathrow slip road | 2017-18, Q4 | 2017-18, Q4 |
| A30 Temple to Carblake | 2016-17, Q3 | opened 2017-18, Q2 |
| A21 Tonbridge to Pembury | 2016-17, Q4 | opened 2017-18, Q2 |
## Key
- Milestone on schedule or ahead of schedule - Milestone one quarter behind schedule - Milestone more than one quarter behind schedule, or year's commitment missed
Highways England's expenditure against its budget for major schemes in construction stages in 2017-18 is shown in table C2. This shows a overspend of £89.9m for schemes under construction which partly reflects acceleration of major project schemes.
| Scheme stage | Budget | Outturn costs |
|--------------------|-----------|------------------|
| (end of 2017-18) | 2017-18 | 2017-18 |
| Under construction | £775.4m | £865.3m |
| Open for traffic | | |
| | | |
| £133.6m | £139.8m | £6.3m |
During 2017-18, Highways England has made progress in developing schemes prior to construction. The company has progressed 37 schemes from options into development. By the end of March 2018, there were 18 schemes under construction, and 22 open for traffic. In the first three years of this road period Highways England has started construction of 24 schemes, compared to its plans to start 17. Figure C1 shows progress of major schemes in the first three years of this road period.
Variance
% over / (under)
## Delivery Of Major Improvement Schemes In The Rest Of The Road Period
The company has reviewed how it will deliver its capital investment during the remainder of the road period. It has improved its scheduling of major schemes, with a particular focus on their scope, value for money and impact on road user experience. Highways England refers to this work as optimisation of the portfolio. For example, it has considered the best way of scheduling major schemes which impact on the same routes or geographical locations to reduce customer disruption ('road corridors'). As a result, some major improvement schemes are being considered for delivery in the next road period, while other schemes have been brought forward within this road period. Further changes were introduced for other reasons - for example as an outcome of public consultations and schemes' options appraisals. One scheme - the A27 Chichester bypass - was cancelled as there was no clear consensus on the preferred option. Highways England has agreed the changes to its commitments to the RIS and delivery plan through the Department for Transport's formal change control process21. Table C3 summarises the changes to the major improvements programme agreed during 2017-18.
| Schedule impact | Number of schemes |
|--------------------------------------------------------|----------------------|
| Schemes to be reconsidered as options for delivery | |
| in the next road period | |
| 6 schemes that do not currently demonstrate value | |
| for money | |
| Scheduled to start earlier than originally planned | |
| (within road period 1) | |
| | |
| Start of works deferred from road period 1 to road | |
| period 2 | |
| Scheme to start works in a later year in road period 1 | A63 Castle Street |
| Cancelled | A27 Chichester |
For the remainder of the schemes, Highways England reports that two which were planned to start during the road period are delayed. The A5036 Princess Way - access to port of Liverpool is delayed following legal challenge on the options presented during consultation. The A358 Taunton to Southfields is delayed due to further analysis of the public consultation responses. For those schemes planned to open for traffic in the remainder of the road period, all are reported to be on schedule.
10 road corridor schemes M1 junctions 24-25 M62 junctions 10-12 M62 junctions 20-25 M11 junctions 7a 15 road corridor schemes M54 to M6 / M6 Toll, A38 Derby junctions A303 Amesbury to Berwick Down A428 Black Cat to Caxton Gibbet M5 Bridgwater junctions
| | Progress | No. |
|------------------------------------------------------|-------------|--------|
| plan commitments | | |
| (2015-20) | | |
| 16 started construction prior to road period 1 | | |
| Started | 40 | |
| 24 started in the first three years of road period 1 | | |
| | | |
| 6 schemes deferred that do not currently | | |
| demonstrate value for money | | |
| Changed | 27 | |
| 1 scheme cancelled | | |
| 112 | | |
| 20 deferred from road period 1 to road period 2 | | |
As planned
On
schedule
43
A5036 Princess Way - access to Port of Liverpool
Delayed
2
A358 Taunton to Southfields
Opened
22
22 opened for traffic in the first three years of the road period
As planned
33
On
schedule
10
| Delayed |
|--------------------------------------------------|
| M60 junction 8 to M62 junction 20 smart motorway |
| (delayed from 2017-18) |
| |
## Key
- Milestone on schedule or ahead of schedule
- Milestone more than one quarter
- Milestone at risk, subject to change or one
behind schedule
quarter behind schedule
- Milestones changed
In December 2017, the company provided us the details of its revised baseline plans which reflect the changes made to schemes through its optimised programme for major improvement schemes. RIS1 funding released by the optimisation process has been retained to offset funding pressures elsewhere in the portfolio. We have assessed the company's evidence on the deliverability and affordability of its capital delivery plan in road period 1 and the impact on the next road period. The delivery of the RIS1 major improvements programme represents a significant component of Highways England's capital plan. Our review highlighted that:
- The company has strengthened its capital portfolio
management capability and, as a result, now has better information about scheme timings, costs and risks. This should support improved planning and delivery in the long-term;
- The majority of major schemes completed to
date have cost more than the original funding assumptions;
- The RIS1 major improvements programme was
immature (in life cycle development terms) at its starting point, with consequential delivery and cost risk emerging since, so plans have inevitably changed. Highways England now expects to start 85 schemes in the first road period, down from 112 originally planned;
- The company's forecast total costs for its RIS1
major schemes is now £2.9bn higher in road period 1 and road period 2 than originally assumed. This partly reflects immature scheme estimates when RIS1 funding was set; and
- Highways England forecasts capital costs that are
£438m higher than its funding in the road period. It is taking action to manage costs, but there is risk that some work will need to be deferred to the next road period and / or additional funding used in road period 1 (for example through its ability to bring funds forward from the next road period).
## Maintenance And Renewals
Highways England has maintained the condition of the strategic road network in 2017-18. The condition of its carriageway asset has improved and is above target for the first time during road period 1, whilst the condition of other asset types is broadly stable. Data inventory, for those asset types reported, has generally improved during the year.
## Asset Management
Highways England has recognised that it can adopt a more structured approach to asset management to improve its maintenance and renewals planning and delivery. The company has set out plans for improvement which will support better maintenance and renewal of the network in this road period, and beyond. Highways England has put in place an action plan to address the recommendations made in our in-depth review of asset management delivery for pavement (road) and structures. We met with the company during 2017-18 to review its plans and will monitor implementation of them. We completed an in-depth review into Highways England's management of geotechnical and drainage assets in June 2018. The review focused on understanding whether Highways England was managing these assets safely and efficiently in the long term.
The review found that Highways England is improving how it manages its assets. It identified that the company has robust, standards-led systems and processes, which drive asset interventions that are safe, add value, and are in keeping with the conditions of its licence. The review identified good practice in its management of geotechnical assets, where the availability of data supports effective long term and risk-based decision making. However, the condition of drainage assets can change more rapidly, for example as a result of blockages. This, coupled with limited availability of subsurface asset condition data, limits the extent to which Highways England can carry out works before the asset fails. This is common for similar infrastructure asset organisations. Highways England's approach to bringing more asset capability in-house will help simplify and strengthen the control Highways England has on the decision making process, and will continue to support the positive trend in asset management capability. We will work with the company in 2018-19 to understand how it is responding to the recommendations made in the in-depth review. Whilst Highways England's plans to improve its maintenance and renewals planning and delivery are comprehensive, it is likely that many of them will not be implemented until late RIS1 or early RIS2. Until those plans are realised we will work with the company to identify short-term improvements to a number of areas affecting maintenance and renewals.
## Delivery Of Maintenance And Renewals Against Plan
In 2017-18, Highways England delivered greater renewal volumes than it planned at the start of the year for the majority of asset types. This is shown in table C5.
| 2017-18 Commitments | Planned |
|---------------------------------------|------------|
| volume | |
| Actual | |
| volume | |
| Output | |
| variance | |
| Renewal of roads | |
| - pavement | |
| Pavement (lane kilometres) | |
| | |
| 1,600 | 2,520 |
| Kerbs (kilometres) | |
| | |
| 1.3 | 21.2 |
| Geotechnical (kilometres) | |
| | |
| 5.7 | 20.3 |
| Boundary fencing (kilometres) | |
| | |
| 33.9 | 77.1 |
| Drainage (kilometres) | |
| | |
| 141 | 320.6 |
| Renewal of roads | |
| Guardrail (kilometres) | |
| | |
| 0.8 | 1.3 |
| Vehicle restraint system (kilometres) | |
| | |
| 92.9 | 139.6 |
| Road markings (kilometres) | |
| | |
| 2,966 | 4289 |
| Lighting (number) | |
| | |
| 1,500 | 1,327 |
| Traffic Signs (number) | |
| | |
| 2,000 | 1,700 |
| Bridge joint (number) | |
| | |
| 153 | 499 |
| Bridge bearing (number) | |
| | |
| 110 | 186 |
| Renewal of | |
| structures | |
| Parapet (kilometres) | |
| | |
| 1.9 | 2.9 |
| Waterproofing (square metres) | |
| | |
| 29,400 | 38,397 |
| Motorway communication equipment | |
| (number) | |
| | |
| 190 | 717 |
| Renewals and improvements | |
| (number) | |
| | |
| 160 | 370 |
| Renewal of | |
| technology | |
| Winter resilience (number) | |
| | |
| 37 | 71 |
| Network resilience (number) | |
| | |
| 32 | 24 |
Figure C2 shows the volume of renewals delivered compared to plan in the first three years of the road period for selected asset types. The size of the variances suggests that the company can improve its asset plans, and therefore how it prioritises interventions across the network. In-year forecasting of renewals outputs also shows considerable variability across all asset types.
Highways England has delivered more than 25% of renewals during quarter four for nearly all assets (16 out of 18), with half of all asset types having more than 50% delivered in quarter four. The proportion of renewals delivered in the last three months of the year, particularly during the disruptive weather in February and March 2018, is likely to impact the quality and efficiency of work. The quarterly output of renewals for selected asset categories is shown in figure C3.
22 Figure C2 reports a subset of renewals volumes
In 2017-18, Highways England delivered a higher proportion (39%) of pavement renewals in quarter four than in any other quarter. This is lower than the proportion it delivered in the fourth quarter of 2016-17 (55%). It is not clear whether this is a result of improved planning or due to the disruptive weather in the final quarter of 2017-18.
## Maintenance And Renewals Expenditure
In 2017-18, Highways England spread its expenditure on maintenance and renewals more evenly throughout the year than in than previous years (as shown in figure B6). The profile of renewals expenditure has improved marginally, with a lower proportion of expenditure in the winter than seen in previous years. Highways England could do more to ensure expenditure follows a flatter profile (as budgeted), which should contribute to improved efficiency in future years. As set out in annex B, renewals expenditure was lower than budgeted in 2017-18. We have established a review group with the company which will meet quarterly to discuss progress against its plans to improve the planning and reporting of renewals delivery.
## Ring-Fenced Funds
Delivery of projects through ring-fenced funds is covered in chapter 2, and also in our in-depth review of ring fenced funds, which was published in July 201824. Figure C5, below, provides an update on each fund at the end of 2017-18.
## All Environment
pedestrians and cyclists.
## Innovation Value In Ris1: £120M
- 13 safety projects introduced
this year.
| - 22 infrastructure projects | |
|---------------------------------|--------------------------------|
| identified. | |
| | |
| | - 14 new data and information |
| projects. | |
| | - 19 projects covering new and |
| emerging technologies. | |
- 14 projects identified
to support sustainable operation.
## Air Quality
monitoring stations.
## Cycling, Safety And Integration
schemes, and construction completed on 61 schemes and construction completed completed on 34 schemes and construction completed on 17
## Growth And Housing Value In Ris1: £80M
- 24 schemes have completed
appraisal and been approved.
- Two schemes completed
and open to traffic: the M5 J29/A30 link road, and A1 Darlington.
- Four further schemes in
construction.
- Majority of funds now
committed, with further projects in the pipeline.
## Annex D: Note On Revisions To Previously Reported Data
During 2017-18, Highways England has worked with ORR and DfT to agree changes to how it reports data against some of its performance indicators and key performance indicators. This has resulted in revisions to some performance data which were previously reported in 2015-16 and 2016-17. This affects two key performance indicators, covering noise and vulnerable user crossings, and one performance indicator, covering spend on small and medium-sized enterprises (SMEs). All performance data presented in this report uses the revised data, where available. Further details are set out below.
| Year | Noise important areas mitigated |
|---------------------------------|------------------------------------|
| (previously reported) | |
| Noise important areas mitigated | |
| (revised figures) | |
| | |
| 2015-16 | 48 |
| 2016-17 | 73 |
##
Noise important areas. In 2015-16 and 2016-17 Highways England reported a noise important area as mitigated only if all practical methods to mitigate noise had been completed. For example, where it was practical to provide a barrier and undertake resurfacing, both measures were required to be installed before the noise important area was counted as mitigated. Highways England has subsequently agreed with ORR, DfT and other stakeholders, that it is appropriate to claim a noise important area as mitigated if it has delivered one appropriate intervention measure (i.e. insulation or barrier or resurfacing). This has caused the number of noise important areas reported as mitigated in 2015-16 and 2016-17 to increase. The difference between the figures reported previously, and those in this report as set out below.
Vulnerable user crossings. In 2015-16, Highways England reported the number of crossings it had delivered on the network in such a way that a single crossing was counted multiple times (to represent different user types). For example, one crossing would have been counted as two if it was suitable for pedestrians and equestrians. In 2016-17, the company changed its methodology so that a crossing
| Year | Number of vulnerable user crossings |
|-------------------------------------|----------------------------------------|
| (previously reported) | |
| Number of vulnerable user crossings | |
| (revised figures)) | |
| | |
| 2015-16 | 39 new, 165 upgraded |
| | |
| 2016-17 | 20 new, 7 upgraded |
| | |
Spend on small and medium-sized enterprises (SMEs). When calculating the proportion of its expenditure on SMEs, Highways England has historically used an assumption of 10% to apply to its private finance initiative (PFI) contracts. However, following an internal review by the company, it has concluded that there is insufficient evidence to support this assumption. Therefore, it has agreed
| Year | % of spend on SMEs |
|-----------------------|-----------------------|
| (previously reported) | |
| % of spend on SMEs | |
| (provisional figures) | |
| | |
| 2015-16 | 26.5% |
| 2016-17 | 25.5% |
is only counted once, irrespective of the number of user types that can use it. ORR and DfT have agreed with Highways England that the latter method is the most appropriate for reporting performance. This will result in a reduction in the number of crossings reported as completed in 2015-16. Highways England is currently validating the revised figure for 2015-16, which we will report in our next annual assessment. with DfT and ORR to remove PFI contracts from its calculation of the proportion of spend on SMEs. This has increased the historically reported figure for SME spend in 2015-16 and 2016-17. The table below sets out the previously reported, and revised data. These figures should be treated as provisional, as work is ongoing to agree the revised methodology. Government has a target of 25% direct and indirect spend on SMEs.
| en |
1228-pdf | and NI. To do this we plan and carryout audit programmes in each country. The official controls audited cover a diverse range of activities from primary production on farms, eggs, dairy, slaughterhouses, cutting plants, animal feed, shellfish and fishery products, through to the retail sector such as supermarkets, butchers, restaurants. The official controls system is operated by food and feed enforcement officers from competent authorities including, local authority, port health authority, the FSA itself, either directly or through contracts or service level agreements with other organisations such as the Department of Agriculture, Environment and Rural Affairs (DAERA) in Northern Ireland.
## Audit Reports
We have carried out a number of focused audits which look at specific aspects of local authority enforcement work.
Local authority audits - 2011-2017
Borough and District Council audits - 2011-2015 Local authority audits - 2010-2017
## Audit Documents Northern Ireland
View Audit Manual, Auditing Official Control Delivery Systems NI as PDF (372.06 KB)
| en |
2476-pdf | # The English Indices Of Deprivation 2015 Technical Report
September 2015
Authors: Tom Smith, Michael Noble, Stefan Noble, Gemma Wright, David McLennan and Emma Plunkett
© Crown copyright, 2015
Copyright in the typographical arrangement rests with the Crown.
You may re-use this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence,http://www.nationalarchives.gov.uk/doc/opengovernment-licence/version/3/ or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: [email protected]. This document/publication is also available on our website at www.gov.uk/dclg If you have any enquiries regarding this document/publication, complete the form at http://forms.communities.gov.uk/ or write to us at: Department for Communities and Local Government Fry Building 2 Marsham Street London SW1P 4DF
Telephone: 030 3444 0000 For all our latest news and updates follow us on Twitter: https://twitter.com/CommunitiesUK
September 2015 ISBN: 978-1-4098-4689-5
## Contents
| Contents | 3 |
|-----------------------------------------------------------------------|-----|
| | |
| Preface | 6 |
| | |
| Acknowledgements | 7 |
| | |
| Chapter 1. | |
| | |
| Introduction | 8 |
| | |
| 1.1 | |
| | |
| Introduction | 8 |
| | |
| 1.2 | |
| | |
| Overview of the Indices of Deprivation 2015 | 8 |
| | |
| 1.3 | |
| | |
| Research leading up to publication of the Indices of Deprivation 2015 | 9 |
| | |
| 1.4 | |
| | |
| About this Technical Report | 9 |
| | |
## Chapter 2. Measuring Deprivation At The Small Area Level: The Conceptual
| framework | 11 |
|---------------------------------------------------------------------------------------|------|
| | |
| 2.1 | |
| | |
| Overview | 11 |
| | |
| 2.2 | |
| | |
| Poverty, deprivation and multiple deprivation | 11 |
| | |
| 2.3 | |
| | |
| Dimensions of deprivation | 12 |
| | |
| 2.4 | |
| | |
| Combining dimensions of deprivation into a multiple deprivation measure | 12 |
| | |
| 2.5 | |
| | |
| An area-based model of multiple deprivation | 13 |
| | |
| Chapter 3. | |
| | |
| Methods | 14 |
| | |
| 3.1 | |
| | |
| Overview of the methodology used to construct the Indices of Deprivation 2015 | 14 |
| | |
| 3.2 | |
| | |
| Stage 1: Domains of deprivation are clearly identified | 16 |
| | |
| 3.3 | |
| | |
| Stage 2: Indicators are chosen which provide the best possible measure of each | |
| domain of deprivation | 16 |
| | |
| 3.4 | |
| | |
| Stage 3: 'Shrinkage estimation' is used to improve reliability of the small area data | 20 |
| | |
| 3.5 | |
| | |
| Stage 4: Indicators are combined to form the domains, generating separate domain | |
| scores | 21 |
| | |
| 3.6 | |
| | |
| Stage 5: Domain scores are ranked and the domain ranks transformed to a | |
| specified exponential distribution | 22 |
| | |
| 3.7 | |
| | |
| Stage 6: The exponentially transformed domain scores are combined using | |
| appropriate domain weights to form an overall Index of Multiple Deprivation | 23 |
| | |
| 3.8 | |
| | |
| Stage 7: The overall Index of Multiple Deprivation and domains are summarised for | |
| larger areas such as local authority districts | 24 |
| | |
| 3.9 | |
| | |
| Summary of the domains, indicators and methods used to construct the Indices of | |
| Deprivation 2015 | 27 |
| | |
Chapter 4.
The domains and indicators
29
4.1
Introduction
29
4.2
Domains
29
4.3
Income Deprivation Domain
29
4.4
Employment Deprivation Domain
33
4.5
Education, Skills and Training Deprivation Domain
35
4.6
Health Deprivation and Disability Domain
40
4.7
Crime Domain
44
4.8
Barriers to Housing and Services Domain
46
4.9
Living Environment Deprivation Domain
51
Chapter 5.
Ensuring reliability of the Indices of Deprivation
56
5.1
Overview of quality assurance
56
5.2
Designing the Indices to ensure quality
56
5.3
How we have ensured quality of the Indices
57
Appendix A.
Indicator details and data sources
62
Appendix B.
Denominators
67
Appendix C.
Changes since the Indices of Deprivation 2010
69
Appendix D.
The shrinkage technique
75
Appendix E.
Factor analysis
79
Appendix F.
Exponential transformation
80
Appendix G.
Weighting the domains
83
Appendix H.
Categories of recorded crime
85
Appendix I.
Housing Market Area geography
87
Appendix J.
Quality assurance of the Indices of Deprivation 2015
89
Appendix K.
Quality Assurance overview for data suppliers
97
Appendix L.
Quality assurance documents for input data sources
100
Appendix M.
Issues and potential indicators explored
107
Appendix N.
History of the Indices of Deprivation
119
Appendix O.
What data has been published?
121
Appendix P.
Worked examples of the higher-level summary measures
123
## Preface
The English Indices of Deprivation are an important tool for identifying the most deprived areas in England. Local policy makers and communities can also use this tool for the effective targeting of resources. The English Indices of Deprivation 2015 is the fifth release in a series of statistics produced to measure multiple forms of deprivation at the small spatial scale. Following engagement with users and a significant programme of work by the research team, the Indices of Deprivation 2015 retain broadly the same methodology, domains and indicators as the earlier Indices of Deprivation 2010, 2007, 2004 and 2000. This report outlines the theory underpinning the model of multiple deprivation, the methods that were used, and describes the domains and indicators that make up the Indices of Deprivation 2015. A small number of changes to the indicators have been made, for example due to better availability of data, which are described in this report. In addition to the technical details presented in this report, the Statistical Release produced by the Department of Communities and Local Government (DCLG) contains information on how to use and interpret the Indices, and there is further detail in the Research Report. DCLG has also produced short, accessible guidance and responses to frequently asked questions. All of the supporting documents and datasets for the Indices of Deprivation 2015 are available from: www.gov.uk/government/statistics/english-indices-of-deprivation-2015
The data has also been loaded into the DCLG's Open Data Communities platform1 and made available on the Neighbourhood Statistics website2.
## Acknowledgements
The English Indices of Deprivation 2015 were constructed by Oxford Consultants for Social Inclusion (OCSI). The research team comprised: Tom Smith, Michael Noble, Stefan Noble, Gemma Wright, David McLennan and Emma Plunkett. In addition, some indicators from the Health Deprivation and Disability Domain were constructed by Karen Bloor, Nils Gutacker and Richard Cookson at the University of York; the air quality indicator by Jon Fairburn at Staffordshire University; the housing affordability indicator by Glen Bramley at Heriot-Watt University; and the housing condition indicator by the Building Research Establishment.
Chris Dibben at the University of Edinburgh acted as statistics and methodology advisor, external quality assurance was carried out by Alex Sutherland at Cambridge University, and geographic information system work was undertaken by David Avenell. Julia Griggs and Kirby Swales at the National Centre for Social Research carried out the user survey and engagement. Additional support at Oxford Consultants for Social Inclusion was provided by Sophie Hale, Dan Kidby and Paul Shanks. The research team would also like to thank the Strategic Statistics Division and the Project Board within the Department for Communities and Local Government, the project Advisory Group, and all the suppliers of data. We would like to thank all those who assisted in the production of the Indices of Deprivation 2015, in particular all those who responded to the survey of users, the consultation and/or attended user events.
## Chapter 1. Introduction 1.1 Introduction
1.1.1
The Department for Communities and Local Government commissioned Oxford Consultants for Social Inclusion (OCSI) to review and update the English Indices of Deprivation 2010. The project remit was to:
review the indicators included in the Indices of Deprivation 2010 to determine if
they remain fit for purpose, and where there is a clear rationale for doing so, identify potential changes to the basket of indicators in each domain;
assess the current data landscape, identify changes to (or outdatedness of)
previously used sources, as well as any new sources;
review whether the statistical methods used in the production of the Indices of
Deprivation 2010 are still justified and assess if alternative methods are available and the strengths and weaknesses of any such alternatives;
produce the updated Indices of Deprivation 2015.
1.1.2
Following engagement with users and a significant programme of work by the research team, the Indices of Deprivation 2015 have been produced using the same approach, structure and methodology used to create the previous Indices of Deprivation 2010. Changes to existing domains and sub-domains were outside the scope of the update, although there have been a modest number of changes to the basket of indicators used in the domains.
1.1.3
Feedback from users was supportive of the decision not to make major changes to the Indices. Maintaining comparability with previous versions of the Indices is important to them. The updated Indices continue to be based on the Lower-layer Super Output Area geography, although the updated Indices use the new 2011 version of the Lower-layer Super Output Area geography.
## 1.2 Overview Of The Indices Of Deprivation 2015
1.2.1
The Indices of Deprivation 2015 provide a set of relative measures of deprivation for small areas (Lower-layer Super Output Areas) across England, based on seven different domains of deprivation:
Income Deprivation Employment Deprivation Education, Skills and Training Deprivation Health Deprivation and Disability Crime Barriers to Housing and Services Living Environment Deprivation
1.2.2
Each of these domains is based on a basket of indicators. As far as is possible, each indicator is based on data from the most recent time point available; in practice most indicators in the Indices of Deprivation 2015 relate to the tax year 2012/13.
1.2.3
The Index of Multiple Deprivation 2015 combines information from the seven domains to produce an overall relative measure of deprivation. The domains are
combined according to their respective weights as described in section 3.7. In addition, there are seven domain-level indices, and two supplementary indices: the Income Deprivation Affecting Children Index and the Income Deprivation Affecting Older People Index.
1.2.4
A range of summary measures are available for higher-level geographies including local authority districts and upper tier local authorities, local enterprise partnerships, and clinical commissioning groups. These summary measures are produced for the overall Index of Multiple Deprivation, each of the seven domains and the supplementary indices.
1.2.5
The Index of Multiple Deprivation 2015, domain indices and the supplementary indices, together with the higher area summaries, are collectively referred to as the Indices of Deprivation 2015.
## 1.3 Research Leading Up To Publication Of The Indices Of Deprivation 2015
1.3.1
The development of the Indices of Deprivation follows extensive exploration of data sources, review of methodology and testing and quality assurance of data sources and indicators. The development also takes into account the range of views gathered prior to and during the earlier phases of this project, including:
feedback from users gathered during a session on the Indices at the DCLG
Statistics User Engagement Day in November 2013
the views of the Government Statistical Service Methodology Advisory
Committee on a paper on methodology and indicators presented in November
20133
responses from almost 250 users to a survey which took place in July 2014 the views of the department's Project Board and its Advisory Group, comprising
representatives from central and local government and other interest groups, including the voluntary and community sector
feedback from users on dissemination and outputs gathered during three user
events held in November 2014
100 responses to the consultation which took place in November and December
2014.
## 1.4 About This Technical Report
1.4.1
This report presents the conceptual framework of the Indices of Deprivation 2015; the methodology for creating the domains and the overall Index of Multiple Deprivation; the component indicators and domains and the quality assurance carried out to ensure reliability of the data outputs.
1.4.2
The main findings from the Indices of Deprivation are presented in the DCLG
Statistical Release4, and an accompanying research report5 gives a fuller account
with examples of how to use the Indices.
1.4.3
Improvements to the reports have been made in response to demand from users. The majority of users reported finding the Indices easy to use and interpret in the user survey. But there was demand for short and clearer guidance on how to use the Indices and for support in communicating this to others, particularly nonspecialists.
1.4.4
All project outputs are available to download from www.gov.uk/government/statistics/english-indices-of-deprivation-2015
## Chapter 2. Measuring Deprivation At The Small Area Level: The Conceptual Framework 2.1 Overview
2.1.1
The Index of Multiple Deprivation 2015 is a measure of multiple deprivation at the small area level. The model of multiple deprivation which underpins the Index is the
same as that which underpinned its predecessors6 and is based on the idea of
distinct dimensions of deprivation which can be recognised and measured separately.
2.1.2
These dimensions (or domains) of deprivation are experienced by individuals living in an area. The overall Index of Multiple Deprivation is a measure of multiple deprivation based on combining together these specific dimensions of deprivation.
## 2.2 Poverty, Deprivation And Multiple Deprivation
2.2.1
In his 1979 account of *Poverty in the United Kingdom* Townsend sets out the case for defining poverty in relative terms: 'Individuals, families and groups can be said to be in poverty if they lack the resources to obtain the types of diet, participate in the activities and have the living conditions and amenities which are customary, or
at least widely encouraged or approved in the societies to which they belong'7.
Townsend further argues that 'people can be said to be *deprived* if they lack the types of diet, clothing, housing, household facilities and fuel and environmental, educational, working and social conditions, activities and facilities which are
customary …'8
2.2.2
Though 'poverty' and 'deprivation' have often been used interchangeably, many
have argued that a clear distinction should be made between them9. People are in
poverty if they lack the financial resources to meet their needs, whereas people
can be regarded as *deprived* due to a lack of resources of all kinds, not just income. The Index of Multiple Deprivation framework follows Townsend, in defining
wal/deprivation/deprivation07/; Noble et al. (2004)
deprivation in a broad way to encompass a wide range of aspects of an individual's living conditions.
2.2.3
Townsend also lays down the foundation for articulating multiple deprivation as an accumulation of several types of deprivation. This formulation of multiple
deprivation is the starting point for the model of small area deprivation which is presented here.
## 2.3 Dimensions Of Deprivation
2.3.1
The approach allows the separate measurement of different dimensions of deprivation. Seven main types of deprivation are considered in the Index of Multiple Deprivation 2015 - income, employment, education, health, crime, access to housing and services, and living environment - and these are combined to form
the overall measure of multiple deprivation.
2.3.2
There is a question as to whether low income or the lack of socially perceived necessities (for example adequate diet, consumer durables, ability to afford social
activities etc) should be one of the dimensions10. To follow Townsend, within a
multiple deprivation measure only the types of deprivation resulting from a low income would be included. So low income itself would not be a component, but lack of socially perceived necessities would. However, there is no readily available small area data on the lack of socially perceived necessities, and therefore low income is an important proxy for these aspects of material deprivation.
2.3.3
Despite recognising income deprivation in its own right, it should not be the only measure of area deprivation. Other dimensions of deprivation contribute crucial further information about an area. However, low income remains a central component of the definition of multiple deprivation used here. As Townsend writes 'while people experiencing some forms of deprivation may not all have low income, people experiencing multiple or single but very severe forms of deprivation are in almost every instance likely to have very little income and little or no other
resources'11.
## 2.4 Combining Dimensions Of Deprivation Into A Multiple Deprivation Measure
2.4.1
Measuring different aspects of deprivation and combining these into an overall multiple deprivation measure raises a number of questions. Perhaps the most important one is the extent to which area deprivation in one dimension can be cancelled out by lack of deprivation in another dimension. Thus if an area is found to have high levels of income deprivation but relatively low levels of education deprivation, should the latter cancel out the former and if so to what extent? The Index of Multiple Deprivation 2015 is essentially based on a weighted cumulative
model and the methodology is designed to ensure that cancellation effects are minimised12.
2.4.2
Another question concerns the extent to which the same people or households are represented in more than one of the dimensions of deprivation. The position taken
in the Index of Multiple Deprivation 2015 is that if an individual, family or area experiences more than one form of deprivation this is 'worse' than experiencing only one form of deprivation. The aim is not to eliminate double counting between domains - indeed it is desirable and appropriate to measure situations where deprivation occurs on more than one dimension.
2.4.3
On the other hand, it is desirable to eliminate double counting of people or households *within* domains. So for example, the Income Deprivation and Employment Deprivation domains, and the Adult Skills sub-domain, are
constructed from non-overlapping counts of people experiencing such deprivation. However in practice, it is not always possible to avoid double counting in the indicators within domains.
## 2.5 An Area-Based Model Of Multiple Deprivation
2.5.1
The model of multiple deprivation is based on the idea of separate dimensions of deprivation which can be recognised and measured separately. These are experienced by individuals living in an area, and an area-level measure of deprivation for each of the dimensions (or domains) can in principle be measured.
2.5.2
An area can be characterised as deprived *relative to other areas* on a particular dimension of deprivation, on the basis that a higher proportion of people in the area are experiencing the type of deprivation in question. In other words, the experience of the people in an area gives the area its deprivation characteristics.
2.5.3
The area itself is not deprived, though the presence of a concentration of people experiencing deprivation in an area may give rise to a compounding deprivation effect, but this is still measured by reference to those individuals. Having attributed the aggregate of individual experience of deprivation to the area, it is possible to say that an area is deprived in that particular dimension.
2.5.4
Having measured specific dimensions of deprivation, these can be understood as separate domains of multiple deprivation. The overall Index of Multiple Deprivation is constructed by combining together these specific dimensions to produce an area-level measure of multiple deprivation. As with the individual dimensions of deprivation, an area can be characterised as deprived relative to other areas, but is not in itself deprived.
2.5.5
The following chapters outline how the Indices of Deprivation 2015 and Index of Multiple Deprivation 2015 have been designed and developed based on the conceptual model of multiple deprivation outlined in this chapter.
## Chapter 3. Methods 3.1 Overview Of The Methodology Used To Construct The Indices Of Deprivation 2015
3.1.1
The construction of the Indices of Deprivation 201513, including the Index of
Multiple Deprivation broadly consists of the following seven stages. As shown in Figure 3.1, these stages fulfil the purposes of defining the Indices, data processing, and producing the Index of Multiple Deprivation and summary measures. Each stage is described in the following sections. Figure 3.3 summarises how these stages are applied in producing each of the domain indices and the Index of
Multiple Deprivation.
1. Dimensions (referred to as domains) of deprivation are clearly identified. 2. Indicators are chosen which provide the best possible measure of each domain
of deprivation.
3. 'Shrinkage estimation' is used to improve reliability of the small area data14.
4. Indicators are combined to form the domains, generating separate domain
scores. These can be regarded as indices in their own right - the domain
indices15.
5. Domain scores are ranked and the domain ranks are transformed to a specified
exponential distribution16.
6. The exponentially transformed domain scores are combined using appropriate
domain weights to form an overall Index of Multiple Deprivation at small area
level17. This stage completes the construction of the Indices of Deprivation 2015
at Lower-layer Super Output Area level.
7. The overall Index of Multiple Deprivation, the domains and the supplementary
indices are summarised for higher level geographical areas such as local authority districts.
## Stage As A Subset Of Income Domain Scores. Robustness Of The Methods And Datasets
3.1.2
The methods used to construct the Indices of Deprivation 2015 have been carefully designed to ensure the robustness and reliability of the output datasets. Chapter 5
describes how the design of the Indices contributes to this, along with many other quality management actions and quality assurance checks.
3.1.3
As will be reiterated when considering the selection of indicators, the robustness of the index methodology is reinforced by the fact that a consistent and uniform methodology is applied across the country. The indices are a *relative* measure of multiple deprivation. The national comparisons that such a relative measure enables are only possible if the same methodology is consistently applied irrespective of local conditions or the local availability of data.
## Changes Since The Indices Of Deprivation 2010
3.1.4
Maintaining comparability with previous versions of the Indices is important to users. Scoping work undertaken for this project did not identify ways to improve the methodology, and feedback from users during the consultation stages of this project was supportive of the decision not to make major changes to the Indices. For these reasons, the methods used in developing the Indices of Deprivation 2015 update have remained consistent with those used in 2010.
3.1.5
Changes since the Indices of Deprivation 2010 are therefore mainly confined to updates to the data used to create the indicators, and a small number of new, modified and dropped indicators. These are outlined in Stage 2 below, and discussed in more detail in Chapter 4 and Appendix C under the appropriate domains.
## 3.2 Stage 1: Domains Of Deprivation Are Clearly Identified
3.2.1
The central idea of the Index of Multiple Deprivation is that deprivation is multidimensional and can be experienced in relation to a number of distinct domains. Multiple deprivation is measured at an area level by combining these domains. It is therefore important that each dimension of deprivation is clearly identified and reflects a particular aspect of deprivation.
3.2.2
The Indices of Deprivation 2015 are based on the same seven domains used in the previous 2010 and 2007 Indices:
Income Deprivation Employment Deprivation Education, Skills and Training Deprivation Health Deprivation and Disability Crime Barriers to Housing and Services Living Environment Deprivation.
3.2.3
Appendix N on the history of the indices gives a high level account of the changes to domains and component indicators since the inception of the indices in their current form with the Indices of Deprivation 2000.
## 3.3 Stage 2: Indicators Are Chosen Which Provide The Best Possible Measure Of Each Domain Of Deprivation Indicator Criteria
3.3.1
For each of the seven domains of deprivation, an assessment has been made about whether the indicators in the Indices of Deprivation 2010:
are still appropriate measures of deprivation for that domain can be updated can be strengthened, for example due to better available data.
3.3.2
In addition, the research team has conducted considerable work to explore whether there are possible new indicators which would improve the measure of deprivation captured by each domain. Appendix M contains information on indicators explored which were for the reasons indicated not considered suitable for inclusion in the current indices.
3.3.3
To be considered for inclusion, any new or modified indicators had to meet the same criteria as for the Indices of Deprivation 2010 and its predecessors. Indicators should:
be 'domain specific' and appropriate for the purpose (as far as possible, being
direct measures of that form of deprivation)
measure major features of that deprivation (not conditions just experienced by a
small number of people or areas)
be up-to-date and (as far as possible) updateable18
be statistically robust at the small area level
be available for the whole of England at a small area level in a consistent form In addition, to be considered for inclusion in the Indices of Deprivation 2015,
indicators had to have sufficiently robust data that was readily available to use in updating the Indices without significant extra work.
3.3.4
The aim for each domain was to include a parsimonious selection of indicators that comprehensively captured the deprivation for each domain, within the constraints of data availability and the criteria listed above.
## Indicators Used In The Indices Of Deprivation 2015
3.3.5
There are 37 indicators in total in the Indices of Deprivation 2015. Almost all of the indicators in the Indices of Deprivation 2010 have been updated with little or, at most, minor changes. In addition, there are a small number of new, modified or dropped indicators:
two new indicators have been included, based on improved availability of robust
data
four indicators have been modified, due to improved data or estimation methods four indicators have been dropped, as these are no longer available or
appropriate to include.
3.3.6
Appendix C provides details of the changes to the indicators the Indices of Deprivation 2010 occasioned by this update. This includes minor changes made to indicators, for example due to changes in available data.
3.3.7
Figure 3.2 summarises the updated, new and modified indicators for each of the domains. Details are given in the appropriate place in Chapter 4.
The percentages reported in each domain box show the weight the domain receives in the Index of Multiple Deprivation 2015. See Section 3.7 and Appendix G for a description of the domain weights.
## Data Time Point
3.3.8
As far as is possible, each indicator was based on data from the most recent time point available. Using the latest available data in this way means that there is not a single consistent time point for all indicators. However in practice most indicators in
the Indices of Deprivation 2015 relate to 2012/1319. For example, the most recent
finalised tax credit data available from HMRC at the time of construction of the Indices of Deprivation 2015 was for the 2012/13 tax year.
3.3.9
As with previous Indices, the Indices of Deprivation 2015 use Census data only when alternative data from administrative sources was not available. Four such indicators were derived from the 2011 Census: adult skill levels and English language proficiency in the Education, Skills and Training Deprivation Domain; household overcrowding in the Barriers to Housing and Services Domain; and
houses without central heating in the Living Environment Deprivation Domain.
3.3.10 As a result of the time points for which data was available, the indicators do not
take into account changes to policy since the time point of the data used. For example, the 2012/13 benefits data used do not include the impact of Universal Credit, which only began replacing certain income related benefits from April 2013.
## Geography And Spatial Scale
3.3.11 The Indices of Deprivation 2015 have been produced at Lower-layer Super Output
Area level, using the current (2011) Lower-layer Super Output Areas20.
3.3.12 Guidance is provided in the research report Appendix A on how to aggregate the
Lower-layer Super Output Area data to other geographies such as wards or bespoke local areas, as requested by a number of users.
3.3.13 Summary measures for the Index of Multiple Deprivation, domains and
supplementary Indices have been produced for the following higher-level geographies: local authority districts, upper tier local authorities, Local Enterprise Partnerships and Clinical Commissioning Groups.
## Denominators
3.3.14 Denominators are an integral and important component of almost all indicators
included in the Indices of Deprivation. For each indicator, the denominator seeks to measure the number of people (or households etc.) that are 'at-risk' of being defined as deprived, in other words that are at-risk of being included in the numerator. The denominator for each indicator is expressed on the same geographical scale as the numerator (for example Lower-layer Super Output Areas or local authority districts) and is usually measured for the same year as the numerator.
3.3.15 The majority of the indicators in the Indices of Deprivation are measured as
proportions or rates of the population that are deprived, and therefore use denominators based on population. To give a more accurate measure of the population 'at-risk' of being defined as deprived, these population-based denominators are calculated by taking the small area mid-year population
estimates from the Office for National Statistics, and removing prison populations (as provided by the Ministry of Justice). This step is undertaken because prisoners are typically not at-risk of being included in the numerator counts for the indicators. For example, individuals who are in prison are not eligible to claim means-tested out-of-work benefits.
3.3.16 Some of the indicators use denominators other than the resident population. For
example, some indicators draw denominators from within the same dataset as the
numerator (such as pupil attainment datasets); some are expressed as the proportion of households rather than people; and some incorporate special adjustments to better reflect the population at risk.
3.3.17 Details of the exact denominators that are used for each numerator are discussed
in the indicator descriptions in Chapter 4, and a full list given in Appendix A. A more detailed explanation of the denominators used can be found in Appendix B.
3.3.18 Population-based denominators as referred to in paragraph 3.3.15 are also
published, as they were for the Indices of Deprivation 2010. Denominators are unrounded except for those which include prison populations which have been rounded to the nearest three.
## 3.4 Stage 3: 'Shrinkage Estimation' Is Used To Improve Reliability Of The Small Area Data
3.4.1
Where a rate or other measure of deprivation for a small area is based on small numbers, the resulting estimate may be unreliable, with an unacceptably high standard error. The technique of shrinkage estimation is used to 'borrow strength' from larger areas to avoid creating unreliable small area data; the impact of shrinkage may be to move a Lower-layer Super Output Area's score towards more
deprivation or towards less deprivation.
3.4.2
Without shrinkage, some Lower-layer Super Output Areas would have scores which do not reliably describe the deprivation in the area due to chance fluctuations from year to year. Such scores occur most commonly where numbers are small at Lower-layer Super Output Area level and the event is thus relatively rare. This may be the case for the indicator as a whole or only for particular Lowerlayer Super Output Areas. In shrinkage estimation the score for a small area is estimated as a weighted combination of that small area's score and the mean value for a larger area from which the smaller areas within the larger area borrow strength.
3.4.3
As with previous Indices, the larger areas used for shrinkage in the Indices of Deprivation 2015 are local authority districts. The Lower-layer Super Output Areas within a single district share issues relating to local governance and possibly to economic sub-climates. To a certain extent, they may also share issues relating to labour market sub-climates. During the development of the indices, the possibility of using other large areas as the areas from which to borrow strength was explored. Appendix D provides a summary of this exploration and the conclusion
was to continue to use local authority districts as the larger areas for the shrinkage process.
3.4.4
In the Indices of Deprivation 2015 the shrinkage technique is applied to the majority of indicators. Those which are not subjected to shrinkage include the
modelled indicators, the road distance indicators and the indicators supplied at local authority district level. Specific information about the indicators to which shrinkage is applied is given in the indicator descriptions in Chapter 4. Further details about the shrinkage technique, including examples of the impact of shrinkage and work undertaken to explore alternatives to using local authority districts as the areas from which to 'borrow strength', are given in Appendix D.
## 3.5 Stage 4: Indicators Are Combined To Form The Domains, Generating Separate Domain Scores
3.5.1
For each domain of deprivation the aim is to obtain a single measure which is straightforward to interpret in that it is, if possible, expressed in meaningful units (for example the proportion of people or of households experiencing that form of deprivation). This was achieved in the Income and Employment Domains, but was not possible in the other five domains.
3.5.2
The Income Deprivation Domain and Employment Deprivation Domain are constructed as simple rates of the population at-risk. Separate indicators in these domains are constructed as non-overlapping counts, and are simply summed together to identify the total at-risk population for the domain.
3.5.3
In the other domains the indicators are on different metrics and therefore it is not possible to calculate a simple rate. The indicators are therefore standardised by ranking and transforming to a standard normal distribution based on their ranks, before combining with selected weights to form the domain score:
Maximum Likelihood factor analysis is used to determine what weight to give
each of these indicators when combining them. It does this by testing the extent
to which each of the indicators measure the underlying aspect of deprivation21.
In three domains - the Children and Young People sub-domain of the Education, Skills and Training Deprivation Domain, the Health Deprivation and Disability Domain, and the Crime Domain - factor analysis is used to generate appropriate weights for combining the standardised indicators into a single score per domain, or sub-domain. Factor analysis is described in Appendix E.
In the remaining domains, equal weights or weights based on a theoretical
premise have been applied.
In domains where there are sub-domains, this stage involves first combining the
indicators into sub-domain scores. The sub-domain scores are then ranked and transformed to an exponential distribution for the reasons given in Section 3.6 before being combined into their respective domain scores.
3.5.4
Details of the specific steps taken to arrive at the domain scores are given in the appropriate places in Chapter 4. This approach to combining the indicators into the domains replicates that taken in the Indices of Deprivation 2010 and earlier Indices.
3.5.5
The domain scores and ranked indices that are generated as a result of this stage, and the sub-domain scores *before* ranking and transforming to an exponential distribution, are published outputs (see Appendix O for details of the published data and spreadsheets). These domain indices can be used in the own right by users interested in particular dimensions of deprivation rather than the overall Index of Multiple Deprivation.
## 3.6 Stage 5: Domain Scores Are Ranked And The Domain Ranks Transformed To A Specified Exponential Distribution
3.6.1
When combining the domains to form an overall index, it is important that the scores of each domain are comparable and that the weighting of domains is not distorted by the fact that the domains may have very different distributions. It is also important to select a method of combination that does not result in deprivation on one domain being cancelled out by lack of deprivation on another domain. It is fundamental to the model of deprivation employed in the Indices that deprivations are cumulative.
3.6.2
In order to combine the domains, a number of steps are necessary. First the domain scores must be standardised, that is converted in such a way that they are measured on the same metric. Second, the standardised domain scores must be transformed to the same distribution. The different distributions would otherwise distort the impact of the explicit weights used in the final stage to combine the domains into the overall Index of Multiple Deprivation.
3.6.3
There are a number of different statistical techniques that can be employed to standardise and transform the domain scores to prepare them for combination. The
method which has been employed since the Indices of Deprivation 2000 - exponential transformation of the ranked domain score - was explicitly designed to reduce 'cancellation effects'. So, for example, high levels of deprivation in one domain are not completely cancelled out by low levels of deprivation in a different domain. Also the exponential transformation applied puts more emphasis on the deprived end of the distribution and so facilitates identification of the most deprived areas.
3.6.4
The property of the exponential distribution which effectively emphasises the most deprived part of the distribution means that the Indices are specifically constructed to identify deprivation and not affluence. Put another way, the Indices discriminate well between deprived neighbourhoods but not between those in the less deprived part of the distribution.
3.6.5
The Indices of Deprivation 2015 uses exponential transformation of the ranks, as in the previous Indices. A more extensive account of the exponential transformation procedure is given in Appendix F.
3.6.6
In order to allow users to combine domains using alternative weights for specific purposes, the exponentially transformed scores are made available in file 9 (see Appendix O for details of the published data and spreadsheets).
## 3.7 Stage 6: The Exponentially Transformed Domain Scores Are Combined Using Appropriate Domain Weights To Form An Overall Index Of Multiple Deprivation
3.7.1
Combining the different domains into an overall index always involves weighting the domains, whether the weights are set explicitly or not. Greater weight on a specific domain gives greater importance to that domain in the overall index. Weights may be set explicitly, as they were in the Indices of Deprivation 2000 and
subsequent updates. If domain scores were simply added together (after standardisation), this explicitly gives each domain an equal weight. Conversely, if domains are not standardised to lie on the same scale or distribution, then weights are set implicitly by the domain distributions.
3.7.2
The weights used for the Indices of Deprivation 2000 were derived from consideration of the academic literature on poverty and deprivation, as well as consideration of the levels of robustness of the indicators. This resulted in a decision to give the greatest weight to the Income Deprivation Domain and Employment Deprivation Domain. A fuller account of this is given in Appendix G.
3.7.3
The weights employed in the construction of the Index of Multiple Deprivation 2015 are shown in the table below. These weights are unchanged since the construction of the Index of Multiple Deprivation 2004 when the Crime Domain was introduced and the seven current domains established.
Table 3.1. Domain weights used to construct the Index of Multiple Deprivation
2015 Domain
Domain weight (%)
Income Deprivation Domain
22.5
Employment Deprivation Domain
22.5
Health Deprivation and Disability Domain
13.5
Education, Skills and Training Deprivation Domain
13.5
Barriers to Housing and Services Domain
9.3
Crime Domain
9.3
Living Environment Deprivation Domain
9.3
3.7.4
While applying different weights would affect the Index of Multiple Deprivation, the impact may not be large. Research into the issue of weighting was carried out by
the University of St Andrews (Dibben et al., 2007)22. Sensitivity testing on three
different approaches to weighting showed that although a small adjustment could be made to the weights (in effect swapping the weights for the Employment
Deprivation Domain and the Health Deprivation and Disability Domain) it did not have a large impact on the final Index of Multiple Deprivation ranks. This work is described in greater detail in Appendix G.
3.7.5
With reference to these research findings, the use of these weights was revisited in
the most recent consultations preceding the release of the Indices of Deprivation
200723 and Indices of Deprivation 201024. Both consultations found 89 per cent of
respondents were in favour of keeping the weights the same. Furthermore, the survey of users in July 2014 did not reveal significant support for moving to new weights. In light of the very high level of user support, the weights used in the Indices of Deprivation 2015 remain as used in the Indices of Deprivation 2010.
3.7.6
Based on these weights, the Index of Multiple Deprivation will suit the purposes of most users. But it is recognised that some users may wish to analyse deprivation
using only a subset of the deprivation domains or to apply different weights. For example, analysts working in public health may wish to create a combined index that excludes the Health Deprivation and Disability Domain, allowing them to explore other forms of deprivation as a determinant of health outcomes. To facilitate users in applying alternative weights, the exponentially transformed domain scores (from stage 5) are published along with the appropriate population sizes; guidance on how to combine the domains together using different weights is provided in Appendix B of the Research Report.
## 3.8 Stage 7: The Overall Index Of Multiple Deprivation And Domains Are Summarised For Larger Areas Such As Local Authority Districts
3.8.1
The previous stages produce the small area (Lower-layer Super Output Area) data for the Indices of Deprivation 2015. In this final stage, the small area statistics are summarised for larger areas such as local authority districts.
3.8.2
For larger areas, a single deprivation score (or rank) may not be adequate to accurately describe levels of deprivation across the area. Local authority districts
can vary enormously in both geographic and population size, and may have very different patterns of deprivation. Some areas are deprived but contain relatively little variation in deprivation across their neighbourhoods; in other places deprivation may be concentrated in pockets of severe deprivation rather than being more evenly spread.
3.8.3
To summarise the level of deprivation in larger areas, a range of summary measures of the Index of Multiple Deprivation 2015, the domains and the two supplementary indices (Income Deprivation Affecting Children Index and Income
Deprivation Affecting Older People Index) have been created 25, see table below.
No single summary measure is the 'best' measure. Each highlights different aspects of deprivation, and comparison of the different measures is needed to give a fuller description of deprivation in a large area. In addition, it is important to remember that the higher-area measures are *summaries*; the Lower-layer Super Output Area level data provides more detail than is available through the summaries.
## Table 3.2. The Higher-Area Summary Measures Summary Measure Description
| Average rank | The average rank measure summarises the average level of |
|----------------------------------------------------------------------------------|----------------------------------------------------------------|
| deprivation across the higher-level area, based on the ranks of the | |
| Lower-layer Super Output Areas in the area. | |
| As all Lower-layer Super Output Areas in the higher-level area are | |
| used to create the average rank, this gives a measure of the whole | |
| area covering both deprived and non-deprived areas. The measure | |
| is population-weighted, to take account of the fact that Lower-layer | |
| Super Output Area population sizes can vary | |
| Average score | The average score measure summarises the average level of |
| deprivation across the higher-level area, based on the scores of the | |
| Lower-layer Super Output Areas in the area. | |
| As all Lower-layer Super Output Areas in the higher-level area are | |
| used to create the average score, this gives a measure of the whole | |
| area covering both deprived and non-deprived areas. The measure | |
| is population-weighted, to take account of the fact that Lower-layer | |
| Super Output Area population sizes can vary | |
| The proportion of Lower-layer Super Output Areas that are in the | |
| most deprived 10 per cent nationally. | |
| Proportion of Lower- | |
| layer Super Output | |
| Areas in most | |
| deprived 10 per cent | |
| nationally | |
| | |
| Extent | The extent measure is a summary of the proportion of the local |
| population that live in areas classified as among the most deprived | |
| in the country. The extent measure uses a weighted measure of the | |
| population in the most deprived 30 per cent of all areas: | |
| | |
| The population living in the most deprived 10 per cent of Lower- | |
| layer Super Output Areas in England receive a 'weight' of 1.0; | |
| | |
| The population living in the most deprived 11 to 30 per cent of | |
| Lower-layer Super Output Areas receive a sliding weight, ranging | |
| from 0.95 for those in the most deprived eleventh percentile, to | |
| 0.05 for those in the most deprived thirtieth percentile. | |
| Local concentration The local concentration measure is a summary of how the most | |
| deprived Lower-layer Super Output Areas in the higher-level area | |
| compare to those in other areas across the country. This measures | |
| the population-weighted average rank for the Lower-layer Super | |
| Output Areas that are ranked as most deprived in the higher-area, | |
| and that contain exactly 10 per cent of the higher-area population. | |
| Income scale and | |
| employment scale | |
| (two measures) | |
| The two scale measures summarise the number of people in the | |
| higher-level area who are income deprived (the income scale) or | |
| employment deprived (the employment scale). | |
3.8.4
In response to feedback from users, clearer guidance is provided on how to use and interpret these measures in the research report Section 3.3.
3.8.5
The table below sets out which summary measures have been published for the Index of Multiple Deprivation, the domains and supplementary indices.
domains and supplementary indices
Average
Average
Proportion of
Extent
Local
Scale
rank
score
Lower-layer
concentration
Super Output
Areas in most
deprived 10
per cent
nationally
x
x
x
x
x
Index of Multiple Deprivation
Income
x
x
x
x
Employment
x
x
x
x
Education
x
x
x
Health
x
x
x
Crime
x
x
x
Living
x
x
x
Barriers
x
x
x
IDACI
x
x
x
IDAOPI
x
x
x
3.8.6
The higher-level geographical areas at which the Indices have been summarised are as follows: local authority districts, upper tier local authorities, local enterprise partnerships and clinical commissioning groups. These are published in files 10 - 13 (see Appendix O for details of the data and spreadsheets that have been published).
3.8.7
The population denominators used for the construction of the higher level geographies for the Index of Multiple Deprivation and all domains other than the Employment Deprivation domain are the mid-2012 Lower-layer Super Output Area population estimates, minus any prison populations. For the Employment Deprivation domain the working-age population aged 18 to 59/64 for mid-2012 and
mid-2013 was used, minus any prison populations for that age group. For the supplementary indices the appropriate age group population estimate for mid-2012 was used, minus any prison populations for those age groups. These are published in file 6; see Appendix O for details of the published data and spreadsheets.
3.8.8
In order to construct these high-level geographical summaries, look-up tables were constructed to indicate which Lower-layer Super Output Areas nest within each of the high-level geographies. This nesting was precise except in the case of the Local Enterprise Partnerships, where a "best fit" Lower-layer Super Output Area lookup was provided by the Office for National Statistics.
3.9 Summary of the domains, indicators and methods used
## To Construct The Indices Of Deprivation 2015
3.9.1
Figure 3.3 summarises the domains, indicators and methods used to construct the Lower-layer Super Output Area level Indices of Deprivation 2015.
## Chapter 4. The Domains And Indicators 4.1 Introduction
4.1.1
This chapter describes the 37 component indicators in the Indices of Deprivation 2015 and how these were combined to create each domain. Appendix A lists the data sources used for each indicator and Appendix B describes how denominators for indicators were selected.
4.1.2
In this chapter, a section at the end of each domain summarises changes made to indicators since the Indices of Deprivation 2010. This summary covers new or dropped indicators and briefly describes modifications to indicators; more detail is
presented in Appendix C which contains a full description of the changes. Where benefits have been replaced or there have been eligibility changes since the Indices of Deprivation 2010, this is discussed in the main text.
## 4.2 Domains
4.2.1
The Indices of Deprivation 2015 are a relative measure of deprivation for small areas (Lower-layer Super Output Areas) across England. The overall Index of Multiple Deprivation 2015 combines together indicators under seven different domains of deprivation, detailed in the following sections:
Income Deprivation Employment Deprivation Education, Skills and Training Deprivation Health Deprivation and Disability Crime Barriers to Housing and Services Living Environment Deprivation.
4.2.2
In addition there are two supplementary indices: the Income Deprivation Affecting Children Index and the Income Deprivation Affecting Older People Index. These
are described under the Income Deprivation Domain, since they are subsets of this domain.
## 4.3 Income Deprivation Domain
4.3.1
The Income Deprivation Domain measures the proportion of the population in an area experiencing deprivation relating to low income. The definition of low income used includes both those people that are out-of-work, and those that are in work but who have low earnings (and who satisfy the respective means tests).
## The Indicators
Adults and children in Income Support families26
Adults and children in income-based Jobseeker's Allowance families
Adults and children in income-based Employment and Support Allowance
families
Adults and children in Pension Credit (Guarantee) families Adults and children in Working Tax Credit and Child Tax Credit families not
already counted, that is those who are not in receipt of Income Support,
income-based Jobseeker's Allowance, income-based Employment and Support Allowance or Pension Credit (Guarantee) and whose equivalised income (excluding housing benefit) is below 60 per cent of the median before housing costs
Asylum seekers in England in receipt of subsistence support, accommodation
support, or both
## Indicator Details Adults And Children In Income Support Families Adults And Children In Income-Based Jobseeker'S Allowance Families Adults And Children In Income-Based Employment And Support Allowance Families Adults And Children In Pension Credit (Guarantee) Families
4.3.2
These four indicators comprise a non-overlapping count of the number of adults and children in a Lower-layer Super Output Area living in families claiming Income Support, income-based Jobseeker's Allowance, income-based Employment and Support Allowance or Pension Credit (Guarantee). Data for August 2012 was sourced from databases held by the Department for Work and Pensions and HM Revenue & Customs.
4.3.3
Income Support, income-based Jobseeker's Allowance, income-based Employment and Support Allowance and Pension Credit (Guarantee) are meanstested social security benefits. The benefits are mutually exclusive so there is no double counting involved. To be eligible for these benefits, claimants must be able
to demonstrate that their income and savings are below specified thresholds.
4.3.4
Income-based Employment and Support Allowance replaced Income Support paid because of an illness or disability for new claims (from October 2008). To account for this, adults and children in income-based Employment and Support Allowance families were included in the domain in addition to adults and children in Income Support families.
4.3.5
The Lower-layer Super Output Area level count was constructed by selecting relevant claimants from the Department for Work and Pensions' Unified Publication Database, matching in information on dependent partners (conducted within the Department for Work and Pensions) and dependent children (conducted within HM Revenue & Customs), then aggregating to Lower-layer Super Output Area level. The administrative records used to construct the indicators are the same as those used to produce published National Statistics.
## Adults And Children In Working Tax Credit And Child Tax Credit Families
Child Tax Credit component
4.3.6
The Child Tax Credit component of this indicator was constructed as the number of
adults and children in a Lower-layer Super Output Area living in Child Tax Credit families, who are not claiming Income Support, income-based Jobseeker's Allowance, income-based Employment and Support Allowance or Pension Credit
(Guarantee), and whose equivalised income27 (excluding housing benefits) is below 60 per cent of the national median before housing costs28. Data for August
2012 was sourced from a database held by HM Revenue & Customs.
4.3.7
Child Tax Credit is payable to families with children who are either:
Claiming out-of-work benefits
In work and claiming Working Tax Credit Claiming neither out-of-work benefits nor Working Tax Credit but whose
household income does not exceed the Child Tax Credit income threshold.
Working Tax Credit component
4.3.8
The Working Tax Credit component of this indicator was constructed as the number of adults in a Lower-layer Super Output Area in receipt of Working Tax Credit (who are not claiming Income Support, income-based Jobseeker's Allowance, income-based Employment and Support Allowance or Pension Credit (Guarantee) and are not counted already under the Child Tax Credit component above) and whose equivalised income (excluding housing benefits) is below 60 per cent of the national median before housing costs. Data for August 2012 was sourced from a database held by HM Revenue & Customs.
4.3.9
Working Tax Credit is payable to people who:
are aged from 16 to 24 and have a child or a qualifying disability, or are aged 25
or over (with or without children); and
work at least the specified number of hours; and have an income below the means tested level.
## Asylum Seekers In England In Receipt Of Subsistence Support, Accommodation Support, Or Both
4.3.10 The indicator is the number of asylum seekers (adults and children) in a Lowerlayer Super Output Area who were in receipt of subsistence support, accommodation support or both. Data for August 2012 was supplied by the Home Office.
4.3.11 Asylum is protection given to someone fleeing persecution in their own country
under the 1951 United Nations Convention Relating to the Status of Refugees. In the UK, asylum seekers who are homeless or without money to buy food and other essentials ('destitute') can apply for subsistence and accommodation support while
their application is being considered29.
## Combining The Indicators To Create The Domain
4.3.12 The counts for each of these indicators at Lower-layer Super Output Area level
were summed to produce a non-overlapping overall count of income deprived individuals. This overall count was then expressed as a proportion of the total population of the Lower-layer Super Output Area for mid-2012 (from the Office for National Statistics) less the prison population (from the Ministry of Justice).
Shrinkage was applied to construct the overall domain score30.
## Changes Since The Indices Of Deprivation 2010
4.3.13 The indicators in the domain remain the same as in the Indices of Deprivation
2010, except for an enhancement to the Working Tax Credit and Child Tax Credit indicator, to include all people receiving tax credits who are below the income threshold. Where benefits have been replaced or there have been eligibility changes since the Indices of Deprivation 2010, this has been described above. Further details of all these changes are given in Appendix C.
4.3.14 New sanctions regulations were introduced in 2012 for claimants of certain
benefits. As explained in Appendix M, those affected by sanctions could not be included in the domain due to a lack of suitable data.
4.3.15 The data on claimants of income-based Employment Support Allowance (which
replaced Incapacity Benefit and Income Support paid because of an illness or disability for new claimants from 2008) has now been incorporated into this indicator. Work Capability Assessments for Employment Support Allowance were introduced in 2008, reducing the number of people eligible for income related support because of an illness or disability.
## Supplementary Indices
4.3.16 In addition, two supplementary indices were created, which are subsets of the
Income Deprivation Domain. These are the Income Deprivation Affecting Children Index and the Income Deprivation Affecting Older People Index: The Income Deprivation Affecting Children Index is the proportion of all children aged 0 to 15 living in income deprived families. Income deprived families are defined as families that either receive Income Support or income-based Jobseekers Allowance or income-based Employment and Support Allowance or Pension Credit (Guarantee) or families not in receipt of these benefits but in receipt of Working Tax Credit or Child Tax Credit with an equivalised income (excluding housing benefit) below 60 per cent of the national median before housing costs. Shrinkage was applied to construct the Income Deprivation Affecting Children Index score. The Income Deprivation Affecting Older People Index is the proportion of all those aged 60 or over who experience income deprivation. This includes adults aged 60 or over receiving Income Support or income-based Jobseekers Allowance or income-based Employment and Support Allowance or Pension Credit (Guarantee). Shrinkage was applied to construct the Income Deprivation Affecting Older People Index score.
## 4.4 Employment Deprivation Domain
4.4.1
The Employment Deprivation Domain measures the proportion of the working-age population in an area involuntarily excluded from the labour market. This includes people who would like to work but are unable to do so due to unemployment, sickness or disability, or caring responsibilities.
## The Indicators
Claimants of Jobseeker's Allowance (both contribution-based and incomebased), women aged 18 to 59 and men aged 18 to 64
Claimants of Employment and Support Allowance (both contribution-based and
income-based) , women aged 18 to 59 and men aged 18 to 64
Claimants of Incapacity Benefit, women aged 18 to 59 and men aged 18 to 64 Claimants of Severe Disablement Allowance, women aged 18 to 59 and men
aged 18 to 64
Claimants of Carer's Allowance, women aged 18 to 59 and men aged 18 to 64.
## Indicator Details
4.4.2
Data for the five indicators was provided by the Department for Work and Pensions, constructed from administrative records of benefit claimants in such a way to create a non-overlapping count of claimants. To account for seasonal
variations in employment deprivation, four quarterly cuts were taken for each indicator and the average number of claimants across the four quarterly cuts calculated for each of the five indicators.
## Claimants Of Jobseeker'S Allowance
4.4.3
Jobseeker's Allowance is paid to individuals who are out of work, available for work and actively seeking work. It is the primary measure of unemployment levels for small areas.
4.4.4
New Deal and Flexible New Deal have been replaced by the Work Programme, so the three New Deal indicators included in the Indices of Deprivation 2010 have been removed from the domain. Participants in the Work Programme are still in receipt of Jobseeker's Allowance, so are included in the domain through this indicator.
4.4.5
From May 2012, any lone parents whose youngest child is aged 5 or over are no longer eligible for Income Support and are now eligible for Jobseeker's Allowance.
Accordingly this group were counted in this domain if they received Jobseeker's Allowance.
## Claimants Of Employment And Support Allowance Claimants Of Incapacity Benefit Claimants Of Severe Disablement Allowance
4.4.6
Employment and Support Allowance, Incapacity Benefit and Severe Disablement Allowance are paid to individuals who are unable to work due to limiting illness or disability. Incapacity Benefit and Severe Disablement Allowance are no longer available for new claimants: Incapacity Benefit replaced Severe Disablement Allowance for new claimants in April 2001 and Employment and Support Allowance
replaced Incapacity Benefit and Income Support paid because of an illness or disability for new claimants from October 2008. However, there still are a number of long-term sickness benefit claimants receiving Severe Disablement Allowance
and Incapacity Benefit31.
## Claimants Of Carer'S Allowance
4.4.7
The new Carers Allowance indicator measures those adults who are involuntarily excluded from the labour market due to caring responsibilities. Carer's Allowance is payable to people aged 16 or over who provide unpaid care for at least 35 hours a week to someone who is in receipt of disability or social care benefits, who are
not in full-time education or studying, and earn less than £102 a week32.
## Combining The Indicators To Create The Domain
4.4.8
A non-overlapping count of claimants of each of the benefits was created for the following four time points to account for seasonal variations in employment
deprivation: May 2012, August 2012, November 2012 and February 2013 33. The
counts of Jobseeker's Allowance, Employment and Support Allowance, Incapacity Benefit and Severe Disablement Allowance are non-overlapping because the benefits system does not permit an individual to claim more than one of these
benefits at the same time. To account for the new Claimants of Carer's Allowance indicator, a count of such claimants not receiving Jobseeker's Allowance, Employment and Support Allowance, Incapacity Benefit and Severe Disablement Allowance was added to the domain numerator to provide a non-overlapping count.
31 As of February 2013 there were approximately 170,000 Severe Disablement Allowance claimants across England as a whole (an average of just over 5 claimants per Lower-layer Super Output Area) and 582,000 Incapacity Benefit claimants (just under 18 claimants per Lower-layer Super Output Area).
32 The eligible disability or social care benefits are: Personal Independence Payment daily living component, Disability Living Allowance middle or highest care rate, Attendance Allowance, Constant Attendance Allowance at or above the normal maximum rate with an Industrial Injuries Disablement Benefit, or basic (full day) rate with a War Disablement Pension or Armed Forces Independence Payment. Full-time studying is more than 21 hours per week. The earnings threshold is after the deduction of taxes, care costs while at work and 50 per cent of pension contributions.
33 These time points are consistent with the Income Deprivation Domain. Also, using later time points would mean that a subset of claimants would have migrated on to Universal Credit, which has different eligibility criteria to the existing Employment Deprivation Domain benefits.
This was achieved by the Department for Work and Pensions through the use of a unique person identifier.
4.4.9
A quarterly averaged count of claimants/participants was calculated for each of the indicators to create the Employment Deprivation Domain numerator, calculated as
the seasonally-adjusted count of employment deprived people per Lower-layer Super Output Area.
4.4.10 The denominator was the working-age population (women aged 18 to 59 and men
aged 18 to 64), derived from mid-year population estimates (from the Office for National Statistics), with the prison population (from the Ministry of Justice) subtracted. In order to provide a time point which closely matches the numerator, 2012 and 2013 mid-year population estimates were used, with a weight of 0.75
applied to the 2012 count and a weight of 0.25 applied to the 2013 count34.
4.4.11 The Employment Deprivation Domain numerator was expressed as a proportion of
the Employment Deprivation Domain denominator to form the Employment Deprivation Domain score. The score represents the proportion of the working-age population experiencing employment deprivation. Shrinkage was applied to construct the final domain score.
## Changes Since The Indices Of Deprivation 2010
4.4.12 The indicators in the domain remain the same as in the Indices of Deprivation
2010, except for the new indicator on claimants of Carer's Allowance. As the New Deal ceased after the Indices of Deprivation 2010, the indicators based on New Deal claimants were removed.
4.4.13 Where benefits have been replaced or there have been eligibility changes since
the Indices of Deprivation 2010, this has been described above. Further details on all these changes are given in Appendix C.
4.4.14 New sanctions regulations were introduced in 2012 for claimants of certain
benefits. As explained in Appendix M, those affected by sanctions could not be included in the domain due to a lack of suitable data.
4.4.15 The data on claimants of contribution-based Employment Support Allowance
(which replaced Incapacity Benefit and Income Support paid because of an illness or disability for new claimants from 2008) was incorporated into this indicator in the Indices of Deprivation 2010. Claimants of income-based Employment and Support Allowance are now also included together with the contribution-based claimants. Work Capability Assessments for Employment Support Allowance were introduced in 2008, affecting the number of people eligible for these benefits.
## 4.5 Education, Skills And Training Deprivation Domain
4.5.1
The Education, Skills and Training Domain measures the lack of attainment and skills in the local population. The indicators fall into two sub-domains: one relating to children and young people and one relating to adult skills. These two subdomains are designed to reflect the 'flow' and 'stock' of educational disadvantage
within an area respectively. That is, the 'children and young people' sub-domain measures the attainment of qualifications and associated measures ('flow'), while the 'skills' sub-domain measures the lack of qualifications in the resident workingage adult population ('stock').
## The Indicators Children And Young People Sub-Domain
Key Stage 2 attainment: The average points score of pupils taking reading,
writing and mathematics Key Stage 2 exams
Key Stage 4 attainment: The average capped points score of pupils taking Key
Stage 4
Secondary school absence: The proportion of authorised and unauthorised
absences from secondary school
Staying on in education post 16: The proportion of young people not staying on
in school or non-advanced education above age 16
Entry to higher education: A measure of young people aged under 21 not
entering higher education
## Adult Skills Sub-Domain
Adult skills: The proportion of working-age adults with no or low qualifications,
women aged 25 to 59 and men aged 25 to 64
English language proficiency: The proportion of working-age adults who cannot
speak English or cannot speak English well, women aged 25 to 59 and men aged 25 to 64
## Indicator Details Key Stage 2 Attainment
4.5.2
The indicator is the average points score for pupils at Key Stage 2. The numerator is the total score of pupils taking English and mathematics in 2010/11 and 2011/12,
and reading, writing and mathematics in 2012/1335, in a Lower-layer Super Output
Area. The denominator is the total number of subjects (exams) taken by pupils for the same years as the numerator.
4.5.3
The data is for pupils in state-funded schools36 and was supplied by the
Department for Education from the National Pupil Database, based on the Lowerlayer Super Output Area of pupil residence. Three years of data were used to reduce issues due to fluctuations between year-groups.
4.5.4
During the 2010/11 to 2012/13 period for which data was used, changes to the grading scheme and teacher assessments resulted in changes to the way that the
average points scores are constructed37. Therefore, standardisation and shrinkage were applied separately to each year of data before combining into a single indicator using factor analysis.
## Key Stage 4 Attainment
4.5.5
The indicator is the average capped points score for pupils at Key Stage 4 (GCSE
or equivalent)38. The numerator is the total capped score of pupils taking Key
Stage 4 in 2010/11, 2011/12 and 2012/13 in a Lower-layer Super Output Area. The denominator is the total number of pupils in the area who took Key Stage 4 exams, for the same years as the numerator.
4.5.6
The data is for pupils in state-funded schools and was supplied by the Department for Education from the National Pupil Database, based on the Lower-layer Super
Output Area of pupil residence. Three years of data were used to reduce issues due to fluctuations between year-groups. As each year's results are separately moderated (and thus score thresholds change), standardisation and shrinkage were applied separately to each year of data before combining into a single indicator using factor analysis.
## Secondary School Absence
4.5.7
The indicator is the proportion of authorised and unauthorised absences from secondary school. The numerator is the number of half days missed by pupils living in a Lower-layer Super Output Area due to authorised and unauthorised absences for 2010/11, 2011/12 and 2012/13. The denominator is the total number of possible half-day sessions for 2010/11, 2011/12 and 2012/13.
4.5.8
The data is for pupils in state-funded schools and was supplied by the Department for Education from the National Pupil Database, based on the Lower-layer Super Output Area of pupil residence. Three years of data were used to reduce issues due to fluctuations between year-groups. Shrinkage was applied to the indicator.
## Staying On In Education Post 16
4.5.9
The indicator measures the proportion of young people not staying on in school or
non-advanced education above age 16, based on receipt of Child Benefit. Child Benefit is a tax-free payment that most parents can claim for their child(ren).
37 In 2010/11, students sat separate English and maths National Curriculum Tests, with the average points score calculated from these two tests and with level 5 (point score 33) being the maximum achievable grade. In 2011/12, the writing element of the English exam was changed to be based on teacher assessment of a mixture of tests and coursework, with only partial external moderation. The reading element was still assessed externally with a National Curriculum Test, and in addition, a new level 6 test was introduced with a point score of 39 (the previous maximum point score was 33). In 2012/13, there were separate point scores for reading and writing, rather than a combined score. The writing element was entirely based on the teacher's internal assessment of work for the year. See of eight full GCSEs. This places higher weight on the grades within the core of eight subjects than on the quantity of courses taken.
Children aged under 16 are eligible. Those aged between 16 and 19 are only eligible if they are in relevant education or training, or registered for work, education or training with an approved body.
4.5.10 The numerator for the indicator is the number of people aged 17 receiving Child
Benefit (who are only eligible if they are in relevant education or training), at Lowerlayer Super Output Area level for the period 2010 to 2012. The denominator is the number of people in the area aged 15 receiving Child Benefit in the period 2008 to 2010.
4.5.11 The indicator definition is based on the assumption that the group of young people
aged 17 in a Lower-layer Super Output Area in a given year is comparable to the group aged 15 two years previously. For indicator reliability, the value of deriving the numerator and the denominator from the same (Child Benefit) source is seen to
outweigh the impact of in-migration and out-migration of young people in this age cohort between the two time points.
4.5.12 The data was supplied by HM Revenue & Customs. The indicator was calculated
in a positive form as the proportion of children staying on in school or nonadvanced education. This figure was subtracted from 1 to produce the proportion not staying on in education after the age of 16. Shrinkage was applied to the indicator.
## Entry To Higher Education
4.5.13 The indicator is a measure of young people aged under 21 not entering higher
education. The numerator is the number of successful entrants aged under 21 to higher education in a Lower-layer Super Output Area. Data from the Higher Education Statistics Agency was used for the numerator, with four years of data - 2009/10 to 2012/13 - used to reduce the problems of small numbers and year-onyear fluctuation. The denominator was the population aged 14-17 in the Lowerlayer Super Output Area for the four years, 2009 to 2012 less the prison population.
4.5.14 The indicator includes those aged under 21 who successfully applied from a
domestic postcode in England to a higher education institution anywhere in the
UK39. The data was restricted to first degree, first year, full-time students, and age
was as at 31 August each year.
4.5.15 As detailed above, the numerator and denominator for this indicator were
constructed from four years of data, now possible due to the availability of annually updated data. The indicator was calculated in a positive form as a measure of those aged 21 entering higher education. This figure was subtracted from 1 to produce the measure of young people not entering higher education. Shrinkage was applied to the indicator.
## Adult Skills English Language Proficiency
4.5.16 The adult skills indicator is the proportion of working-age adults (women aged 25 to
59 and men aged 25 to 64) with no or low qualifications.
4.5.17 The English language proficiency indicator is the proportion of the working-age
population (women aged 25 to 59 and men aged 25 to 64) who cannot speak English or cannot speak English 'well'. This new indicator was included in the Adult Skills sub-domain to include those adults who experience barriers to learning and disadvantage in the labour market as a result of lack of proficiency in English.
4.5.18 A non-overlapping count of those adults with no or low qualifications, and/ or who
cannot speak English or cannot speak English 'well' was provided by the Office for
National Statistics from Census 2011 data. The denominator was the number of working-age adults (women aged 25 to 59 and men aged 25 to 64) in the same area, again taken from the 2011 Census. Shrinkage was applied to the indicator.
## Combining The Indicators To Create The Domain
4.5.19 The indicators within the Children and Young People sub-domain were
standardised by ranking and transforming to a normal distribution. The maximum likelihood factor analysis technique was used to generate the weights to combine the indicators into the sub-domain score see Table 4.1.
Table 4.1. Indicator weights generated by factor analysis for the Children and
Young People sub-domain Indicator
Indicator weight
Key Stage 2 attainment
0.210
Key Stage 4 attainment
0.232
Secondary school absence
0.224 0.130
Staying on in education post 16 Entry to higher education
0.204
4.5.20 The indicators within the Adult Skills sub-domain were the proportion of adults with
no or low qualifications and/ or lack of English language proficiency. As these were already combined into a non-overlapping indicator, no further combination was needed within the sub-domain.
4.5.21 The two sub-domains were standardised by ranking and transforming to an
exponential distribution and combined with equal weights to create the overall domain score.
## Changes Since The Indices Of Deprivation 2010
4.5.22 The indicators in the domain remain the same as in the Indices of Deprivation
2010, except for the removal of the Key Stage 3 attainment indicator (Key Stage 3 assessments became teacher assessment only from 2008/9), the addition of the indicator on English language proficiency, and the change in the upper age band of the adult skills indicator from 54 in the Indices of Deprivation 2010 to 59 for women and 64 for men. Appendix C gives more details and describes other minor changes
to indicators in this domain, for example due to changes in available data, and changes to definitions.
## 4.6 Health Deprivation And Disability Domain
4.6.1
The Health Deprivation and Disability Domain measures the risk of premature death and the impairment of quality of life through poor physical or mental health. The domain measures morbidity, disability and premature mortality but not aspects of behaviour or environment that may be predictive of future health deprivation.
## The Indicators
Years of potential life lost: An age and sex standardised measure of premature
death
Comparative illness and disability ratio: An age and sex standardised
morbidity/disability ratio
Acute morbidity: An age and sex standardised rate of emergency admission to
hospital
Mood and anxiety disorders: A composite based on the rate of adults suffering
from mood and anxiety disorders, hospital episodes data, suicide mortality data and health benefits data.
## Indicator Details Years Of Potential Life Lost
4.6.2
The years of potential life lost indicator measures 'premature death', defined as death before the age of 75 from any cause (the commonly used measure of premature death). This includes death due to disease as well as external causes such as accidents, unlawful killing and deaths in combat.
4.6.3
The indicator was based on mortality data covering the period 2008 to 2012, provided by the Office for National Statistics. The denominator was the 2008 to 2012 mid-year population estimates (minus the prison population) in five-year agesex bands. The level of unexpected mortality was weighted by the age of the
individual who has died. The unexpected death of a younger person therefore has a greater impact on the overall score than someone who is older, even if their death is also unexpected.
4.6.4
The indicator was directly age and sex standardised in five-year age-sex bands: comparing the actual number of deaths in an area to what would be expected given the area's age and sex structure. Shrinkage was applied to the indicator.
## Comparative Illness And Disability Ratio
4.6.5
The comparative illness and disability ratio is an indicator of work limiting morbidity and disability, based on those receiving benefits due to inability to work through ill health.
4.6.6
The benefits paid to people who are unable to work due to ill health are Disability Living Allowance, Employment and Support Allowance, Attendance Allowance, the disability premium of Income Support, Incapacity Benefit, and Severe Disablement Allowance (these last two benefits are not available for new claimants, but there are groups still receiving them). Individuals cannot receive more than one of these
benefits at the same time, so the numbers of people receiving them can be straightforwardly summed to produce an indicator.
4.6.7
The indicator was based on data from 2013 provided by the Department of Work and Pensions. The denominator was the 2013 mid-year population estimate (minus
the prison population) in five-year age-sex bands. The indicator was directly age and sex standardised in five-year age-sex bands; comparing the actual number of benefit recipients in an area to what would be expected given the area's age and sex structure. Shrinkage was applied to the indicator.
## Acute Morbidity
4.6.8
The acute morbidity indicator measures the level of emergency admissions to hospital, based on administrative records of inpatient admissions.
4.6.9
Emergency admissions are defined as cases where 'admission is unpredictable and at short notice because of clinical need'. This includes admission via the Accident and Emergency department, admission directly onto a ward or into theatre and the emergency transfer of patients between hospitals. All emergency admissions greater than one day in length (where discharge is not on the same date as admission) are included as an indication of acute health problems. Only admissions to NHS hospitals are included in the data.
4.6.10 The numerator used the number of hospital spells starting with admission in an
emergency and lasting more than one calendar day, and was based on data from the period 2011/12 to 2012/13 provided by the Health and Social Care Information Centre from the Hospital Episode Statistics database. The denominator was the 2011 and 2012 mid-year population estimates (minus the prison population) in fiveyear age-sex bands.
4.6.11 Two years of data were used to reduce the problems of small numbers. The
indicator was directly age and sex standardised in five-year age-sex bands, and shrinkage applied.
## Mood And Anxiety Disorders
4.6.12 The mood and anxiety disorders indicator is a broad measure of levels of mental ill
health in the local population. The definition used for this indicator includes mood (affective), neurotic, stress-related and somatoform disorders.
4.6.13 The indicator is a modelled estimate based on four separate sources outlined in
the sections below: prescribing data; hospital episodes data; suicide mortality data; and health benefits data. Although none of the four sources on their own provide a comprehensive measure of mood and anxiety disorders, used in combination they represent a large proportion of all those suffering mental ill health.
## Prescribing Data
4.6.14 The number of patients within a particular GP practice with mental health problems
was estimated using information on the conditions for which particular drugs are
prescribed and their typical dosages40. Prescription data is published at GP
practice level41, and a two-stage process used to estimate area rates.
1. The number of people was estimated based on the assumption that those with
mental ill health take the national 'average daily quantity' of a specific drug on
every day of the year42. Two years of prescription data (for 2012 and 2013)
were used to reduce problems of small numbers.
2. The estimate for each GP practice was then distributed indirectly to Lower-layer
Super Output Area level using data on GP practice patients place of residence
by Lower-layer Super Output Area level43.
4.6.15 The denominator for the indicator was based on the same practice population
distribution used to distribute the GP Practice estimates to local areas.
## Hospital Episode Data
4.6.16 Hospital episode data made available by the Health and Social Care Information
Centre was used to estimate the proportion of the population suffering severe mental health problems relating to depression and anxiety, based on all those who have had an inpatient spell for reason of mental ill health.
4.6.17 The indicator is an annual count of those suffering at least one severe mental
health inpatient spell during the year, an 'annual incidence of hospitalisation'. A count was made of all those who have had at least one inpatient spell in any one year coded within International Classification of Diseases 10 chapter 'F' (the coding
for mental ill health)44. Two years of data (for 2012 and 2013) were used to reduce
problems of small numbers.
4.6.18 The denominator was the 2012 and 2013 mid-year population estimates (minus the
prison population). A simple (not standardised) rate was calculated, and shrinkage applied.
41 GP practice level prescription data was sourced from the Health and Social Care Information Centre
(HSCIC) at http://www.hscic.gov.uk/gpprescribingdata and http://www.hscic.gov.uk/searchcatalogue?q=title%3A%22presentation+level+data%22&area=&size=10&sort =Relevance.
42 While this assumption may not fit very well in individual cases, it is more likely to hold across the 'average'
for the practice population. For information on average daily quantities, see the Prescribing Support Unit information at www.hscic.gov.uk/prescribing. The average daily quantities were used to produce an estimate of the numbers of patients required to account for the GP Practice level prescription volumes for the different prescription drugs based on 'typical' dosages.
43 The GP Attribution Dataset contains information about populations registered with GP practices, and is maintained by the Health and Social Care Information Centre. From 2013, data is published for individual GP practice patients at Lower layer Super Output Area level, for example http://www.hscic.gov.uk/article/2021/Website-Search?productid=16172. For earlier time points, data was made available by the Health and Social Care Information Centre.
44 The International Classification of Diseases 10 mental health codes used were: F30-F39 (Mood (affective)
disorders) and F40-F48 (Neurotic, stress-related and somatoform disorders).
## Suicide Mortality Data
4.6.19 Although suicide is not a direct measure of mental ill health, it is highly associated
with depression where it is implicated in a majority of cases45. The actual measure
used was deaths that occurred between 2008 and 2012 which had International
Classification of Diseases 10 codes X60-X84 and Y10-Y34 excluding Y33.9 where the coroner's verdict was pending. Five years of data were used to reduce problems of small numbers.
4.6.20 The denominator was the 2008 to 2012 mid-year population estimates (minus the
prison population). A simple (not standardised) rate was calculated, and shrinkage applied.
## Health Benefits Data
4.6.21 The rate of long-term sickness and disability in an area, including for mental health
reasons, can be measured using information on receipt of particular benefits. Incapacity Benefit, Severe Disablement Allowance and Employment and Support Allowance benefits are paid to individuals of working-age who are unable to work because of ill health. These datasets are coded for medical conditions, and the codes were converted to an International Classification of Diseases 10 coding. A count of individuals with a condition within chapter 'F' was used as the numerator
for the indicator46.
4.6.22 The numerator was based on data from 2013 provided by the Department of Work
and Pensions. The denominator was the 2013 mid-year population estimate (minus the prison population). A simple (not standardised) rate was calculated, and shrinkage applied.
Combining the components to create a composite indicator
4.6.23 The four independent administrative data sources were combined to reduce the
influence of under- or over-recording on any one source using weights generated by factor analysis, see Table 4.1.
Table 4.2. Indicator weights generated by factor analysis for the mood and anxiety
disorders indicator Indicator
Indicator weight
Prescribing data
0.224
Hospital episode data
0.419
Suicide mortality data
0.086
Health benefits data
0.270
4.6.24 Using the four components minimises the impact of any variation in the
organisation and practice of local services, where individuals with identical mental health needs may receive different types of treatment; the combined indicator
should therefore be a more precise measure of the underlying 'true' rate of mental health than any single indicator on its own.
4.6.25 Unlike the other indicators in this domain, the mood and anxiety disorders indicator
is not age and sex standardised. Although there are particular ages when a person
is at higher risk of suffering from these mental health disorders, and females are at greater risk than males, the distribution of mood and anxiety disorders does not follow a clear distribution over the lifespan so age and sex have not been controlled for.
## Combining The Indicators To Create The Domain
4.6.26 The indicators within the domain were standardised by ranking and transforming to
a normal distribution. Factor analysis was used to generate the weights to combine
the indicators into the final domain score, see Table 4.3.
Table 4.3. Indicator weights generated by factor analysis for the Health Deprivation
and Disability Domain Indicator
Indicator weight
Years of potential life lost
0.244
Comparative illness and disability ratio
0.287
Acute morbidity
0.254
Mood and anxiety disorders
0.216
## Changes Since The Indices Of Deprivation 2010
4.6.27 The indicators in the domain remain the same as in the Indices of Deprivation
2010. Where benefits have been replaced or there have been eligibility changes since the Indices of Deprivation 2010, this has been described above. Further details of these changes are given in Appendix C.
4.6.28 The data on claimants of Employment Support Allowance (which replaced
Incapacity Benefit and Income Support paid because of an illness or disability for new claimants from 2008) was incorporated into this indicator since Indices of Deprivation 2010. Work Capability Assessments for incapacity benefits were also
introduced in 2008, further affecting the number of people eligible for these benefits.
## 4.7 Crime Domain
4.7.1
Crime is an important feature of deprivation that has major effects on individuals and communities. The Crime Domain measures the risk of personal and material victimisation at local level.
The indicators
Violence: The rate of violence per 1,000 at-risk population Burglary: The rate of burglary per 1,000 at-risk properties Theft: The rate of theft per 1,000 at-risk population Criminal Damage: The rate of criminal damage per 1,000 at-risk population.
## Indicator Details
Violence: The rate of violence per 1,000 at-risk population
## Burglary: The Rate Of Burglary Per 1,000 At-Risk Properties Theft: The Rate Of Theft Per 1,000 At-Risk Population Criminal Damage: The Rate Of Criminal Damage Per 1,000 At-Risk Population
4.7.2
Recorded crime data for 2013/14 was made available via the Association of Chief Police Officers and the Home Office. The Appendix on quality assurance outlines the work done to check the input data and data processing involved (Appendix J).
4.7.3
The methodology used in the Indices of Deprivation 2015 is identical to that developed for and used in the Indices of Deprivation 2010, 2007 and 2004:
1. A list of notifiable offence codes that were active during the 2013/14 year was
identified, which best replicated the definitions of the four Crime Domain indicators 'violence', 'burglary', 'theft' and 'criminal damage'. See Appendix H for this list of offences by indicator.
2. Individual level geocoded crime records for this list of notifiable offences were
extracted from the recorded crime data made available, and assigned to one of the four indicators.
3. Lower-layer Super Output Area level counts were constructed for each indicator
by aggregating the individual event-level geocoded crime data using a bespoke mapping application. Where an incident occurred within 100 metres of a Lowerlayer Super Output Area boundary, the incident was apportioned equally to the areas either side of the boundary. A series of rules were imposed to maximise data quality, such as ensuring that crimes that were geocoded to locations well outside of the respective force boundary were not mapped at this stage.
4.7.4
The Lower-layer Super Output Area level counts for each indicator were constrained to aggregate counts of crime (for an equivalent set of notifiable offence categories) published at Community Safety Partnership level which are available
as open data47. All recorded crimes are allocated a Community Safety Partnership
identifier code, whilst a minority of recorded crimes are not allocated a detailed geocode. Any discrepancies between the Community Safety Partnership level data and the aggregated geocoded data are therefore dealt with in this constraining step, so that the constrained Lower-layer Super Output Area level aggregations from geocoded data sum up to match the Community Safety Partnership level open data exactly.
4.7.5
For the violence, theft and criminal damage indicators, the constrained Lower-layer Super Output Area counts for 2013/14 were expressed as crime rates per 1,000 'at-risk' population, using a special population-based denominator. This denominator consisted of the total Lower-layer Super Output Area mid-year 2013
population estimate (minus the prison population) plus the non-resident workplace population from the 2011 Census.
4.7.6
For the burglary indicator, counts for Lower-layer Super Output Areas for 2013/14 were expressed as a crime rate per 1,000 'at-risk' properties, using a special
property-based denominator. This denominator consisted of residential dwellings at Lower-layer Super Output Area level from the 2011 Census plus non-domestic properties at the same level from Ordnance Survey's Address Base.
4.7.7
Finally, shrinkage was applied to the Lower-layer Super Output Area level rates for each indicator, to produce the four indicator scores.
## Combining The Indicators To Create The Domain
4.7.8
The four composite shrunk indicators were standardised by ranking and transforming to a normal distribution. Factor analysis was used to generate the weights to combine the indicators into the domain score, see Table 4.4.
Table 4.4. Indicator weights generated by factor analysis for the Crime Domain
Indicator
Indicator weight
Violence
0.324
Burglary
0.189
Theft
0.222
Criminal Damage
0.265
## Changes Since The Indices Of Deprivation 2010
4.7.9
The indicators in the domain remain the same as in the Indices of Deprivation 2010. Minor changes made to accommodate updated Home Office counting rules are described in Appendix C.
## 4.8 Barriers To Housing And Services Domain
4.8.1
The Barriers to Housing and Services Domain measures the physical and financial accessibility of housing and local services. The indicators fall into two subdomains: 'geographical barriers', which relate to the physical proximity of local services, and 'wider barriers' which includes issues relating to access to housing such as affordability.
## The Indicators Geographical Barriers Sub-Domain
Road distance to a post office: A measure of the mean distance to the closest
post office for people living in the Lower-layer Super Output Area
Road distance to a primary school: A measure of the mean distance to the
closest primary school for people living in the Lower-layer Super Output Area
Road distance to a general store or supermarket: A measure of the mean
distance to the closest supermarket or general store for people living in the Lower-layer Super Output Area
Road distance to a GP surgery: A measure of the mean distance to the closest
GP surgery for people living in the Lower-layer Super Output Area
## Wider Barriers Sub-Domain
Household overcrowding: The proportion of all households in a Lower-layer
Super Output Area which are judged to have insufficient space to meet the household's needs
Homelessness: Local authority district level rate of acceptances for housing
assistance under the homelessness provisions of the 1996 Housing Act, assigned to the constituent Lower-layer Super Output Areas
Housing affordability: Difficulty of access to owner-occupation or the private
rental market, expressed as the inability to afford to enter owner-occupation or the private rental market.
## Indicator Details Road Distance To A Post Office Road Distance To A Primary School Road Distance To A General Stores Or Supermarket Road Distance To A Gp Surgery
4.8.2
The four road distance indicators were chosen for the Indices of Deprivation 2000 and retained in each subsequent update as they relate to key services that are important for people's day-to-day life and to which people need to have good geographical access. All road distance indicators are constructed in the same way.
4.8.3
The indicators are defined as an average road distance measured in kilometres
and calculated initially at Output Area level48.
4.8.4
The grid referenced locations of Post Offices were supplied by Post Office Ltd (for March 2014). All Post Office branches were included.
4.8.5
The postcoded locations of primary schools were obtained from the Department for Education's Edubase system (July 2014). These postcodes were then geocoded using Code-Point Open (May 2014 version) and the ONS Postcode Directory (May
2014 version). All schools classified as 'open' or 'open but proposed to close' that are also 'primary' or 'all through' were included. In terms of the type of establishment, schools were included that are classified as local authority maintained schools, academies or free schools.
4.8.6
The grid referenced locations of food shops were obtained from the Ordnance Survey Points of Interest dataset (for March 2014). The definition of food shop includes supermarket chains, convenience stores and independent supermarkets. This includes concessions such as food shops within petrol stations, but administrative offices are removed.
4.8.7
The postcodes of GP premises were obtained from the Health and Social Care Information Centre (May 2014 release). These postcodes were geocoded using
Code-Point Open (May 2014 version), the ONS Postcode Directory (May 2014 version) and a small number of manual assignments. The dataset of GPs used to construct the indicator is a list of all active medical practices and prescribing cost centres (numbering approximately 8,200). It does not capture the size of a practice, which varies from that of a single practitioner to a large surgery with many GPs and additional health care professionals.
4.8.8
Because healthcare and education are a responsibility for the devolved administrations, only GPs and primary schools located in England have been taken into account when constructing the English Indices of Deprivation. However, food shops and post offices in mainland UK were included, so that account can be taken of services just within the Scottish or Welsh borders.
4.8.9
A bespoke geographic information system application was used to calculate the
road distance to the closest service from the population weighted centroid of each Output Area. To create an average road distance for the Lower-layer Super Output Area, a population-weighted mean of the Output Area road distances was used. Each Output Area score was weighted according to the proportion of the Lowerlayer Super Output Area population that is within the Output Area, and the weighted scores summed. The Output Area level population estimates used for
population-weighting were obtained from the 2011 Census49.
## Household Overcrowding
4.8.10 The indicator is the proportion of households in a Lower-layer Super Output Area
that are classed as overcrowded according to the definition below. The numerator is the number of overcrowded households in the Lower-layer Super Output Area, while the denominator is the number of households in the same area. Both were taken from the 2011 Census. Shrinkage was applied to the indicator.
4.8.11 The Census 2011 'occupancy rating' provides a measure of whether a household's
accommodation is overcrowded or under-occupied. There are two measures of occupancy rating, one based on the total number of rooms in a household's accommodation, and one based only on the number of bedrooms. As for the Indices of Deprivation 2010, the household overcrowding indicator uses the
occupancy rating based on rooms. This relates the actual number of rooms in a dwelling to the number of rooms required by the household, taking account of the ages of, and relationships between, household members.
4.8.12 The room requirement50 used in the occupancy rating states that every household
needs a minimum of two common rooms, excluding bathrooms, with bedroom requirements that reflect the composition of the household. The occupancy rating of a dwelling is expressed as a positive or negative figure, reflecting the number of rooms in a dwelling that exceed the household's requirements, or by which the home falls short of its occupants' needs.
4.8.13 All statistics derived from the 2011 Census and published by the Office for National
Statistics are classified as National Statistics and comply fully with the National Statistics Code of Practice.
## Homelessness
4.8.14 This local authority district level indicator is expressed as the rate of acceptances
for housing assistance under the homelessness provisions of housing legislation (as defined below). Although the Indices of Deprivation 2010 indicator used data for a single year, the updated indicator was constructed from the average of data for three years (2011/12, 2012/13 and 2013/14) in order to increase the robustness of the indicator. The homelessness data used in the numerator is published by the Department for Communities and Local Government. The denominator is the local
authority district count of households from the 2011 Census, which is the latest date for which this data is available.
4.8.15 Homelessness is defined as applications made to local housing authorities under
the homelessness provisions of housing legislation where a decision was made and the applicant was found to be eligible for assistance (acceptances). It therefore excludes any households found to be ineligible.
4.8.16 The raw data used to construct the indicator was the same as those used to
produce published National Statistics. Local authority district rates were assigned to the constituent Lower-layer Super Output Areas, with each such area in a district given the same rate. As this data is available at local authority district level, shrinkage was not applied to this indicator.
## Housing Affordability
4.8.1
The housing affordability indicator is a measure of the inability to afford to enter owner-occupation or the private rental market. The indicator is made up of two components relating to housing affordability: one component which measures difficulty of access to owner-occupation, and one component which measures difficulty of access to the private rental market. The private rental component considers whether people can afford to rent in the market without assistance from
Housing Benefit. The two components were constructed separately.
4.8.2
The indicator is a modelled estimate based on house prices and rents in the
relevant Housing Market Area51 and modelled incomes at Lower-layer Super
Output Area level with a 2012 time point. The main data sources are the Family Resources Survey for household incomes and composition, the Regulated Mortgage Survey (Council for Mortgage Lenders) and Land Registry for house prices, and the Valuation Office Agency for market rents. Other sources include a range of Census and other published data at Lower-layer Super Output Area level, and indicators at local authority district level including the Annual Population Survey and the Annual Survey of Hours and Earnings.
4.8.3
The target group is households where the head is aged under 4052. This aims to
capture the cohort of households entering the housing market based on the recognition that most first time buyers and renters are in the younger adult age group. To increase the robustness of the indicator, the age cut-off has changed since the Indices of Deprivation 2010, from 35 to 40, resulting in a larger number of
cases in the relevant surveys with which to produce modelled estimates.
4.8.4
Households (that is the first benefit units in the household) are assigned to dwelling size groups based on their bedroom requirements as under the standard UK
'bedroom standard'53. Affordability criteria are broadly the same as for the Indices
of Deprivation 2010. The threshold house prices and rents were based on the lower quartile of all sale prices/rents within size groups (0, 1, 2, 3 and 4 or more
bedrooms) at Housing Market Area level.54 The lower tier of Housing Market Areas
was used, with Lower-layer Super Output Area level price and local authority level rent data apportioned to Housing Market Areas (lower-tier Housing Market Areas are described in Jones et al (2010), see footnote 51, and Appendix I).
4.8.5
Income is defined as the income of the 'first benefit unit' in the household,
excluding income from means-tested benefits.55 Income levels were estimated in
stages, following similar lines to a study by Bramley and Watkins56 for the
Improvement Service for Scottish local government, which estimated income and poverty measures for Scottish Datazones. Individual-level predictive regression models were developed based on income levels for individuals and households in the Family Resources Survey, applied to small areas using equivalent variables from Census and other sources at Lower-layer Super Output Area level; and constrained using the Office for National Statistics' 'groups' of similar Lower-layer
Super Output Areas in stronger or weaker housing markets57.
each couple and for each additional adult, and for each child or pair of children, provided that children over
10 do not have to share with the opposite sex. For the renting component, a single person household aged under 35 is deemed to need only a bedroom in a shared dwelling (using threshold rents available for a '0-
bedroom' unit).
54 The primary criterion for buying is based on lending multipliers, assuming a 95% mortgage and ignoring deposit constraints. For renting, the primary criterion is a ratio of rent to gross income of 25%, The secondary criterion for both buying and renting is that net income after housing cost should exceed 1.2 times the Housing Benefit Applicable Amount (HBAA) for the relevant household unit (DWP Housing Benefit and Council Tax Benefit Circular HB/CTB A1/2012, Appendix A, Annexe 2).
55 The first benefit unit is defined as the main householder and any partner and dependent children, where the household reference person is aged under 40. Other adults present in any 'complex' households are separate benefit units, and their income is not included because these would not be considered reckonable income for the purposes of obtaining a mortgage and because it is assumed that it is the core benefit unit that would be seeking to buy or rent an appropriate housing unit. For the same reason, the room requirements of other adults in a 'complex' household are not included when constructing the indicator.
they belong has relatively lower or higher house prices. This classification was then combined with the Office
4.8.6
In order to combine the two components into a single indicator of housing affordability, each component was standardised by ranking and transforming to a normal distribution. The two components were then combined with equal weights to create the housing affordability indicator.
## Combining The Indicators To Create The Domain
4.8.7
The relevant indicators within each of the sub-domains were then standardised by ranking and transforming to a normal distribution, and combined using equal weights. The sub-domains were then standardised by ranking and transforming to an exponential distribution and combined with equal weights to create the overall domain score.
## Changes Since The Indices Of Deprivation 2010
4.8.8
The indicators in the domain remain the same as in the Indices of Deprivation 2010, apart from changes to the housing affordability indicator including:
broadening the measure to include affordability of the private rental market; improving the income estimation methodology, and producing the indicator at
Lower-layer Super Output Area level, rather than local authority districts; and
using local Housing Market Areas as the reference area.
4.8.9
Other minor changes to this domain, for example due to changes in available data, have been explained above. Further details of all these changes are given in Appendix C.
## 4.9 Living Environment Deprivation Domain
4.9.1
The Living Environment Deprivation Domain measures the quality of the local environment. The indicators fall into two sub-domains. The 'indoors' living environment measures the quality of housing; while the 'outdoors' living environment contains measures of air quality and road traffic accidents.
## The Indicators Indoors Sub-Domain
Houses without central heating: The proportion of houses that do not have
central heating
Housing in poor condition: The proportion of social and private homes that fail to
meet the Decent Homes standard.
Outdoors sub-domain
Air quality: A measure of air quality based on emissions rates for four pollutants Road traffic accidents involving injury to pedestrians and cyclists.
for National Statistics Census 2001-based classification of Lower-layer Super Output Areas at 'Group' level to produce the groups of similar Lower-layer Super Output Areas in stronger or weaker markets.
## Indicator Details Houses Without Central Heating
4.9.2
The houses without central heating indicator is used as a measure of housing
which is expensive to heat. The numerator is the number of houses without central heating in the Lower-layer Super Output Area while the denominator is the number of households in the area.
4.9.3
Data was taken from the Census 2011 (the previous indicator was based on Census 2001 data), and identifies the proportion of houses in each Lower-layer
Super Output Area that do not have central heating in any room58. Shrinkage was
applied to the indicator.
## Housing In Poor Condition
4.9.4
The housing in poor condition indicator is a modelled estimate of the proportion of social and private homes that fail to meet the Decent Homes standard.
4.9.5
A property fails the Decent Homes Standard if it fails to meet any one of the four
separate components shown in the table below 59. Each of these components was
modelled separately, using data from the 2011 English Housing Survey at national level, in combination with a commercial dataset that provides information on the age, type, tenure and occupant characteristics of the housing stock at individual dwelling level. Failure likelihood factors for individual dwellings were generated by segmentation analysis and logistic regression models, and aggregated to Lowerlayer Super Output Area.
##
Component
Description
Housing Health and Safety Rating
System
Dwellings which fail to meet this criterion are those containing one or more hazards assessed as serious ('Category 1'). The
system includes 29 hazards in the home categorised into Category 1 (serious) or Category 2 (other).
Disrepair
A dwelling is said to be in disrepair if: at least one of the key building components is old and needs replacing or major repair due to its condition; or more than one of the other building components are old and need replacing or major repair due to their condition.
Modernisation
A dwelling is said to fail this criterion if it lacks three or more
of the following: a reasonably modern kitchen (20 years old or less); a kitchen with adequate space and layout; a reasonably modern bathroom (30 years old or less); an appropriately located bathroom and WC; adequate insulation against external noise (where such noise is a problem); or adequate size and layout of common areas for blocks of flats.
Thermal comfort
A dwelling fails this criterion if it does not have effective insulation and efficient heating.
## Air Quality
4.9.6
The indicator is an estimate of the concentration of the four pollutants nitrogen dioxide, benzene, sulphur dioxide and particulates. Indicators for each of the pollutants were based on 2012 air quality data published by the UK Air Information
Resource for 1km grid-squares60, which was modelled to Lower-layer Super Output
Area level using the point-in-polygon method. For Lower-layer Super Output Areas that did not have grid points falling within them, data from the nearest point of the air quality grid was assigned.
4.9.7
For each pollutant the atmospheric concentration was compared to a national
standard value61, with the concentrations in each Lower-layer Super Output Area
divided by the appropriate national standard, before summing to produce a single indicator.
4.9.8
In theory, values for the combined indicator range from zero to infinity. However in practice values are unlikely to exceed 4, the equivalent of a site where concentrations of all four pollutants are at their respective thresholds.
4.9.9
Due to changes in the national targets62, the particulate matter component of the
air quality indicator were based on particles less than 2.5 micrometres in diameter, rather than the 10 micrometres previously used. Additional pollutants (arsenic, cadmium, nickel and benzoapyrene) are also the subject of a new air quality
directive63. However the overwhelming majority of areas in the country have betterthan-target values for these pollutants so they have not been included in the measure.
## Road Traffic Accidents Involving Injury To Pedestrians And Cyclists
4.9.10 The indicator is based on reported accidents that involve death or personal injury
to a pedestrian or cyclist64. The indicator uses data for 2011 to 2013 published by
the Department for Transport, with three years of data used to reduce the problem of small numbers.
4.9.11 The numerator for this indicator is the number of reported accidents (weighted for
severity) in a Lower-layer Super Output Area that involve death or personal injury to a pedestrian or cyclist, averaged across the three years 2011 to 2013. To take
into account the number of people in the local area during the day, the denominator uses the non-resident workplace population (from Census 2011) as well as the average of the mid-year population estimates for 2011 to 2013 (from the Office for National Statistics) with the prison population (from the Ministry of Justice) subtracted.
4.9.12 Weights were applied to the total counts of the three severity types: a weight of 1
was applied for slight severity, 2 for serious and 3 for fatal. Each incident was plotted according to its grid reference, which gives its location accurate to 10 metres. Where an incident occurred within 100 metres of a Lower-layer Super Output Area boundary, the incident was apportioned equally to the areas either side of the boundary. Shrinkage was applied to the indicator.
## Combining The Indicators To Create The Domain
4.9.13 The indicators within each of the sub-domains was standardised by ranking and
transforming to a normal distribution, and combined using equal weights to create the sub-domains. The sub-domains were standardised by ranking and transforming to an exponential distribution.
4.9.14 The domain was created by summing the two sub-domains, weighted according to
patterns of 'indoors' and 'outdoors' time use65. As done in the Indices of
Deprivation 2010, the Indoors Living Environment sub-domain was given two thirds of the domain's weight, and the Outdoors Living Environment sub-domain, onethird.
## Changes Since The Indices Of Deprivation 2010
The indicators in the domain remain the same as in the Indices of Deprivation 2010, apart from changes to the housing in poor condition indicator which include an improved modelling methodology. Other minor changes to this domain, for example due to changes in available data, are described above. Further details of all these changes are given in Appendix C.
## Chapter 5. Ensuring Reliability Of The Indices Of Deprivation 5.1 Overview Of Quality Assurance
5.1.1
The Indices of Deprivation 2015 have been carefully designed and developed to ensure the robustness and reliability of the output datasets and reports. The quality assurance process for the methods, input data sources, data processing steps and outputs builds on the research team's experience of previous developments of the Indices of Deprivation since 2000, and involves a number of different processes
outlined in this section.
5.1.2
The quality assurance process also draws on the quality assurance and audit arrangements practice models developed by the UK Statistics Authority to ensure that the assessment of data sources and methodology carried out is proportionate to both the level of public interest in the Indices, and the scale of risk over the
quality of the data66.
5.1.3
Further detail on the quality assurance is provided in Appendices J, K and L, including our assessment against the UK Statistics Authority criteria for National Statistics status and additional validation carried out for the Crime domains and modelled indicators (Appendix J), an overview of the quality assurance process provided to data suppliers (Appendix K), and quality assurance documents for the input data sources (Appendix L).
## Our Assessment Of The Quality Of The Indices Of Deprivation
5.1.4
Based on the design and development of the Indices of Deprivation, and the quality assurance processes and actions, we have assessed that the Indices of Deprivation outputs are fit for purpose. This is based on our assessment of the level of risk of quality concerns and public interest in the Indices, which use the risk and profile matrix set out in the UK Statistics Authority toolkit.
5.1.5
In the following sections we outline how our quality management meets the criteria required for the basic and enhanced levels of assurance. Our quality assurance draws on the four practice areas associated with data quality set out by the UK Statistics Authority toolkit: operational context and data collection; communication with data suppliers; quality assurance principles, standards and checks; and quality assurance investigations carried out for enhanced assurance.
## 5.2 Designing The Indices To Ensure Quality
5.2.1
The starting point for the quality assurance work is that the Indices themselves have been designed to ensure the high quality of the output data. The design of the Indices of Deprivation 2015 is based on a set of principles and practices that help
to ensure data quality (more detail on the methods, domains and indicators is given in Chapters 3 and 4):
The domains and Index of Multiple Deprivation bring together 37 indicators of
deprivation, from a wide range of data sources. This sheer diversity of inputs
also leads to more reliable overall data outputs; to be highly deprived on the Index of Multiple Deprivation, an area is likely to be highly deprived on many of
the domains67. Due to the variety of data inputs, there is little chance that an
area is identified as highly deprived due to a bias in one of the component indicators; the use of multiple independent indicators increases robustness of the final outputs.
Shrinkage estimation is used to improve reliability of the small area data, by
'borrowing strength' from larger local authority districts. This tends to result in
unreliable values (those having larger standard errors) being shifted or 'shrunk' towards the average of the larger area. During the development of the Indices (see below), all indicators were compared before- and after-shrinking, to examine the extent of movement of unreliable scores.
The different domain scores are standardised (in order to combine them into the
overall Index of Multiple Deprivation) by ranking across all areas. This has the effect of pulling-in any extreme area scores that lie at the top or bottom of the distribution. Exponential transformation is then used to ensure that deprivation on one domain is not completely cancelled out by lack of deprivation on another domain.
The domains are weighted before combining into the overall Index of Multiple
Deprivation. The smallest weights are given to the two domains containing modelled indicators (Barriers to Housing and Services, and Living Environment), which therefore have a relatively small impact on the overall Index of Multiple Deprivation.
## 5.3 How We Have Ensured Quality Of The Indices Appropriate And Robust Indicators, Based On Well Understood Data Sources
5.3.1
As outlined in Chapter 3, the development of the Indices of Deprivation 2015 identified a set of 37 indicators that can be used to measure relative deprivation within each of the domains. These indicators are based on data sources that can be used to derive appropriate measures covering England at small area level. Chapter 4 sets out the sources used for each of the indicators. The data sources used as inputs to the Indices of Deprivation 2015 can be grouped into three types as shown in the table below.
5.3.2
For each of the input data sources used, the research team assessed and documented its quality. Appendix L lists the quality documents for each data source. Close communication with the data suppliers ensured that the strengths and weaknesses of the underlying sources and indicators were well understood. In
some cases, this led to potential indicators being rejected as not sufficiently robust to use in the Indices of Deprivation 2015 (see Appendix M).
Table 5.1. Types of data sources used as inputs to the Indices of Deprivation 2015
Data source
Notes
Documentation assessed
Published i.e. open data
Quality assurance report(s) supplied with the open data
The preference was to directly use, wherever possible, existing high quality open data sources that have themselves been validated as being of National Statistics quality. In some cases, small variations on open data sources were obtained from the same source through special request; for example Census
2011 data on qualifications and English language proficiency was obtained from the Office for National Statistics.
Quality assurance report(s) on the underlying administrative data sources
Administrative
data sources
made available to the research team
In the absence of appropriate published open data sources, the second preference was for the Indices of Deprivation 2015 to derive indicators from established and well-understood administrative data sources. These data sources, or indicators derived from them, were made available to the research team by data suppliers. In many cases, these data sources are also used by data suppliers to derive published statistical data outputs; for example the Income Deprivation and Employment Deprivation domains are in-part derived from the DWP Unified Publication Database, which is a source for DWP Official Statistics (many of which have themselves been assessed as being of National Statistics quality). In practice, the majority of indicators in the Indices were built directly from well-understood administrative sources in this way.
Modelled estimates derived for the Indices of Deprivation 2015
Quality assurance report(s) on any underlying data sources, and technical summaries of the methodology used to construct the indicator
In the small number of cases where there was an absence of appropriate open data or established and well-understood administrative data sources, the Indices of Deprivation 2015 used specially modelled estimates for the deprivation indicator at hand. In practice, this was the case for only three indicators: housing affordability, housing in poor condition and air quality. These were developed and quality assured by leading experts in the appropriate fields (see Chapter 4 for further details on these indicators).
5.3.3
In practice, the majority of the datasets used in the Indices of Deprivation 2015 were derived from administrative records, which have close to 100 per cent coverage and are not subject to sampling error. In many instances the raw administrative records are the same as those used to produce published National Statistics.
5.3.4
The research team conducted additional exploration of issues that could affect the quality of the sources, such as the impact of any changes since the Indices of Deprivation 2010, and considered actions to minimise risks to quality. These are set out in Appendices J and M. As an example, the team explored the impact on benefits data of people affected by sanctions, and the potential to adjust the
relevant indicators in the Income Deprivation and Employment Deprivation domains. Because data is only available on sanctions decisions taken during a particular month, and not on the total number of people subject to sanctions at a particular time point, the team were not able make adjustment for those subject to sanctions.
5.3.5
The following sections outline the quality assurance steps undertaken during the development of the data outputs. Appendix J provides further detail of the quality
assurance process, under the framework outlined by the UK Statistics Authority.
## Minimise The Impact Of Potential Bias And Error In The Input Data Sources
5.3.6
As set out in Section 5.2, the Indices of Deprivation have been carefully designed to minimise the impact of possible bias and error in the input data sources. The different processing stages, and range of different indicators used, mean that the resulting output datasets provide a robust identification of deprived areas.
5.3.7
An example of this comes from the Mood and anxiety disorders indicator of the Health and Disability Deprivation Domain. This indicator is constructed from four independent administrative data sources (see Section 4.6). Although none of the four sources on their own provide a comprehensive measure of mood and anxiety disorders, used in combination they represent a large proportion of all those suffering mental ill health. In addition, using the four component indicators in this way reduces the influence of under- or over-recording from any one source, and minimises the impact of any variation in the organisation and practice of local services, where individuals with identical mental health needs may receive different types of treatment. The combined indicator should therefore be a more precise measure of the underlying 'true' rate of mental health than any single indicator on its own.
## Views Of Data Users
5.3.8
This update of the Indices of Deprivation has involved close engagement with users to gather views on potential indicators and data sources, and to ensure that the outputs are of high quality and meet user needs. Their views were sought in the survey carried out in July 2014, the consultation in November 2014, and workshops in November and December 2014. There was considerable support for the methodology, including the new and enhanced indicators.
5.3.9
The Department for Communities and Local Government Project Board and its Advisory Group have also provided feedback on the methodology, data sources and quality assurance process.
## Audited, Replicable And Validated Processing Steps Are Used To Construct The Indicators, Domains And Index Of Multiple Deprivation 2015
5.3.10 All processing of the data was carried out using syntax, providing a complete audit
of the processing steps from input data sources through to data outputs68. Using
syntax avoids the risks associated with carrying out calculations and processing using spreadsheets.
5.3.11 The syntax also enabled clearer validation and audit of the work done, both
internally within the teams responsible for the domains and other members of the research team, and externally by the independent assessor (see paragraph 5.3.19). The checks included external replication and validation of the complete set of processing steps. The syntax was checked to confirm the processing steps were being implemented accurately, and produced data outputs as expected.
## Real World Validation Of The Data Inputs And Outputs
5.3.12 An important part of the checking process was to compare the Indices of
Deprivation 2015 data against the data used to construct the previous Indices (the Indices of Deprivation 2010) at all stages in the process. A range of methods were used, including plotting histograms and box plots to examine the range and distribution of data, and scatter plots and correlations to determine the overall association of data between years. The final domains and Index of Multiple Deprivation were tabulated for the 2015 and 2010 versions, and areas that had changed significantly between the versions were examined.
5.3.13 The administrative datasets used in the Indices of Deprivation are liable to change
between years as eligibility criteria, definitions and methodology are modified over time. To ensure that reliable data was used, the input data sources were compared thoroughly with the sources used in producing the previous Indices where available. This quality check was carried out before any data processing, in order to check for large differences that might indicate a methodological change in the administrative datasets being used.
5.3.14 Examining the input data sources also helped contextualise differences seen at a
later stage of data processing. For example, trends in benefit claimant numbers, or road traffic accidents, were used in the quality checks once data processing had been carried out, helping judge whether any change between years identified by the Indices data is realistic.
5.3.15 Where possible, the Indices of Deprivation 2015 data was compared to equivalent
published data to check that they were broadly similar. Small differences between the Indices of Deprivation 2015 data and published data are inevitable due to methodological differences, but significant differences could indicate a processing error. Published data was not always available at Lower-layer Super Output Area level so comparisons were made at a spatial scale that was possible, most commonly at local authority district level. Ideally this validation would have used data from independent sources to those used in constructing the Indices, however in practice this was not always possible as no such separate source existed.
5.3.16 The deprivation deciles of each indicator, sub-domain and domain were mapped
and the geographical pattern of deprivation examined. Checks of the overall distribution of deprivation across England were accompanied by more detailed checks of small areas known to the research team.
5.3.17 In addition, 'reality checks' were undertaken to consider whether the Indices of
Deprivation 2015 data corresponded with the expected pattern of deprivation. For example, overcrowding is expected to be more severe in urban areas than rural locations because cities are more densely populated. Reality checking provides an additional check that the data processing has been correctly carried out, and that the indicators, domains and overall Index of Multiple Deprivation have been correctly ranked.
## Internal And External Quality Assurance Checks
5.3.18 *Internal audit*. The data processing steps and data outputs were subject to a series
of internal quality assurance checks by the project team. Indicators and domains were reviewed by the team responsible for constructing the domain, and internally audited by a team member who was not involved in constructing the domain. The Index of Multiple Deprivation and higher-level summaries were reviewed and audited by three team members.
5.3.19 *External scrutiny of the complete process*. On completion of the Indices, an
external independent assessor carried out external validation and assurance of the data processing steps for construction of the indicators, domains and Index of Multiple Deprivation from start to finish. This external scrutiny included assessment of the data processing methods and syntax, and real-world analysis of the Indices of Deprivation 2015 output datasets against the Indices 2010 data outputs and comparable open data sources.
## Additional Enhanced Assurance Of Specific Data Sources
5.3.20 A small number of data sources were identified as requiring additional quality
assurance. These were related to indicators in the Crime Domain, the acute morbidity indicator in the Health Deprivation and Disability Domain, and the
modelled indicators of housing affordability and housing condition. The additional assurance work for these indicators is outlined in Appendix J.
## Roles And Responsibilities Of The Research Team And Data Suppliers
5.3.21 The development and construction of the Indices of Deprivation was a complex
project, involving multiple data suppliers and processing steps carried out by the research team. The composition of the research team carrying out the update of the Indices of Deprivation has been carefully considered to ensure quality of the data outputs.
5.3.22 In addition, clear communication and coordination between the different teams
involved was an important part of ensuring the quality of the final outputs. Regular contact with each of the data suppliers helped understand the strengths and weaknesses of the different input data sources and modelling techniques used.
## Appendix A. Indicator Details And Data Sources
A.1.1. This Appendix provides numerator and denominator details for each of the 37
indicators included in the Indices of Deprivation 2015.
A.1.2. As far as is possible, each indicator has been based on data from the most recent
time point available. Using the latest available data in this way means that there is not a single consistent time point for all indicators, however in practice most indicators in the Indices of Deprivation 2015 relate to the tax year 2012/13.
A.1.3. Where the denominator is detailed as residential population, this includes the
communal establishment population, but excludes any prison population.
## A.2. Income Deprivation Domain
Adults and children in Income Support families
Numerator: As described, 2012 (Department for Work and Pensions) Denominator (for summed Income Domain indicators): Total resident population mid-2012 (Office for National Statistics) less the prison population (Ministry of Justice).
Adults and children in income-based Jobseeker's Allowance families
Numerator: As described, 2012 (Department for Work and Pensions) Denominator (for summed Income Domain indicators): Total resident population mid-2012 (Office for National Statistics) less the prison population (Ministry of Justice).
Adults and children in income-based Employment and Support Allowance
families
Numerator: As described, 2012 (Department for Work and Pensions)
Denominator (for summed Income Domain indicators): Total resident population
mid-2012 (Office for National Statistics) less the prison population (Ministry of
Justice).
Adults and children in Pension Credit (Guarantee) families
Numerator: As described, 2012 (Department for Work and Pensions) Denominator (for summed Income Domain indicators): Total resident population mid-2012 (Office for National Statistics) less the prison population (Ministry of Justice).
Adults and children in Working Tax Credit and Child Tax Credit families
not already counted, that is those who are not in receipt of Income Support, income-based Jobseeker's Allowance, income-based Employment and Support Allowance or Pension Credit (Guarantee) and whose equivalised income (excluding housing benefit) is below 60 per cent of the median before housing costs
Numerator: As described, 2012 (HM Revenue and Customs) Denominator (for summed Income Domain indicators): Total resident population mid-2012 (Office for National Statistics) less the prison population (Ministry of Justice).
Asylum seekers in England in receipt of subsistence support,
accommodation support, or both
Numerator: As described, 2012 (Home Office) Denominator (for summed Income Domain indicators): Total resident population mid-2012 (Office for National Statistics) less the prison population (Ministry of Justice).
## A.3. Employment Deprivation Domain
Claimants of Jobseeker's Allowance (both contribution-based and
income-based), women aged 18-59 and men aged 18-64
Numerator: As described, four quarters from May 2012 to February 2013 (Department for Work and Pensions) Denominator (for summed Employment Domain indicators): Working-age population, women aged 18 to 59 and men aged 18 to 64 (Office for National
Statistics population estimates 2012 and 2013) less the prison population (Ministry of Justice). .
Claimants of Employment and Support Allowance (both contributionbased and income-based), women aged 18-59 and men aged 18-64
Numerator: As described, four quarters from May 2012 to February 2013 (Department for Work and Pensions) Denominator (for summed Employment Domain indicators): Working-age population, women aged 18 to 59 and men aged 18 to 64 (Office for National Statistics population estimates 2012 and 2013) less the prison population (Ministry of Justice).
Claimants of Incapacity Benefit, women aged 18-59 and men aged 18-64
Numerator: As described, four quarters from May 2012 to February 2013 (Department for Work and Pensions) Denominator (for summed Employment Domain indicators): Working-age population, women aged 18 to 59 and men aged 18 to 64 (Office for National Statistics population estimates 2012 and 2013) less the prison population (Ministry of Justice).
Claimants of Severe Disablement Allowance, women aged 18-59 and men
aged 18-64
Numerator: As described, four quarters from May 2012 to February 2013
(Department for Work and Pensions) Denominator (for summed Employment Domain indicators): Working-age population, women aged 18 to 59 and men aged 18 to 64 (Office for National Statistics population estimates 2012 and 2013) less the prison population (Ministry of Justice).
Claimants of Carer's Allowance, women aged 18-59 and men aged 18-64
Numerator: As described, four quarters from May 2012 to February 2013 (Department for Work and Pensions) Denominator (for summed Employment Domain indicators): Working-age population, women aged 18 to 59 and men aged 18 to 64 (Office for National Statistics population estimates 2012 and 2013) less the prison population (Ministry of Justice).
## A.4. Education Skills And Training Deprivation Domain
Key Stage 2 attainment
Numerator: Total score of pupils taking reading, writing and mathematics Key Stage 2 exams in maintained schools, 2010/11, 2011/12 and 2012/13 (Department for Education) Denominator: Total number of Key Stage 2 subjects taken by pupils in maintained schools, 2010/11, 2011/12 and 2012/13 (Department for Education).
Key Stage 4 attainment
Numerator: Total capped (best 8) score of pupils taking Key Stage 4 in maintained schools, 2010/11, 2011/12 and 2012/13 (Department for Education) Denominator: All pupils in maintained schools who took Key Stage 4 exams, 2010/11, 2011/12 and 2012/13 (Department for Education).
Secondary school absence
Numerator: Number of authorised and unauthorised absences from secondary school, 2010/11, 2011/12 and 2012/13 (Department for Education)
Denominator: Total number of possible sessions for 2010/11, 2011/12 and 2012/13 (Department for Education).
Staying on in education post 16
Numerator: Young people not staying on in school or non-advanced education above age 16, 2010, 2011 and 2012 (HM Revenue and Customs) Denominator: Young people aged 15 receiving Child Benefit in 2008, 2009 and 2010 (HM Revenue and Customs).
Entry to higher education
Numerator: Young people aged under 21 not entering higher education, 2009/10, 2010/11, 2011/12 and 2012/13 (Higher Education Statistics Agency) Denominator: Population aged 14-17, 2009, 2010, 2011 and 2012 (Office for National Statistics population estimates) less the prison population (Ministry of Justice).
Adult skills
Numerator: Working-age adults with no or low qualifications, non-overlapping count with English language proficiency indicator, women aged 25 to 59 and men aged 25 to 64, 2011 (Office for National Statistics, from Census 2011) Denominator: Working-age adults, women aged 25 to 59 and men aged 25 to 64, 2011 (Census).
**English language proficiency**
Numerator: Working-age adults who cannot speak English or cannot speak English well, non-overlapping count with Adult skills indicator, women aged 25 to 59 and men aged 25 to 64, 2011 (Office for National Statistics, from Census 2011) Denominator: Working-age adults, women aged 25 to 59 and men aged 25 to 64, 2011 (Census).
## A.5. Health Deprivation And Disability Domain
Years of potential life lost
Numerator: Mortality data in five-year age-sex bands, for 2008, 2009, 2010, 2011 and 2012 (Office for National Statistics) Denominator: Total resident population in five-year age-sex bands, for 2008, 2009, 2010, 2011 and 2012 (Office for National Statistics population estimates) less the prison population (Ministry of Justice).
Comparative illness and disability ratio
Numerator: Non-overlapping counts of people in receipt of Income Support, Disability Premium, Attendance Allowance, Disability Living Allowance, Severe Disablement Allowance, Incapacity Benefit in five-year age-sex bands, 2013 (Department for Work and Pensions) Denominator: Total resident population in five-year age-sex bands, 2013 (Office for National Statistics population estimates) less the prison population (Ministry of Justice).
Acute morbidity
Numerator: Hospital spells starting with admission in an emergency in five-year age-sex bands, 2011/12 and 2012/13 (Health and Social Care Information Centre, Hospital Episode Statistics) Denominator: Total resident population in five-year age-sex bands, 2011/12 and 2012/13 (Office for National Statistics population estimates) less the prison population (Ministry of Justice).
Mood and anxiety disorders
A composite based on the rate of adults suffering from mood and anxiety disorders (source: Health and Social Care Information Centre, 2013), hospital episodes data (source: Health and Social Care Information Centre, Hospital Episode Statistics, 2011/12 and 2012/13), suicide mortality data (source: Office of National Statistics, 2008, 2009, 2010, 2011 and 2012) and health benefits data (source: Department for Work and Pensions, 2013).
## A.6. Crime Domain
Violence
Numerator: 18 recorded crime offence types, 2013/14 (Association of Chief Police Officers, provided by the Home Office) Denominator: Total resident population, 2013 (Office for National Statistics) less the prison population (Ministry of Justice) plus the non-resident workplace population, 2011 (Census).
Burglary
Numerator: 4 recorded crime offence types, 2013/14 (Association of Chief Police Officers, provided by the Home Office) Denominator: Total residential dwellings, 2011 (Census), plus non-domestic addresses (Ordnance Survey's Address Base).
Theft
Numerator: 5 recorded crime offence types, 2013/14 (Association of Chief Police Officers, provided by the Home Office) Denominator: Total resident population, 2013 (Office for National Statistics) less the prison population (Ministry of Justice) plus the non-resident workplace population, 2011 (Census).
Criminal damage
Numerator: 8 recorded crime offence types, 2013/14 (Association of Chief Police Officers, provided by the Home Office) Denominator: Total resident population, 2013 (Office for National Statistics) less the prison population (Ministry of Justice) plus the non-resident workplace population, 2011 (Census).
## A.7. Barriers To Housing And Services Domain
Road distance to a post office
Population weighted mean of Output Area road distance score (the road distance from the populated weighted Output Area centroid to nearest Post Office), 2014 (Post Office Ltd).
Road distance to a primary school
Population weighted mean of Output Area road distance score (the road
distance from the populated weighted Output Area centroid to nearest primary school), 2014 (Department for Education Edubase).
Road distance to general store or supermarket
Population weighted mean of Output Area road distance score (the road distance from the populated weighted Output Area centroid to general store or supermarket), 2014 (Ordnance Survey).
Road distance to a GP surgery
Population weighted mean of Output Area road distance score (the road distance from the population weighted Output Area centroid to nearest GP premises), 2014 (Health and Social Care Information Centre).
Household overcrowding
Numerator: Overcrowded households, 2011 (Census) Denominator: Total number of households, 2011 (Census).
Homelessness
Numerator: Number of accepted decisions for assistance under the homelessness provisions of housing legislation, average of 2011/12, 2012/13 and 2013/14 (Department for Communities and Local Government) Denominator: Total number of households, 2011 (Census).
Housing affordability
Modelled estimate of households unable to afford to enter owner-occupation or the private rental market on the basis of their income, estimated primarily from the Family Resources Survey, Regulated Mortgage Survey, Land Registry house prices, and Valuation Office Agency market rents, 2012.
## A.8. Living Environment Deprivation Domain
Housing in poor condition
Modelled estimate of the probability that any given dwelling in the Output Area
(aggregated to Lower-layer Super Output Area level) fails to meet the Decent Homes standard, estimated from the English Housing Survey, 2011.
Houses without central heating
Numerator: As described, 2011 (Census) Denominator: Total number of households, 2011 (Census).
Air quality
Modelled estimates of air quality based on the concentration of four pollutants (nitrogen dioxide, benzene, sulphur dioxide and particulates), estimated from UK Air Information Resource air quality, 2012.
Road traffic accidents
Numerator: Injuries to pedestrians and cyclists caused by road traffic accidents, 2011, 2012 and 2013 (Department for Transport) Denominator: Total resident population, averaged over 2011 to 2013 (Office for National Statistics) less the prison population (Ministry of Justice) plus nonresident workplace population, 2011 (Census)
## Appendix B. Denominators
B.1.1. The majority of the 37 indicators used in the Indices of Deprivation 2015 are
expressed as rates or proportions, and thus require a numerator (for example the number of people experiencing a particular form of deprivation in an area) and a suitable denominator (for example the total number of people 'at-risk' of the deprivation in the same area). This Appendix details the issues involved and the data and methodology employed in the construction of estimates of the at-risk population for the various indicators.
## B.2. Choosing Suitable Denominators
B.2.1. A denominator should represent the population at-risk of experiencing a given type
of deprivation and therefore it is important to choose a denominator that relates to the numerator with which it will be combined. Certain indicators use numerators and denominators derived from the same data source, while other indicators require their numerators and denominators to be constructed from different sources. Whichever is required, it is important to try to ensure that each denominator includes only those individuals (or households, properties etc.) that are at-risk of experiencing the particular form of deprivation being measured by that indicator.
B.2.2. So, for example, in the Education, Skills and Training Deprivation Domain, the Key
Stage 2 attainment indicator is constructed by deriving both the numerator (the sum of points achieved in reading, writing and mathematics by pupils living in a Lower-layer Super Output Area) and the denominator (the sum of the number of subjects taken by pupils living in a Lower-layer Super Output Area) from the National Pupil Database dataset. Similarly, for the indicators where numerators were derived from the 2011 Census, the denominators were also drawn from the Census. Deriving both numerator and denominator using a single data source rules out any systematic error that arises from datasets of different coverage or representativeness.
B.2.3. For a considerable number of indicators, however, estimates of the at-risk
population need to be constructed using external data sources. This is discussed below.
## B.3. Data For The Denominators
B.3.1. 'Mid-year' population estimates at Lower-layer Super Output Area level are
published by the Office for National Statistics' Population Estimation Unit. These are a single year of age and sex mid-year estimates that are published in the years between censuses. These estimates are derived by 'aging' the previous Census estimates by adding in births, subtracting deaths and adjusting for migration. The
most recent mid-year estimates were published in October 201469, and relate to the mid-point of 2013.
B.3.2. Output Area level population denominators were used to create the four road
distance indicators in the Barriers to Housing and Services Domain. These
denominators use Census 2011 data, the latest year for which Output Area level data is available.
B.3.3. Data was also obtained from the Home Office on the number of prisoners per
single year of age and sex for each Lower-layer Super Output Area containing a prison.
## B.4. Defining The At-Risk Population
B.4.1. The population estimates used as denominators for many of the indicators included
resident population and communal establishment population, but excluded prison population. Prisoners were not included as they are not at-risk of many forms of deprivation captured in the Indices of Deprivation. Other types of communal establishment population (for example students; persons in care establishments; children in local authority homes) are at-risk of experiencing these forms of deprivation (age/sex restrictions allowing), and so were included in the denominator. This is the same definition of at-risk populations that was adopted for previous Indices.
## B.5. Age And Sex Profile
B.5.1. Some indicators required estimates of the total population for the denominator
while others required estimates of the population of a specific age and sex. Population estimates by five-year age band and sex, and by non-standard age/sex groupings as required by particular indicators, were created by the research team from the population estimates published by the Office for National Statistics. For example, the Employment Deprivation Domain required a denominator of males aged 18 to 64 and females aged 18 to 59, while the standardised health indicators required a population denominator for each five-year age-band and sex group.
## Appendix C. Changes Since The Indices Of Deprivation 2010 C.1. Changes To The Lower-Layer Super Output Area Geography
C.1.1. The Indices of Deprivation 2010, 2007 and 2004 used the 2001 Lower-layer Super
Output Area geography, developed for the 2001 Census.
C.1.2. The Office for National Statistics has since updated Lower-layer Super Output Area
geography using population data from the 2011 Census. Only a small number of changes were made between the 2001 and 2011 versions, with modifications to the boundaries of approximately 2.5 per cent of the 2001 Lower-layer Super Output Areas.
C.1.3. The Indices of Deprivation 2015 have been produced using this 2011 version of the
Lower-layer Super Output Area geography.
## C.2. Domains And Indicators
C.2.1. It has been possible to update almost all of the indicators in the Indices of
Deprivation 2010 with little or, at most, minor changes. Figure C.1 summarises the updated, new and modified indicators for each of the domains:
two new indicators are proposed, based on improved availability of robust data four modifications to indicators, due to improved data or estimation methods four indicators will be dropped, as these are no longer available or appropriate
to include.
C.2.2. Minor changes to indicators, for example due to changes in available data, and
changes to definitions are described in the text in the following sections.
## Changes To The Income Deprivation Domain
Modified indicator
Adults and children in Working Tax Credit and Child Tax Credit
families not already counted
Cases of Working Tax Credit where no Child Tax Credit is in
payment (for single people and childless couples) are included, in addition to cases where there is also Child Tax Credit in payment. As with Child Tax Credit, 'Working Tax Credit only' cases are included up to the income threshold - that is those whose equivalised income (excluding housing benefits) is below 60 per cent of the median before housing costs. The change to this indicator means that the Income Deprivation Domain now includes all people receiving tax credits who are below the income threshold.
Changes to data
and definitions70
Income-based Employment and Support Allowance replaced
Income Support paid because of an illness or disability for new claims (from October 2008). To account for this, adults and children in income-based Employment and Support Allowance families have been included in the domain in addition to adults and children in Income Support families.
## Changes To The Employment Deprivation Domain
New indicator
Claimants of Carer's Allowance
This indicator captures adults who are involuntarily excluded from the labour market due to caring responsibilities. The indicator is a non-overlapping count of Carers Allowance claimants of workingage excluding those who receive Jobseeker's Allowance, Employment and Support Allowance, Incapacity Benefit or Severe
Disablement Allowance71. Carers Allowance is payable to people
aged 16 or over who provide unpaid care for at least 35 hours a week to someone who is in receipt of disability or social care
benefits72 and who are a) not in full-time education or studying for more than 21 hours a week and b) earn less than £102 a week73.
Changes to data and definitions
New Deal and Flexible New Deal have been replaced by the Work Programme, so the three New Deal indicators included in the
Indices of Deprivation 201074 have been removed from the domain.
Participants in the Work Programme are still in receipt of
70 Universal Credit is replacing certain income related benefits. This will not affect the updated Indices since this change was introduced after the time point of the data used.
71 Note, not all claimants of Incapacity Benefit, Severe Disablement Allowance, contribution-based Employment and Support Allowance and contribution-based Jobseeker's Allowance are eligible for Carer's Allowance but it is payable to claimants of income-based Jobseeker's Allowance and income-based Employment and Support Allowance.
72 The social care benefits comprise: Personal Independence Payment daily living component, Disability Living Allowance - the middle or highest care rate, Attendance Allowance, Constant Attendance Allowance at or above the normal maximum rate with an Industrial Injuries Disablement Benefit, or basic (full day) rate with a War Disablement Pension or Armed Forces Independence Payment.
73 These are earnings after the deduction of taxes, care costs while at work and 50 per cent of pension contributions.
74 As shown in Figure C.1.
Jobseeker's Allowance so do not need to be included separately in the domain. There has been progressive replacement of Incapacity Benefit and Severe Disablement Allowance by contribution-based Employment and Support Allowance and income-based Employment and Support Allowance. This change has been reflected by including claimants of income-based Employment and Support Allowance as well as the contributory claimants. In addition, four quarters of data have been used rather than the previous single quarter, to be consistent with the other indicators in the domain. From May 2012, any lone parents whose youngest child is aged 5 or over are no longer eligible for Income Support and are now eligible for Jobseeker's Allowance. Accordingly this group is now counted in this domain if they receive Jobseeker's Allowance.
## Changes To The Education, Skills And Training Deprivation Domain
New indicator
English language proficiency
This indicator captures those adults who experience barriers to learning and disadvantage in the labour market because of lack of proficiency in English. Based on Census 2011 data, this indicator measures the proportion of the working-age population who cannot speak English, or cannot speak English 'well', and has been combined with the adults skills indicator to provide a nonoverlapping count of adults with no or low qualifications and/or lack of English language proficiency.
Modified indicator
Adult skills
The upper age threshold has been increased, from 54 in the Indices of Deprivation 2010, to 59 for women and 64 for men. This reflects that the majority of people aged 55 to retirement age are
economically active. The upper age limit is now consistent with
indicators in the Employment Deprivation Domain.
Changes to data and definitions
The Key Stage 3 attainment indicator included in the Indices of Deprivation 2010 has been removed from the Children and Young People sub-domain. This is because statutory tests were abolished and Key Stage 3 assessments became teacher assessment only from 2008/9. In order to strengthen the indicators on Key Stage 2 attainment, Key Stage 4 attainment, secondary school absence and staying on in education post 16, the average of three years' worth of data has been used (rather than the two years used previously). The numerator for the entry to higher education indicator is based on four years of data. The denominator for this indicator has also been constructed from four years of data, now possible due to the availability of annually updated data (a single year was used previously). The average points score for the Key Stage 2 attainment indicator no longer contains a science element, and there have been changes to the way the English element of Key Stage 2 has been assessed and graded.
## Changes To The Health Deprivation And Disability Domain
Changes to data and definitions
Data on claimants of Employment Support Allowance (which replaced Incapacity Benefit and Income Support paid because of an illness or disability for new claimants from 2008) has been incorporated into the comparative illness and disability ratio indicator
and the health benefits component of the mood and anxiety disorders indicator. Work Capability Assessments for Employment Support Allowance were introduced in 2008, reducing the number of people eligible for incapacity benefits.
## Changes To The Crime Domain
Changes to data and definitions
The Home Office periodically updates the counting rules that define what constitutes crime and the specific type of crime. Some minor updates have been made to the rules since the Indices of Deprivation 2010, but it has still been possible to replicate the indicators using the same definitions for 'violence', 'burglary', 'theft' and 'criminal damage'. The number of offence categories used for each crime indicator were revised for the Indices of Deprivation 2015, in order to maximise comparability with the Indices of Deprivation 2010:
Violence - 18 notifiable offence categories (previously 21) Burglary - 4 notifiable offence categories.
Theft - 5 notifiable offence categories Criminal damage - 8 notifiable offence categories (previously 11) See Appendix H for details of the notifiable offence categories used in the Indices of Deprivation 2015.
## Changes To The Barriers To Housing And Services Domain
Modified indicator
Housing affordability
The following changes were made to this indicator:
broadening the measure to include inability to afford to enter the
private rental market, in addition to the owner-occupied sector;
producing the indicator at Lower-layer Super Output Area level,
rather than at local authority level as was produced for the Indices of Deprivation 2010;
using local Housing Market Areas as the reference areas (see
Appendix I for information on Housing Market Areas), to reflect commuting and migration patterns, rather than the local authorities which were the reference areas for the Indices of Deprivation 2010;
improving the income estimation methodology
improving the indicator reliability, by increasing the upper age cut-
off from age 35 to age 40 to increase the sample size available for the statistical modelling.
The resulting indicator combines with equal weight the two underlying components: affordability of owner-occupation and affordability of private rented accommodation.
Change to data and
definitions
In order to strengthen the homelessness indicator, the average of
three years' worth of data is used (instead of one year used previously).
## Changes To The Living Environment Domain
Modified indicator
Housing in poor condition
The following changes were made to this indicator:
the four components of the Decent Homes standard were
modelled separately to improve accuracy;
the statistical model was created at dwelling-level, rather than the
Output Area level measure created previously;
to reflect policy changes since the indicator was last produced, the
Housing Health and Safety Rating System was used instead of the previous fitness standard.
Change to data and definitions
Changes to national targets on air quality mean that the particulate matter component of the air quality indicator will now be based on particles less than 2.5 micrometres in diameter (10 micrometres was used previously)
## Appendix D. The Shrinkage Technique D.1. Improving The Reliability Of Small Area Data Values Using Shrinkage Estimation
D.1.1. The shrinkage technique is designed to deal with the problems associated with
small numbers in a Lower-layer Super Output Area. In some areas - particularly where the at-risk population is small - data may be 'unreliable', that is more likely to be affected by sampling and other sources of error.
D.1.2. The technique of shrinkage estimation (in other words empirical Bayesian
estimation) is used to 'borrow strength' from larger areas to avoid creating unreliable small area data. Shrinkage estimation involves moving Lower-layer Super Output Area scores towards another more robust score, often relating to a higher geographical level. All Lower-layer Super Output Area scores will move somewhat through shrinkage, but those with large standard errors (in other words the most 'unreliable' scores) will tend to move the most. The Lower-layer Super Output Area score may be moved towards a 'more deprived' or 'less deprived' score through shrinkage estimation. Without shrinkage, some Lower-layer Super Output Areas would have scores which do not reliably describe the deprivation in the area due to chance fluctuations from year to year.
D.1.3. It could be argued that shrinkage estimation is inappropriate for administrative data
which are, in effect, a census. This is not correct. The problem exists not only where data are derived from samples but also where scans of administrative data effectively mean that an entire census of a particular group is being considered. This is because such censuses can be regarded as samples from 'superpopulations', which one could consider to be samples in time. All the data from administrative sources and the 2011 Census are treated as samples from a superpopulation in this way, and the shrinkage technique was applied to indicators which use this data. The exceptions are the modelled indicators, road distance indicators and indicators supplied at local authority district level.
## Selecting The Larger Areas From Which Unreliable Small Area Data Can Borrow Strength
D.1.4. The principle for selecting the larger area should be that the Lower-layer Super
Output Areas within them share characteristics. In the current shrinkage methodology, local authority districts are used. The Lower-layer Super Output Areas within a single district share issues relating to local governance and possibly to economic sub-climates. To a certain extent, they may also share issues relating to labour market sub-climates.
D.1.5. There are various other contenders for larger areas from which unreliable small
area data can borrow strength. The Government Statistical Service Methodology Advisory Committee suggested alternatives to the current local authority district geography that could be explored. Following discussion with the project Advisory Group, the Office for National Statistics Super Output Area Classification was investigated as a potential 'larger area' from which small area data could 'borrow strength'.
D.1.6. The impact of using clusters defined by the Super Output Area Classification as the
larger areas to which Lower-layer Super Output Areas are 'shrunk' was investigated and compared with the impact of shrinkage to local authority
districts75. The analysis was undertaken using the Indices of Deprivation 2010,
examining the impact of shrinkage using different larger areas on Lower-layer
Super Output Area ranks in the Income Deprivation Domain, the Employment Deprivation Domain, and on the Key Stage 4 indicator in the Education, Skills and Training Deprivation Domain.
D.1.7. It was found that when estimates for Lower-layer Super Output Areas were shrunk
to the mean score of their cluster (as defined by the Super Output Area Classification), a greater number of Lower-layer Super Output Areas changed rank than if they were shrunk to the mean score of the local authority district. Shrinkage
to the mean score for their cluster also results in more Lower-layer Super Output Areas moving from 'more deprived' to 'less deprived' than in the other direction (in comparison with shrinkage to local authority districts).
D.1.8. Whichever larger area was selected, the overwhelming majority of Lower-layer
Super Output Areas remained within the same decile of deprivation after shrinkage. So, for example, taking the most deprived decile of the Income
Deprivation Domain, out of 3,248 Lower-layer Super Output Areas76, 3,243 of them
remained in the same decile after shrinkage to the district mean and 5 moved to the adjacent, less deprived decile. If shrinkage was applied to the mean of the Super Output Area Classification cluster, then 3,236 remained in the most deprived decile while 12 moved to the adjacent decile. More Lower-layer Super Output Areas moved out of the most deprived decile into a less deprived decile when shrinkage was to the mean for the Super Output Area Classification cluster than when it was to the district mean.
D.1.9. Other factors were considered in addition to the above assessment of the two
options for shrinkage. The main consideration was whether Lower-layer Super Output Areas have more in common (in terms of the underlying drivers of deprivation) with other such areas in the same cluster elsewhere in England than they do with those in their own local authority district. Other considerations were
that the approach used should be transparent, and whether there is a perceived advantage to containing the impact of shrinkage within a local authority district, as occurs when shrinking to the district mean.
D.1.10.
Having considered the results of the investigation there was no clear evidence that shrinkage to Super Output Area Classification clusters would be preferable, and the conclusion was to continue with the approach of shrinking to local authority districts.
## D.2. The Shrinkage Calculation
D.2.1. The actual mechanism of the shrinkage procedure is to estimate deprivation in a
particular Lower-layer Super Output Area using a weighted combination of (a) data from the Lower-layer Super Output Area, and (b) data from another more robust
score (in the case of the Indices, this is the local authority district score). The weight attempts to increase the efficiency of the estimation, while not increasing its bias. For example, if the Lower-layer Super Output Area score has a large standard error and the score is out of line with other Lower-layer Super Output Area scores in the local authority then the Lower-layer Super Output Area score moves towards the district score. The amount of movement depends on both the size of the standard error and the amount of heterogeneity amongst the Lowerlayer Super Output Areas in a local authority district.
D.2.2. The 'shrunk' estimate of a Lower-layer Super Output Area level proportion (or ratio)
is a weighted average of the two 'raw' proportions for the Lower-layer Super Output Area and for the corresponding District. The weights used are determined by the relative magnitudes of within-Lower-layer Super Output Area and between-Lowerlayer Super Output Area variability.
If the rate for a particular indicator in Lower-layer Super Output Area j is rj events out of a population of nj, the empirical logit for each Lower-layer Super Output Area is:
$$m_{\rm j}=\log\Biggl{[}\frac{(r_{\rm j}+0.5)}{(n_{\rm j}-r_{\rm j}+0.5)}\Biggr{]}$$
whose estimated standard error $\rm s_{\rm j}$ is the square root of:
$${\rm s_{\rm j}}^{2}=\frac{(n_{\rm j}+1)(n_{\rm j}+2)}{n_{\rm j}(r_{\rm j}+1)(n_{\rm j}-r_{\rm j}+1)}$$
The corresponding counts r out of n for the district in which Lower-layer Super Output Area j lies gives the district-level logit:
$M=\log\Biggl{[}\frac{(r+0.5)}{(n-r+0.5)}\Biggr{]}$
The 'shrunk' Lower-layer Super Output Area level logit is then the weighted average:
$m_{j}^{{}^{\prime}}=w_{j}m_{j}+\bigl{(}1-w_{j}\bigr{)}M$
where wj is the weight given to the 'raw' Lower-layer Super Output Area-j data and (1-wj) the weight given to the overall rate for the district. The formula used to determine wj is:
$$\mathbf{w}_{\mathrm{j}}={\frac{1/\mathbf{s}_{\mathrm{j}}^{2}}{1/\mathbf{s}_{\mathrm{j}}^{2}+1/\mathbf{t}^{2}}}$$
where t2 is the inter-Lower-layer Super Output Area variance for the k Lowerlayer Super Output Areas in the district, calculated as:
$$t^{2}=\frac{1}{k-1}\sum_{j=1}^{k}\left(m_{j}-M\right)^{2}$$
j is relatively
D.2.3. Thus large Lower-layer Super Output Areas, where precision 1/s2
large, have weight wj close to 1 and so shrinkage has little effect. The shrinkage
effect is greatest for small Lower-layer Super Output Areas in relatively homogeneous districts.
The final step is to back-transform the shrunk logit $\mathrm{m_{j}}^{*}$ using the 'anti-logit', to obtain the shrunk Lower-layer Super Output Area level proportion for each Lower-layer Super Output Area:
$$z_{j}=\frac{\exp\left(m_{j}^{*}\right)}{1+\exp\left(m_{j}^{*}\right)}$$
## Appendix E. Factor Analysis E.1. Combining Different Types Of Indicator Using Factor Analysis
E.1.1. In a number of the domains, factor analysis is used as a method for combining
indicators, by finding appropriate weights for combining indicators into a single
score based on the inter-correlations between all the indicators77.
E.1.2. Factor analysis is only used in domains where 'latent variables' are hypothesised
to exist and where the indicator variables are 'effect indicators', i.e. indicators that
are influenced by the latent variable. In practice, the technique is applied to three domains: the Children and Young People sub-domain of the Education, Skills and Training Deprivation Domain, the Health Deprivation and Disability Domain, and the Crime Domain.
E.1.3. There are many candidates in terms of types of factor analysis. Two of the main
contenders are maximum likelihood factor analysis (as used in the current and previous versions of the Indices of Deprivation) and Principal Components Analysis. The distinction between maximum likelihood factor analysis and Principal Components Analysis is a technical one. In brief, the assumptions underpinning Principal Components Analysis are that the indicators going into the analysis are perfectly reliable and measured without error. Maximum likelihood factor analysis requires no such assumption.
E.1.4. It is not the aim of this analysis to reduce a large number of variables into a
number of theoretically significant factors as is usual in much social science use of factor analysis. The indicators within a domain have been chosen because they are held to measure a single area-deprivation factor. The analysis therefore involves exploring a one-common factor model against the possibility of there being more than one meaningful factor. If a meaningful second common factor is found it would suggest the need for a new domain or the removal of variables. This
possibility can be examined through standard tests and criteria, such as examination of Eigen values. No meaningful second factors (in other words second factors that measured deprivation) emerged in any of the domains.
## E.2. The Process For Combining Indicators Using Factor Analysis
E.2.1. The process of combining indicators using factor analysis comprised three stages:
1. All indicators were converted to the standard normal distribution (following
shrinkage, where appropriate).
2. The standardised scores were factor analysed (using the Maximum Likelihood
method), deriving a set of weights.
3. The indicators were then combined using these weights.
## Appendix F. Exponential Transformation F.1. Using Exponential Transformation To Prepare The Domains For Combination
F.1.1. In order to combine the domains into an overall Index of Multiple Deprivation, the
domain scores first need to be standardised. Any standardisation and transformation should meet the following criteria:
*Standard distribution*. It must ensure that each domain has a common
distribution, so that domains can be combined, without one domain dominating
due to a much larger distribution.
*Cancellation*. It must have an appropriate degree of 'cancellation' built into it
(discussed below)
*Identify deprived areas*. It must facilitate the easy identification of the most
deprived Lower-layer Super Output Areas.
*Scale independent*. It must not be scale dependent (in other words confuse
population size with level of deprivation).
F.1.2. The standardisation and transformation used in the Indices of Deprivation 2015
involves each of the domain scores being ranked, and then the ranks are transformed to an exponential distribution. The exponential distribution has a number of properties that satisfy the criteria above, most importantly that it enables control over cancellation and it helps identify the most deprived Lower-layer Super Output Areas.
Standard distribution
F.1.3. The exponential distribution transforms each domain so that they each have a
common distribution, the same range and identical maximum / minimum values. The process starts by ranking the scores in each domain to standardise the domain scores (from 1 for the least deprived, to 32,844 for the most deprived),
before applying the exponential transformation procedure to create a standardised domain score ranging from 0 (least deprived) to 100 (most deprived).
Cancellation
F.1.4. The exponential transformation procedure gives control over the extent to which
lack of deprivation in one domain cancels or compensates for deprivation in another domain. It allows precise regulation, although not elimination, of these cancellation effects. The scaling constant (23) used produces roughly 10 per cent cancellation. This means that in the extreme case, a Lower-layer Super Output Area which was ranked most deprived on one domain but least deprived on another would overall be ranked at the 90th percentile in terms of deprivation (if the
two domains were equally weighted). This compares to the 50th percentile if the
untransformed ranks or a normal distribution had been used instead. For example a Lower-layer Super Output Area that ranked most deprived in terms of the Income Deprivation Domain but was ranked least deprived on the Barriers to Services Domain would still be at the 90th percentile (top 10 per cent) if these two domains were combined with equal weights.
Identify deprived areas
F.1.5. The exponential transformation effectively spreads out that part of the distribution
in which there is most interest - that is the 'tail' which contains the most deprived Lower-layer Super Output Areas in each domain. The scaling constant ensures
that the most deprived 10 per cent of Lower-layer Super Output Areas cover 50 per cent of the distribution of scores (in other words, scores between 50 and 100 after exponential transformation).
Scale independent
F.1.6. The transformation is not affected by the size of the Lower-layer Super Output
Area's population.
## F.2. The Exponential Transformation Calculation
F.2.1. The transformation used is as follows:
For any Lower-layer Super Output Area, denote its rank on the domain R, scaled to the range [0,1]. R=1/N for the least deprived and R=N/N (in other words R=1) for the most deprived, where N=the number of Lower-layer Super Output Areas in England.
The transformed domain score X is given by:
X = - 23 $\ln\left(1\ \mbox{-}\ \mbox{R}\left(1\ \mbox{-}\ \mbox{exp}^{-100/23}\right)\right)$
where '$\ln$' denotes natural logarithm and '$\exp$' the exponential or antilog transformation
F.2.2. Figure F.1 illustrates the effect of the exponential distribution using the Income
Deprivation Domain as an example. The first figure shows the distribution of the Income Deprivation scores, in other words the percentage of income-deprived people in each area. The second figure shows the exponentially transformed
domain scores, which range from 0 to 100. The 10 per cent most deprived Lowerlayer Super Output Areas (numbering 3,248) have an exponentially transformed score between 50 and 100. The remaining 90 per cent have an exponentially transformed domain score between 0 and 50.
## Appendix G. Weighting The Domains G.1. Weighting The Domains To Create An Overall Index Of Multiple Deprivation
G.1.1. Combining the different domains into an overall index always involves weighting
the domains, whether the weights are set explicitly or not. Greater weight on a specific domain gives greater importance to that domain in the overall index. Weights may be set explicitly, as they were in the Indices of Deprivation 2000 and subsequent updates. If domain scores were simply added together (after standardisation), this explicitly gives each domain an equal weight. Conversely, if
domains are not standardised to lie on the same scale or distribution, then weights are set implicitly by the domain distributions.
G.1.2. In the final analysis there is no ultimate method by which to measure multiple
deprivation, as it is a combination of individual deprivations measured in the component domains. However, the choice of weights is not arbitrary; for the Indices of Deprivation 2000 and subsequent updates, the aim was that the weights should be explicit and based on clear criteria:
Income and Employment Domains should carry more weight than the other
domains. This is supported by research and the wider academic literature, for example the work of Townsend. Accordingly, the Income and Employment Domains have been given the highest weights, accounting for 45 per cent between them of the final domain weights in Indices of Deprivation 2015.
Domains with the most robust indicators should be given the greater weights.
Only those indicators which are sufficiently robust are included within the Indices. In addition, all the indicators meet specific criteria for being included: they are 'domain specific' and measure major features of deprivation in that domain, are up-to-date, are capable of being updated on a regular basis, and
are available across England at a small area level. The relative robustness of
the indicators was gauged by extensive and detailed quality assurance testing
of the data which also drew on extensive experience of working with such data.
G.1.3. During the consultation for the Indices of Deprivation 2000 and each of the
subsequent English Indices of Deprivation, there has been a great deal of support for the weights chosen. Subsequent assessment of potential weights based on empirical methodologies (see below) also supports the weights used for Indices of Deprivation 2010.
G.1.4. Assessment of potential weights based on empirical methods showed consistent
results. Analysis commissioned from Dibben et al78 explored three alternative
empirical methods for setting domain weights, rather than the theoretical basis outlined above:
Survey approach - How does living in the conditions measured by each domain
affect an individual's chance of being socially excluded? This used data from the Millennium Poverty and Social Exclusion Survey to examine the contributions of different domains to a social well-being measure closely related to social exclusion.
Revealed preference approach - How does the state divide up the 'public
purse' between different policies aimed at reducing the proportion of the population affected by each of the domains of deprivation? This analysis allocated departmental and local government spend between each of the domains
Discrete Choice Experiment - Given a choice between individuals living in
these different conditions, who is felt to be most in need of support from the government? The experiment surveyed 1,000 households, asking respondents
to choose between supporting individuals with different types of deprivation; these responses were used to derive empirical weights for the domains.
G.1.5. There was close overall agreement between the three empirical methods for
deriving domain weights, and the actual domain weights, with the research recommending a single change to the weights - switching the weights of the Employment Domain (from 22.5 per cent to 13.5 per cent) and Health and Disability Deprivation Domain (from 13.5 per cent to 22.5 per cent) domains. This change makes little difference to the overall Index distribution, with a very high correlation between the original and revised indices.
G.1.6. With reference to these research findings, the use of these weights was revisited in
the most recent consultations preceding the release of the Indices of Deprivation
200779 and Indices of Deprivation 201080. Both consultations found 89 per cent of
respondents were in favour of keeping the weights the same. Furthermore, the survey of users in July 2014 did not reveal significant support for moving to new weights. In light of the very high level of user support, the weights used in the Indices of Deprivation 2015 remain as used in the Indices of Deprivation 2010.
## Appendix H. Categories Of Recorded Crime
H.1.1. This Appendix sets out the categories of recorded crime used for the Crime
Domain indicators. See Chapter 4 for details of the domain and indicators.
Violence
Table H.1. Home Office offence codes used for the violence indicator
Offence code
Offence name
1
Murder
4.1
Manslaughter
4.2
Infanticide
2
Attempted murder
37/1
Causing Death by Aggravated Vehicle Taking
5D
Assault with intent to cause serious harm
5E
Endangering Life
8N
Assault with injury
8P
Racially or Religiously Aggravated Assault with Injury
8L
Harassment
8M
Racially or Religiously Aggravated Harassment
9A
Public Fear Alarm or Distress
9B
Racially or Religiously Aggravated Public Fear, Alarm or Distress
105A
Assault without Injury
105B
Racially or religiously Aggravated Assault without Injury
34A
Robbery of Business Property
34B
Robbery of Personal Property
62A
Violent disorder
## Burglary
Table H.2. Home Office offence codes used for the burglary indicator
Offence code
Offence name
28A/B/C/D
Burglary in a dwelling
29
Aggravated Burglary in a dwelling
30A/B
Burglary in a building other than a dwelling
31
Aggravated Burglary in a building other than a dwelling
## Theft
Table H.3. Home Office offence codes used for the theft indicator
Offence code
Offence name
37/2
Aggravated Vehicle Taking
39
Theft from the Person
45
Theft from a Motor Vehicle
48
Theft or Unauthorised Taking of Motor Vehicle
126
Interfering with a motor vehicle
## Criminal Damage
Table H.4. Home Office offence codes used for the criminal damage indicator
Offence code
Offence name
56A
Arson endangering life
56B
Arson not endangering life
58A
Criminal Damage to a dwelling
58B
Criminal Damage to a building other than a dwelling
58C
Criminal Damage to a vehicle
58D
Other Criminal Damage
58J
Racially or Religiously Aggravated Criminal Damage
59
Threat or possession with intent to commit Criminal Damage
## Appendix I. Housing Market Area Geography
I.1.1.
Figure I.1 shows the Housing Market Area geography across Great Britain. Lowertier Housing Market Areas, shown with black boundaries, have been used in producing the indicator of housing affordability. The resulting indicator is produced at Lower-layer Super Output Area level.
I.1.2.
Work to determine a geography for Housing Market Areas was carried out by Heriot-Watt University and the Universities of Manchester, Newcastle and Sheffield. The research was published by the Department of Communities and
Local Government in November 201081. The research sought to identify the optimal
areas within which planning for housing should be carried out, since housing market dynamics and population changes do not respect administrative boundaries such as for local authorities.
I.1.3.
The resulting Housing Market Area geography took into account commuting and migration patterns using 2001 Census data, and the extent to which areas were
'self-contained'82:
Upper-tier Housing Market Areas, defined by a high level of commuting selfcontainment.
Lower-tier Housing Market Areas (277 areas in England). The upper-tier
Housing Market Areas were further subdivided, with larger and more urban upper-tier areas with more localised housing market conditions divided according to migration patterns.
##
Upper-tier - purple boundaries Lower-tier - black boundaries nested within purple boundaries Reproduced from the Geography of housing market areas: Executive summary, Department for Communities and Local Government, November 2010, p9
www.gov.uk/government/publications/housingmarket-areas
## Appendix J. Quality Assurance Of The Indices Of Deprivation 2015 J.1. Level Of Assurance
J.1.1. The quality assurance of the Indices of Deprivation 2015 used the risk and profile
matrix set out in the UK Statistics Authority Administrative Data Quality Assurance
Toolkit83, summarised in the table below.
Public interest profile
Table J.1. Risk and profile matrix for administrative data quality assurance
Level of risk of
quality concerns
Lower
Medium
Higher
Low
Statistics of lower quality concern and lower public interest [A1]
Statistics of low quality concern and medium public interest [A1/A2]
Statistics of low quality concern and higher public interest [A1/A2]
Medium
Statistics of medium quality concern and lower public interest [A1/A2]
Statistics of medium quality concern and medium public interest [A2]
Statistics of medium quality concern and higher public interest [A2/A3]
High
Statistics of higher quality concern and lower public interest [A1/A2/A3]
Statistics of higher quality concern and medium public interest [A3]
Statistics of higher quality concern and higher public interest [A3]
## Level Of Risk Of Quality Concerns
J.1.2. Our assessment for each indicator, domain and the overall Index of Multiple
Deprivation is based on the criteria set out in the table below.
Table J.2. Our criteria for assessing the level of risk of quality
Summary
What weight does this indicator contribute to the overall Index of
Multiple Deprivation?
Our assessment of level of risk of quality concerns: Low; Medium;
High.
Is the indicator published (i.e. open data), in a form that could be
used to create the indicator relatively straightforwardly?
Operational context and data collection
If published as open data, is the indicator National Statistics? (i.e. of
recognised quality, and with appropriate quality assurance documentation)
If the indicator is not published as open data, is it based on
underlying datasets that are themselves used to generate National Statistics?
Is the underlying data used for payments (e.g. benefit systems)? (i.e.
likely to high quality and regularly audited)
Is the underlying data used for performance targets (e.g. crime
data)? (i.e. risk of performance pressure)
Is the underlying source data collated from separate sources? (i.e.
risk of inconsistent processes across the difference sources)
Have any statistical disclosure control methods been applied to the
data before being provided to us?
Communication with data suppliers
Is there a single point of contact with the data supplier? Have the data supplier and project team established appropriate
contact points to discuss data supply and quality assurance?
Has sufficient quality assurance documentation been provided by
the data supplier?
Have concerns been raised by suppliers, users or reviewers over the
quality of the indicator or underlying data sources?
If any such concerns have been raised, have these been responded
Quality assurance principles, standards and checks
to in the Indices methodology and/ or documentation?
Do good proxy datasets exist for validating the indicator against realworld data sources? E.g. if the underlying datasets are not published, are any derivatives from the datasets available for our quality assurance validation such as data at local authority district level?
## J.1.3. Based On Our Assessment Of The Indices Inputs And Outputs, We Have Identified:
The domains and overall Indices of Multiple Deprivation have a low Level of risk
of quality concerns. These datasets might be seen to have a *high* risk of quality concerns due to the number of different data collection bodies, and complex data collection processes. However these risks are mitigated by the design, data processing, and multiple independent indicators used, in developing the domains and the Index of Multiple Deprivation.
The input indicators have a mixture of *low* and *medium* concerns over data
quality. For each of the data sources used for the indicators, Appendix L sets
out the main quality assurance documents available.
## Public Interest Profile
J.1.4. Based on our assessment of the Indices inputs and outputs, we have identified the
public interest in the Indices:
*Medium* public interest in the overall Index of Multiple Deprivation and higher
level summary measures;
*Lower / medium* public interest for the domains; *Lower* public interest for the underlying indicators used in the Indices.
## Overall Level Of Assurance
J.1.5. Based on our assessment of the Indices inputs and outputs, we have determined
the level of assurance required to be as follows:
*Enhanced assurance* is appropriate for the overall Index of Multiple Deprivation
and higher level summary measures, and a small number of specific datasets: the Crime Domain indicators, the acute morbidity indicator in the Health
Deprivation and Disability Domain, and the housing affordability and housing condition modelled indicators. Additional assurance work for these indicators is outlined in Appendix J.3 below.
*Basic assurance* is appropriate for the remaining indicators and domains.
## J.2. Quality Management Actions
J.2.1. The work to produce the Indices of Deprivation has incorporated a number of
actions to ensure quality, which are set out in Chapter 5. The table below lists the primary actions against the quality management actions framework set out in the
UK Statistics Authority toolkit84.
Actions
## Table J.3. Quality Management Actions Undertaken For Quality Assurance Of The Indices Of Deprivation Quality Management Area
Manage
Design of the Indices, including quality of the input data sources;
statistical techniques to improve the reliability of small area data; and communication with data suppliers and users.
Clear roles and responsibilities across the research team and
data suppliers, and separate internal and external quality assurance checks.
Communicate
Review of potential data sources with data suppliers, to identify
strengths and weaknesses of the data sources and data processing considered for inclusion in the Indices.
Regular dialogue with data suppliers and the research team. Documenting quality guidelines and quality assurance for all
input data sources used in the Indices (see Appendix L)
Description of the indicators used in the Indices, including biases
and assumptions.
Engagement with users of the Indices of Deprivation outputs,
including 250 responses to the survey on the draft proposals, 100 responses to the final consultation and over 125 attendees
at workshops.
Investigate
Quality assurance of all data sources used as inputs in the
Indices, including review of quality processes for administrative and survey data, and modelling methodologies used to develop specific indicators.
Quality assurance of the processing steps used to construct all
indicators, sub-domains, domains, the overall Index of Multiple Deprivation, and the higher area level summaries.
Real world validation of the outputs against data from the
previous Indices of Deprivation 2010, as well as appropriate open data sources. This included sense checking of geographic
## Actions Table J.3. Quality Management Actions Undertaken For Quality Assurance Of The Indices Of Deprivation Quality Management Area
patterns and time series trends. Ideally this validation would have used data from independent sources to those used in constructing the Indices; however in practice this was not always possible as no such separate source existed.
In addition to the quality assurance carried out when
constructing the domains, internal audit and external scrutiny are carried out on the complete process. These include scrutiny of the methods, processing syntax, and the constructed datasets.
The internal audit was carried out on a domain-by-domain basis by a team member not involved in the construction of the domain. The external scrutiny was carried out by an external academic, to provide independent verification.
## J.3. Enhanced Assurance
J.3.1. A small number of specific datasets were identified as requiring additional quality
assurance: the Crime Domain indicators, the acute morbidity indicator in the Health Deprivation and Disability Domain, and the housing affordability and housing condition modelled indicators. The additional assurance work for these indicators is outlined below.
## Crime Domain
J.3.2. The Crime Domain has been included since the 2004 Indices, based on indicators
that use police recorded crime datasets. These datasets are currently under scrutiny in efforts to improve their quality. The Public Administration Select
Committee85 and Her Majesty's Inspectorate of Constabulary86 have identified
concerns with crimes being under-recorded and/or miscategorised. The UK Statistics Authority removed the National Statistics designation from statistics
based on recorded crime data in January 2014 87.
J.3.3. In its final report88, Her Majesty's Inspectorate of Constabulary concluded that up to
20 percent of crimes may be going unrecorded. The report acknowledges that there appears to be some variation in the level of under-recording between police forces, but it is not possible to give a reliable statistical measure of this variation between forces. Neither is it possible to infer how this variation applies at lower geographical levels or between more or less deprived neighbourhoods. Therefore
geographical adjustments cannot be made to the police recorded crime data used in the Indices to take under-recording into account.
J.3.4. However, the Indices themselves are designed to help ensure the quality of the
output datasets by minimising the impact of bias and error in the input data
sources:
The Crime Domain is based on a combination of multiple crime types, which
have different geographical distributions, and potentially different underrecording distributions, and which are then used to rank areas. The distribution of the Crime Domain ranks is therefore likely to be more reliable than the distribution of any one of the underlying offences.
As the Crime Domain uses a large set of crime categories (see Appendix H),
miscategorisation of crimes will often not affect the Domain. For example,
'Assault with intent to cause serious harm', 'Assault with injury' and 'Assault without Injury' are each included under the violence indicator; a miscategorisation between these offences will therefore have no impact on the indicator.
The overall Index of Multiple Deprivation 2015 brings together 37 indicators of
deprivation, from a wide range of data sources. As discussed in Chapter 5, due to the variety of data inputs there is little chance that an area is identified as highly deprived due to a bias in one of the component indicators; the use of multiple independent indicators increases robustness of the final outputs.
In addition, the team has carried out enhanced quality assurance checks and
processes to ensure the quality of the crime data outputs, which are described in the section below.
J.3.5. Taking into account the findings of the final report from Her Majesty's Inspectorate
of Constabulary, the data exploration undertaken by the research team, and the support from users, the Indices of Deprivation 2015 continues to use police recorded crime data for the Crime Domain as the best available source of information on crime levels at small area level.
## Additional Quality Checks And Processes Carried Out On The Police Recorded Crime Datasets
J.3.6. The individual-level geocoded recorded crime data used to construct the Crime
Domain of the Indices of Deprivation 2015 was drawn primarily from the routine monthly data extracts provided by the 39 regional police forces in England to the Home Office for the purpose of administering the police.uk website. The Association of Chief Police Officers granted members of the Indices of Deprivation 2015 research team access to the raw (i.e. non-anonymised) police data within a secure police setting for the purposes of updating the Indices.
J.3.7. In addition to the quality assurance checks already performed by the Association of
Chief Police Officers and the Home Office in producing the police.uk open data source, the research team performed an extensive series of checks on the geocoded police data to ensure the appropriate levels of accuracy and completeness prior to incorporation into the Crime Domain. As well as the quality checks carried out, various techniques were used to maximise the quality of the aggregate crime counts constructed from the raw geocoded crime data.
J.3.8. The most important checking process carried out was to compare the Indices of
Deprivation 2015 crime counts generated from the raw individual-level geocoded data, against aggregate crime counts at the Police Force-level and Community Safety Partnership-level that are supplied separately by each police force to the Home Office and which are available as open data. These checks of geocoded
data against the open data, aggregate statistics were performed at the end of each major data processing phase of the Crime Domain. Primarily, these checks enabled assessment of:
the degree to which the raw geocoded data contained the correct number of
crime records (per crime type, time period and Police Force) prior to any mapping being undertaken; and
the degree to which the geocoded data could be successfully mapped to
appropriate Lower-layer Super Output Areas using the grid reference and/or postcode of offence location.
J.3.9. Where checks revealed discrepancies between the geocoded data and the open
data, an enquiry was submitted to the relevant police force. Where necessary, a follow-up data request was submitted to the police force for a bespoke extract of geocoded data for the purpose of the Crime Domain. These bespoke data extracts were then incorporated into the processing phases of the Crime Domain, and the checks against open data performed again.
J.3.10. The extensive checks performed on the final geocoded data demonstrated a high
level of correspondence with the publicly available open data at Police Force-level and Community Safety Partnership-level.
J.3.11. We have concluded that this data provides the best measure of crime levels at
Lower-layer Super Output Area level, and is fit for purpose to use as an input data source for the Indices of Deprivation 2015.
## Acute Morbidity Indicator In The Health Deprivation And Disability Domain
J.3.12. The acute morbidity indicator in the Health Deprivation and Disability Domain is an
age and sex standardised rate of emergency admission to hospital, based on Hospital Episode Statistics provided by the Health and Social Care Information Centre. Emergency admissions are defined as cases where 'admission is unpredictable and at short notice because of clinical need', and all emergency admissions greater than one day in length (where discharge is not on the same date as admission) are included.
J.3.13. Some concerns by users and researchers have been raised over the possibility of
practices by particular hospital trusts affecting the robustness of this indicator. As stated earlier, the use of multiple independent indicators is one means of minimising the impact of bias and error in input data sources on the Indices of Deprivation. But to further explore the possibility of bias in this input data source, we have carried out additional validation of the indicator as outlined below:
Quality assurance material from the supplier was reviewed to identify whether
there was specific coverage of this issue.
Correlation and funnel-plot analysis at Lower-layer Super Output Area level
showed that the distribution of short stay emergency admissions (of 1 day or less) is consistent with stays of all lengths. This suggests that there are no
large-scale systematic differences between hospital trusts in the way that shortstay and longer-stay emergency admissions are treated.
Strong correlations were found between the indicator and the overall Health
Deprivation and Disability Domain, and between the indicator and the corresponding indicator in the Indices of Deprivation 2010. In addition, analysis
of local authority data showed no surprising patterns of change between data from the Indices of Deprivation 2015 and Indices 2010.
J.3.14. Without reviewing the underlying primary data sources used to create the Hospital
Episodes Statistics data, it is not possible to categorically conclude that the data
accurately records the underlying level of acute morbidity need89. However, based
on our additional checks set out above, we have concluded that the indicator is the best available measure of acute morbidity, and is fit for purpose as an input
indicator into the Indices of Deprivation 2015.
## Housing Affordability And Housing Condition Modelled Indicators
J.3.15. Where possible the Indices of Deprivation uses indicators based on data that
provides a *direct measure* of the particular form of deprivation relevant to the indicator. In a small number of cases, no robust data is available to provide a direct measure, and in these cases a modelled estimate is used.
J.3.16. For two indicators, housing affordability and housing condition, synthetic estimation
techniques are used to model the indicator to Lower-layer Super Output Area level. For these indicators, the data suppliers have carried out and documented additional work to quality assure the indicators:
Each of the data sources used in the models was reviewed; The predictive strengths of the models were checked; The modelled datasets were verified at higher level against independently
published sources where available;
The predicted values were matched to larger area survey values, to ensure
consistency of the modelled indicators against other available data.
J.3.17. Additional quality assurance was carried out for the housing affordability indicator:
The methodology was based on peer reviewed methodology used to develop
small area income estimates and poverty measures in Scotland90.
Two versions of the modelling were carried out and compared. A version of the
indicator was constructed using the Understanding Society survey, and compared with the actual indicator which uses the Family Resources Survey.
J.3.18. Additional quality assurance was carried out for the housing condition indicator:
Assessment of the input data sources, including measures of accuracy. Description and checks on the processing steps, including process maps / flowcharts showing the development of the indicator.
Accuracies of the statistical models were estimated. Comparison of the Indices of Deprivation 2015 housing condition indicator
methodology against the methodology used in previous versions of the indicator.
Comparison against related data sources, including local stock condition
surveys carried out by local authorities.
Validations and peer reviews carried out by the data supplier and other users of
the data.
J.3.19. Based on this additional quality assurance, we have concluded that these
indicators provide the best measures of housing affordability and housing condition at Lower-layer Super Output Area level, and are fit for purpose to use as indicators in the Indices of Deprivation 2015.
## Appendix K. Quality Assurance Overview For Data Suppliers
K.1.1. This appendix sets out the overview presentation for data suppliers, used to explain the quality assurance model used for
the Indices of Deprivation 2015. The overview also describes the information required from data suppliers.
## Appendix L. Quality Assurance Documents For Input Data Sources
L.1.1. This Appendix lists the main quality assurance documents available for the input data sources used in the Indices of
Deprivation, with web links where available91. Table L.2 provides a look-up between the indicator identification code used in
the table, and the proper name of the indicator.
Table L.1. Quality assurance documents available for the input data sources
Indicator codes(s)
Document / resource name
Web link (if available)
DWP Statistics Quality Guidelines Statement
https://www.gov.uk/government/uploads/system/uploads/attachment_d ata/file/203643/dwp-statistics-Quality_Guidelines_statement_final.pdf
ID1, ID2, ID3, ID4, ID5, ID7, ID8, ID9, ID10, ID11, ID19, ID24
https://www.gov.uk/government/statistics/statement-of-theadministrative-sources-of-dwp-statistics
ID1, ID2, ID3, ID4, ID5, ID7, ID8, ID9, ID10, ID11, ID19, ID24
Statement of the administrative sources of DWP statistics
Confidentiality and access policy for DWP statistics
https://www.gov.uk/government/statistics/confidentiality-and-accesspolicy-for-dwp-statistics
ID1, ID2, ID3, ID4, ID5, ID7, ID8, ID9, ID10, ID11, ID19, ID24
https://www.gov.uk/government/statistics/dwp-statistical-summarypolicies-and-statements
ID1, ID2, ID3, ID4, ID5, ID7, ID8, ID9, ID10, ID11, ID19, ID24
Policies and statements related to DWP statistical summaries (including Quality statement and Methodology statement)
https://www.gov.uk/government/statistics/dwp-abstract-of-statisticspolicies-and-statements
ID1, ID2, ID3, ID4, ID5, ID7, ID8, ID9, ID10, ID11, ID19, ID24
Policies and statements related to DWP abstract of statistics
https://www.gov.uk/government/publications/fraud-and-error-in-thebenefit-system-supporting-documents-for-statistical-reports
ID1, ID2, ID3, ID4, ID5, ID7, ID8, ID9, ID10, ID11, ID19, ID24
Fraud and error in benefits recent guidelines/QA/Tech annexe
https://www.gov.uk/government/uploads/system/uploads/attachment_d ata/file/341674/ho-compliance-state-aug14.pdf
ID 6
Home Office statistics statement of compliance with code of practice for official
## Table L.1. Quality Assurance Documents Available For The Input Data Sources Indicator Codes(S) Document / Resource Name Web Link (If Available)
statistics
ID 6
Home Office statement of compliance - release practices
https://www.gov.uk/government/uploads/system/uploads/attachment_d ata/file/309011/ho-release-comp-state-14.pdf https://www.gov.uk/government/publications/home-office-use-ofadministrative-sources-for-statistical-purposes
ID 6
Home Office use of
administrative sources for statistical purposes
ID1, ID2, ID3, ID4, ID5, ID15
Quality reports for HMRC statistics
https://www.gov.uk/government/collections/hmrc-quality-reportsstatistics
ID1, ID2, ID3, ID4, ID5, ID15
HMRC statement of administrative sources
https://www.gov.uk/government/statistics/hmrc-statistics-statement-ofadministrative-sources
ID1, ID2, ID3, ID4, ID5, ID15
HMRC policy on revisions
https://www.gov.uk/government/uploads/system/uploads/attachment_d ata/file/251990/cop-revisions.pdf
Denominators
Census quality assurance of 2011 population estimates
http://www.ons.gov.uk/ons/guide-method/census/2011/censusdata/2011-census-user-guide/quality-and-methods/quality/qualityassurance/index.html https://www.hesa.ac.uk/sads
ID16
Higher Education Statistics Agency (HESA) statement of administrative sources and quality assurance
ID17, ID18, ID23, ID25, ID34, ID37
Census quality assurance by Local Authority
http://www.ons.gov.uk/ons/guide-method/census/2011/censusdata/2011-census-user-guide/quality-and-methods/quality/qualityassurance/local-authority-quality-assurance/index.html
ID17, ID18, ID23, ID25, ID34, ID37
Census response and imputation rates
http://www.ons.gov.uk/ons/guide-method/census/2011/censusdata/2011-census-user-guide/quality-and-methods/quality/qualitymeasures/response-and-imputation-rates/index.html
ID17, ID18, ID23, ID25, ID34, ID37
Census assessing accuracy of responses
http://www.ons.gov.uk/ons/guide-method/census/2011/censusdata/2011-census-user-guide/quality-and-methods/quality/qualitymeasures/assessing-accuracy-of-answers/index.html
ID17, ID18, ID23, ID25, ID34, ID37
Census data capture and cleaning
http://www.ons.gov.uk/ons/guide-method/census/2011/censusdata/2011-census-user-guide/quality-and-methods/quality/qualitymeasures/data-capture--coding-and-cleaning/index.html
ID17, ID18, ID23, ID25,
ID34, ID37
Census confidence intervals
http://www.ons.gov.uk/ons/guide-method/census/2011/censusdata/2011-census-user-guide/quality-and-methods/quality/quality-
Table L.1. Quality assurance documents available for the input data sources
Indicator codes(s)
Document / resource name
Web link (if available) measures/confidence-intervals/index.html
ID17, ID18, ID23, ID25, ID34, ID37
Census quality notes and clarifications
http://www.ons.gov.uk/ons/guide-method/census/2011/censusdata/2011-census-user-guide/quality-and-methods/quality/quality-notesand-clarifications/index.html
http://www.ons.gov.uk/ons/guide-method/method-quality/quality/qualityinformation/population/index.html
Denominators
Quality and methodology information for population indicators
http://www.ons.gov.uk/ons/guide-method/method-quality/imps/latestnews/uncertainty-in-la-mypes/index.html
Denominators
Quality measures for population estimates and uncertainty project for Local Authority Mid-year Population Estimates
ID17, ID18, ID23, ID25, ID34, ID37
2011 census issues and corrections
http://www.ons.gov.uk/ons/guide-method/census/2011/censusdata/census-products--issues-and-corrections/index.html
ID17, ID18, ID23, ID25, ID34, ID37
Census independent review of coverage assessment and quality assurance
http://www.ons.gov.uk/ons/guide-method/census/2011/how-our-censusworks/how-we-planned-the-2011-census/independentassessments/independent-review-of-coverage-assessment-- adjustment-and-quality-assurance/index.html
ID20, ID21, ID22, ID33
The HES processing cycle and data quality
http://www.hscic.gov.uk/media/1366/The-HES-processing-cycle-and- HES-data-quality/pdf/
ID20, ID21, ID22, ID33
Data quality and checks performed on SUS and HES data
http://www.hscic.gov.uk/media/13655/Data-quality-checks-performedon-SUS-and-HES- data/pdf/Data_quality_checks_performed_on_SUS_and_HES_data.pdf
ID20, ID21, ID22, ID33
HSCIC data quality
http://www.hscic.gov.uk/dq http://www.hscic.gov.uk/catalogue/PUB15783
ID20, ID21, ID22, ID33
HSCIC 2014 data quality report
http://www.hscic.gov.uk/catalogue/PUB11530
ID20, ID21, ID22, ID33
HSCIC 2013 second annual data quality report
http://www.hscic.gov.uk/catalogue/PUB08687
ID20, ID21, ID22, ID33
HSCIC 2012 first annual data quality report
http://www.hscic.gov.uk/article/1923/SUS-Data-Quality-Dashboards
ID20, ID21, ID22, ID33
HSCIC Secondary Use Services (SUS) data quality
dashboards
## Table L.1. Quality Assurance Documents Available For The Input Data Sources Indicator Codes(S) Document / Resource Name Web Link (If Available)
| ID21 | 2011 GP attribution data |
|-------------------------------------------------------------------------|-----------------------------------|
| quality | |
| http://www.hscic.gov.uk/catalogue/PUB05054/attr-data-gp-reg-pop-ons- | |
| esti-2011-qual.pdf | |
| | |
| ID12, ID13, ID14, ID32 | Standards for official statistics |
| published by DfE | |
| https://www.gov.uk/government/publications/standards-for-official- | |
| statistics-published-by-the-department-for-education | |
| | |
| http://www.ons.gov.uk/ons/rel/crime-stats/crime-statistics/period- | |
| ending-september-2013/sty-uksa-assessment.html | |
| | |
| ID26, ID27, ID28, ID29 | UK Statistics Authority 2014 |
| report on assessment of | |
| compliance to code of practice | |
| for crime statistics | |
| http://www.statisticsauthority.gov.uk/assessment/assessment/assessm | |
| ent-reports/ | |
| | |
| ID26, ID27, ID28, ID29 | UK Statistics Authority crime |
| statistics assessment reports | |
| (links to 2014 and 2011 | |
| reports) | |
| http://www.ons.gov.uk/ons/guide-method/method-quality/specific/crime- | |
| statistics-methodology/uk-statistics-authority-assessment/index.html | |
| | |
| ID26, ID27, ID28, ID29 | Action plans to address |
| requirements made by UK | |
| Statistics Authority on crime | |
| statistics | |
| ID26, ID27, ID28, ID29 | HMIC crime data integrity |
| integrity/ | |
| | |
| ID26, ID27, ID28, ID29 | HMIC report 'Crime recoding: |
| making the victim count' | |
| https://www.justiceinspectorates.gov.uk/hmic/publication/crime- | |
| recording-making-the-victim-count/ | |
| | |
| ID26, ID27, ID28, ID29 | HMIC interim report 'Crime |
| recording: a matter of fact' | |
| https://www.justiceinspectorates.gov.uk/hmic/publication/crime- | |
| recording-a-matter-of-fact-interim-report/ | |
| | |
| https://www.justiceinspectorates.gov.uk/hmic/publication/crime-counts/ | |
| | |
| ID26, ID27, ID28, ID29 | HMIC 2009 report 'Crime |
| counts: A review of data | |
| quality for offences of the most | |
| serious violence' | |
| https://www.justiceinspectorates.gov.uk/hmic/publication/review-police- | |
| crime-incident-reports-20120125/ | |
| | |
| ID26, ID27, ID28, ID29 | HMIC 2012 report 'The crime |
| scene: a review of police crime | |
| and incident reports' - also | |
| links to specific force reports | |
| http://www.ons.gov.uk/ons/guide-method/method-quality/quality/quality- | |
| information/crime-and-justice/index.html | |
| | |
| ID26, ID27, ID28, ID29 | Crime and Justice data - |
| Quality and Methodology | |
| Information papers | |
## Table L.1. Quality Assurance Documents Available For The Input Data Sources Indicator Codes(S) Document / Resource Name Web Link (If Available)
| ID35 | DCLG - Statement of |
|-----------------------------------------------------------------------|---------------------------------|
| administrative sources | |
| https://www.gov.uk/government/publications/statement-of- | |
| administrative-sources-for-statistical-purposes | |
| | |
| ID35 | DCLG - Revisions policy |
| ata/file/7616/1466387.pdf | |
| | |
| ID35 | DCLG - quality guidelines |
| quality-guidelines | |
| | |
| ID35 | Homelessness statistical |
| release - Jan to March 2014 - | |
| with note on data quality | |
| https://www.gov.uk/government/uploads/system/uploads/attachment_d | |
| ata/file/339003/Statutory_Homelessness_1st_Quarter__Jan_- | |
| _March__2014_England_20140729.pdf | |
| | |
| http://data.gov.uk/sites/default/files/DCLG%20Open%20Data%20Strate | |
| gy_10.pdf | |
| | |
| ID35 | DCLG open data strategy |
| 2012-2014 - includes details | |
| on data quality | |
| http://www.ordnancesurvey.co.uk/business-and-government/help-and- | |
| support/navigation-technology/pai.html | |
| | |
| ID31 | Ordnance survey data |
| positional accuracy | |
| improvement (PAI) programme | |
| ID40 | Road accident and safety |
| statistics guidance | |
| https://www.gov.uk/government/publications/road-accidents-and-safety- | |
| statistics-guidance | |
| | |
| https://www.gov.uk/government/uploads/system/uploads/attachment_d | |
| ata/file/259012/rrcgb-quality-statement.pdf | |
| | |
| ID40 | Guide to road traffic accident |
| statistics and data sources | |
| (including data quality) | |
| ID40 | DfT statistics - corporate |
| information | |
| https://www.gov.uk/government/organisations/department-for- | |
| transport/about/statistics#corporate-information | |
| | |
| ID40 | DfT - statement on data quality |
| statistics-published-by-the-department-for-transport | |
| | |
| ID40 | DfT - statement of |
| administrative sources | |
| https://www.gov.uk/government/publications/statement-of- | |
| administrative-sources-for-official-statistics-published-by-the- | |
| department-for-transport | |
| | |
Indicator name
Table L.2. Lookup from indicator codes used in Table L.1. to indicator names
Indicator code ID1
Adults and children in Income Support families
ID2
Adults and children in income-based Jobseeker's Allowance families
ID3
Adults and children in income-based Employment and Support Allowance families
ID4
Adults and children in Pension Credit (Guarantee) families
ID5
Adults and children in Working Tax Credit and Child Tax Credit families not already counted, that is those who are not in receipt of Income Support, income-based Jobseeker's Allowance, income-based Employment and Support Allowance or Pension Credit (Guarantee) and whose equivalised income (excluding housing benefit) is below 60 per cent of the median before housing
costs
ID6
Asylum seekers in England in receipt of subsistence support, accommodation support, or both
ID7
Claimants of Jobseeker's Allowance (both contribution-based and incomebased), women aged 18-59 and men aged 18-64
ID8
Claimants of Employment and Support Allowance (both contribution-based and income-based), women aged 18-59 and men aged 18-64
ID9
Claimants of Incapacity Benefit, women aged 18-59 and men aged 18-64
ID10
Claimants of Severe Disablement Allowance, women aged 18-59 and men aged 18-64
ID11
Claimants of Carer's Allowance, women aged 18-59 and men aged 18-64
ID12
Key Stage 2 attainment: average points score
ID13
Key Stage 4 attainment: average points score
ID14
Secondary school absence
ID15
Staying on in education post 16
ID16
Entry to higher education
ID17
Adults with no or low qualifications, women aged 25-59 and men aged 25-64
ID18
English language proficiency, women aged 25-59 and men aged 25-64
ID19
Comparative Illness and Disability Ratio
ID20
Acute morbidity
ID21
Mood and anxiety disorders: Prescription data
ID22
Mood and anxiety disorders: Hospital episodes data
ID23
Mood and anxiety disorders: Suicide mortality data
ID24
Mood and anxiety disorders: Employment and Support Allowance and Incapacity Benefit for mental health reasons
ID25
Years of potential life lost
ID26
Recorded crime rate for Violence
ID27
Recorded crime rate for Criminal Damage
ID28
Recorded crime rate for Theft
ID29
Recorded crime rate for Burglary
ID30
Road distance to a post office
ID31
Road distance to general store or supermarket
ID32
Road distance to a primary school
ID33
Road distance to a GP surgery
ID34
Household overcrowding
ID35
Homelessness
| ID36 | Housing affordability |
|---------|--------------------------------|
| ID37 | Houses without central heating |
| ID38 | Housing in poor condition |
| ID39 | Air quality |
| ID40 | Road traffic accidents |
| | |
## Appendix M. Issues And Potential Indicators Explored M.1. Introduction
M.1.1. During the update of the Indices of Deprivation, a wide range of issues and
indicators were explored in order to understand the potential to enhance the Indices. Where changes have been made to the Indices as a result, primarily new indicators and enhancements to existing indicators, these have been detailed in Chapter 4 and Appendix C.
M.1.2. This Appendix outlines those issues and potential indicators that were examined,
but that did not result in changes to the Indices. The first section deals with issues relating to indicators that are included in the Indices of Deprivation 2015 but which did not result in changes to those indicators. The second section describes a number of indicators which were explored but were found not suitable for inclusion in this update.
## M.2. Issues By Domain Income Deprivation Domain
M.2.1. *Seasonal variation in benefits*. Seasonal variation in benefit claims is taken into
account in the Employment Deprivation Domain, but not the Income Deprivation Domain. While it may now be possible using data from the Department for Work and Pensions to capture claimants at more than one time point in the year, it was unfortunately not practicable to obtain corresponding data for this update of the Indices from HM Revenue & Customs.
M.2.2. *Adjusting benefits/tax credit data for geographical variations in take-up.* If benefits
or tax credit take-up varies geographically, it would be desirable to adjust the administrative data in the Income Deprivation Domain to take that into account.
Two recent reports on take-up have been published, one in respect of incomerelated benefits and published by the Department for Work and Pensions92 and
another in respect of tax credits published by HM Revenue & Customs93 . Both
reports have sections on geographical variation of take-up.
M.2.3. In respect of the Department for Work and Pensions' income related benefits there
is a clear injunction in the report against reliance on regional estimates of take-up: "Due to the complexities of the methodology it is not possible to produce reliable estimates at geographies below Great Britain so when using the figures it should
always be considered that effects seen are an amalgamation of changes throughout the country rather than one geographical area" (paragraph 1.9.5, p 9).
M.2.4. As regards adjusting tax credit data, the take-up estimates are given by HM
Revenue & Customs as a range and in almost all cases the ranges overlap
between regions. There is also no indication of how take-up rates vary for deprived areas within the regions.
M.2.5. Having regard to these reports there is no adequate evidence to support
geographical adjustments of the administrative data.
M.2.6. *Adjusting benefits data to include people affected by sanctions*. New sanctions
regulations were introduced in 2012 for claimants of Jobseeker's Allowance and
Employment and Support Allowance94. The effect of a sanction is that the benefit is
stopped or reduced for a period of time. Those adults and their families affected by sanctions, but who otherwise would be eligible for income-based Jobseeker's Allowance or income-based Employment and Support Allowance, will not be counted in the domain despite meeting the low income criteria.
M.2.7. Although it would enhance the Income Deprivation Domain to include those
affected by sanctions, unfortunately no suitable data is available to do this. The data required would be a count of those sanctioned at any given point in time. Data on sanctions is available from the Department for Work and Pensions' Decision Makers and Appeals System. However, data is only available on sanctions decisions taken during a particular month.
M.2.8. Unfortunately data is not available on the total number of people subject to
sanctions at a particular time point, nor is it possible to derive this from the available data on sanctions decisions. There are a number of reasons for this relating to variability of the amount of time people remain sanctioned both within and between the old and new sanction regimes; the variability in the actual amount of time spent on sanctions irrespective of the period of sanction; and the review/appeal process impacting on decisions. This means that an adjustment to the Income Deprivation Domain to take into account those subject to sanctions was not possible within the timeframe of this update of the Indices.
## Employment Deprivation Domain
M.2.9. *Adjusting benefits/tax credit data for geographical variations in take-up.* If benefits
take-up varies geographically it would be desirable to adjust the administrative data in the Employment Deprivation Domain to take that into account. In the most recent report published by the Department for Work and Pensions on take-up in respect of
income related benefits95, there is a clear injunction in the report against reliance
on regional estimates of take-up: "Due to the complexities of the methodology it is
not possible to produce reliable estimates at geographies below Great Britain so when using the figures it should always be considered that effects seen are an amalgamation of changes throughout the country rather than one geographical area" (paragraph 1.9.5, p 9). Having regard to this report there is no adequate evidence to support geographical adjustments of the administrative data.
M.2.10.
Additional weight to long-term claimants. The possibility of providing an
additional weight to those who are long-term unemployed and incapacitated would fail to pick up 'cyclers' (i.e. people who repeatedly move in and out of employment, for example because of seasonal work). For example, many people who are 'seasonally' employed might otherwise be long-term unemployed. Their brief periods of employment may not raise the likelihood of their return to more permanent employment and yet they are not counted among those who are longterm unemployed. Another reason for rejecting this adjustment is that including it would fundamentally alter the structure of the domain, which could no longer be interpreted as a straightforward proportion of people experiencing employment deprivation.
M.2.11.
Inclusion of 16 and 17 year olds. The 16 and 17 year old age group have
been excluded from the English Indices of Deprivation from 2004 onwards. The primary reason for removing the 16 and 17 year old age group from the Employment Deprivation Domain in the Indices of Deprivation 2004 was because the overwhelming majority of this age group are in either school or training, neither of which could be considered a deprivation. The recent increase in school leaving
age96 provides further weight to the decision not to include 16 and 17 olds in this
domain.
M.2.12.
Employment deprived females aged 60 to 64. From 2010, the State Pension
age has been gradually increased for females, and females aged 60 to 64 are now eligible for some of the benefits included in the Employment Deprivation Domain. However, by the mid-point of the Employment Deprivation Domain quarterly time points (September 2012) only a small cohort of females aged 60 to 64 were eligible for working-age benefits (those born between April 1950 and June 1951). As a result the number of females aged 60 to 64 receiving out-of-work benefits was
significantly smaller than the number aged 55 to 5997. The decision was therefore
to retain the age band used in previous Indices (18 to 59 for females and 18 to 64 for males).
M.2.13.
Adjusting benefits data to include people affected by sanctions. As indicated
above in respect of the Income Deprivation Domain, new sanctions regulations were introduced in 2012 for claimants of Jobseeker's Allowance and Employment
and Support Allowance98. The effect of a sanction is that the benefit is stopped or
reduced for a period of time. Those adults affected by sanctions, but who otherwise would be eligible for Jobseeker's Allowance or Employment and Support Allowance, will not be counted in the domain despite meeting the criteria for inclusion in this domain. Although it would enhance the Employment Deprivation Domain to include those affected by sanctions, unfortunately no suitable data is available to do this (see sections M.2.7 and M.2.8 above).
## Education, Skills And Training Deprivation Domain
M.2.14.
Cross border student flows. Some English-resident students attend schools
in Wales or Scotland, and vice versa. Pupils attending Welsh or Scottish schools have been excluded, as the point scoring system in schools differs between these administrations. Welsh and Scottish resident pupils who attend schools in England have also been removed from the dataset.
## Health Deprivation And Disability Domain
M.2.15.
Emergency admissions. The Acute Morbidity indicator is based on
emergency admissions to hospital lasting more than one day. Some concerns have been raised over the possibility of practices by particular hospitals affecting the robustness of this indicator. Quality assurance analysis of the Indices of Deprivation 2015 has examined this issue, see Appendix J.3.
## Crime Domain
M.2.16.
Issues related to the use of police recorded crime datasets to construct the
Crime Domain indicators are set out in Appendix J.3.
## Barriers To Housing And Services Domain
M.2.17.
Travel times to services. As part of data exploration, the possibility of
switching the indicators in the Geographical Barriers to Services sub-domain from measures of road *distance* to services, to measures of *travel time* to services, was considered. The Department for Transport produces accessibility statistics at Lower-layer Super Output Area level in the form of measures of travel time to certain key services. Travel times are provided for travel by car, travel by public
transport/walking, and travel by bicycle to key services99. Although the release
includes travel times to primary schools, GPs and food shops, travel times to post offices are not currently produced. Site locations are for England only, whereas the Indices of Deprivation 2010's indicators for road distance to food shops and post offices take into account services beyond England's borders.
M.2.18.
Travel time by car was not pursued as a potential indicator, as most Lowerlayer Super Output Areas (97-99 per cent) were assigned the minimum score of less than 5 minutes for primary schools, GPs and food shops. The Lower-layer Super Output Area scores for travel time by public transport/walking did not correlate highly with the equivalent road distance indicators of the Indices of Deprivation 2010. After careful consideration, the decision was made to retain the road distance measures as these require fewer assumptions than travel time measures, which would need to take account of issues such as the time of day
#
travelled, and (in the case of public transport) frequency of service and transport connections.
## M.3. Potential Indicators Explored That Are Unsuitable For Inclusion In The Indices Of Deprivation 2015
M.3.1. The following section describes those indicators which were explored but not found
suitable for inclusion in the Indices of Deprivation 2015.
## Income Domain
M.3.2. *Housing Benefit and Council Tax Benefit*. Housing Benefit is payable to people
living on low incomes who are liable to pay rent. Council Tax Benefit was payable
(until April 2013) to provide assistance to those on low incomes liable for Council Tax (local councils are now able to design their own Council Tax support schemes). Eligibility for Housing Benefit, and, before it was withdrawn, Council Tax Benefit, is assessed by reference to an applicant's income, and also to local area rent levels and the Local Housing Allowance rental rate (and before April 2013, Council Tax). In addition, there is local variability in terms of the level of income which carries eligibility to the benefit(s). Finally, there are technical difficulties in avoiding double counting when combining this data with other benefits in the domain. For these reasons these benefits were identified as unsuitable for inclusion as indicators in the domain.
## Employment Domain
M.3.3. *Hidden unemployment and under-employment*. The Employment Deprivation
Domain aims to capture those who are involuntarily excluded from the labour market whether they are actively seeking work or not. As well as those receiving Jobseeker's Allowance, the domain includes those out of work due to ill health. However, wider definitions of hidden unemployment also include groups such as mothers who are not working due to restrictive child care costs but would otherwise like to work, those who have given up hope of looking for work, those who are not signed on for receipt of Jobseeker's Allowance but who are available for work, and
those under-employed who want full-time work but have had to settle for part-time hours. However, despite wide ranging data exploration, it was not possible to identify suitable data sources for the construction of such an indicator.
M.3.4. *Zero-hours contracts*. Zero-hours contracts were considered as part of a wider
definition of worklessness which includes the issue of under-employment. There are two main sources of data on zero-hours contracts: the Office for National Statistics business survey and the Labour Force Survey. Unfortunately, neither survey provides a sufficient sample size to provide robust estimates at Lower-layer Super Output Area level. In addition, there is no clear and agreed definition of 'zero-hours contracts', so, different groups and bodies will not only measure the number of such contracts in different ways, they will also have different perceptions of what should be included as 'zero-hours contracts'. Significantly, the perceptions of employers and employees on what constitutes a particular type of contract will differ.
M.3.5. *Lone parents receiving Income Support*. Lone parents have traditionally been
regarded as 'economically inactive', while the Employment Deprivation Domain is concerned with capturing those who are involuntarily out of employment. Recent
changes have led to those lone parents whose youngest child is aged 5 or over shifting from receipt of Income Support, to receipt of Jobseeker's Allowance. So a large proportion of lone parents will now be included in the Employment Deprivation Domain. However, there remains the question of whether lone parents with children aged under 5 should be treated as voluntarily or involuntarily out of employment. If the former, they fall outside the definition for this domain. If the latter, they should be counted. As there is no information as to whether this group is voluntarily or involuntarily out of employment, this indicator was not pursued further for this update of the Indices.
## Education, Skills And Training Deprivation Domain
M.3.6. *Average test score of pupils at Key Stage 1.* The Key Stage 1 average test score
indicator is constructed in the same way as the Key Stage 2 indicator and held in
the National Pupil Database linked to each pupil's postcode of residence. Each pupil is awarded a level for the four Key Stage exams. Values are assigned to the levels achieved in the examinations, and these values summed for each pupil. However, unlike Key Stage 2 assessments, not all Key Stage 1 results are externally moderated, with only 25 per cent of local authority schools receiving external moderation visits each year. Given there is only partial external moderation, and views expressed by users, this indicator was not pursued further for this update of the Indices.
M.3.7. *Average test score of pupils at Key Stage 3*. The Key Stage 3 attainment indicator
included in the Indices of Deprivation 2010 was removed from the Children and Young People sub-domain, as statutory tests were abolished and Key Stage 3 assessments became teacher assessment only from 2008/9.
M.3.8. *Adult literacy and numeracy.* Small area level estimates of adults lacking literacy,
numeracy and other skills are published based on the Skills for Life Survey100. This
survey is based on a sample of 7,230 respondents, across 1,516 (of 6,781) Middle layer Super Output Areas. The data is modelled to neighbourhood level using small area estimation techniques. This produces an estimate at neighbourhood level
which is not sufficiently robust to use in the Indices of Deprivation and which
moreover uses area effects in the modelling process which draw directly from data
published from the Indices of Deprivation 2010.
M.3.9. *Pupils with Special Educational Needs*. Special Educational Needs levels are a
good predictor of individual level pupil performance, and of variation between schools. However, there are some surprising differences between local authority areas, which may reflect policy differences rather than actual differences in
educational needs101.
M.3.10.
Achieving a good level of development in the Early Years Foundation Stage.
The Early Years Foundation Stage is a series of assessments measuring children's
progress in terms of Personal, Social and Emotional Development and Communication, Language and Literacy. This indicator was considered for inclusion because it would introduce an element of early child development (aged 5) into the domain. The data is based on practitioners' observations over the course of the year against standard criteria, with local authorities responsible for carrying out moderation visits to ensure that assessment standards are consistent. However for the time point of mid-2012, this external moderation was only extended to 25 per cent of early years settings in the local authority area. Given the level of external moderation, and views expressed by users, this indicator was not pursued further for the update of the Indices.
M.3.11.
Exclusions from school. Data on exclusions is collected via the School
Census, with approximately 304,000 temporary and 5,000 permanent exclusions
recorded in 2012. However, there is likely to be variability in how different schools apply exclusions, which could lead to differences in numbers being attributable to local policy differences as well as differences in educational deprivation levels.
## Health Deprivation And Disability Domain
M.3.12.
Healthy lifestyle indicators. The domain only includes direct measures of
health deprivation, and does not include aspects of behaviour or environment that may be predictive of future health deprivation. Therefore healthy lifestyle indicators such as smoking, alcohol consumption and participation in sports are not appropriate to include in the domain, even where robust data is available at small area level.
M.3.13.
Obesity indicators. Obesity is an increasing public health concern, with 23
per cent of adults, and 19 per cent of Year 6 children, classified as obese 102.
Assessment of school pupils is now routinely carried out for Reception and Year 6 pupils, however similar data is not collected for adults.
M.3.14.
Census 2011 indicators on limiting long-term illness and general health. The
2011 Census contained questions on limiting long-term illness and on general health status. However, the comparative illness and disability ratio indicator (derived from health benefits data made available by the Department for Work and
Pensions) is highly correlated with the 2011 Census health indicators and therefore adequately captures this element of health deprivation.
M.3.15.
Cancer incidence. Information is collected about all new cases of cancer, of
which there are around 140,000 per year. To adjust for variation in the age profile of the population, age and sex standardised cancer incidence rates are needed. Lower-layer Super Output Area level age and sex standardised estimates are unlikely to be sufficiently reliable to enable meaningful comparisons between areas, even when based on aggregate data over several years.
M.3.16.
People receiving publicly-funded residential care. People living in publicly
funded residential or nursing homes are not eligible for the care components of Disability Living Allowance or Attendance Allowance but meet the same qualifying
conditions. This data is held by local authorities; however it is not collected nationally at individual or small area level. As sufficiently robust data is not readily available to produce this indicator, developing this indicator was outside the scope of this update.
M.3.17.
Low birth weight. Low birth weight is linked to both increased mortality and
morbidity in infancy, and an increased risk of cardio-vascular disease in later life. The indicator was considered as a potential indicator in the Indices of Deprivation 2000, and is used in the Welsh Indices of Deprivation. However, respondents to a previous consultation were concerned that certain ethnic groups have different distributions of birth weight, and that the ethnic composition of an area would therefore bias this indicator. As a result this indicator was not used in the English Indices.
M.3.18.
Infant mortality ratio. The infant mortality ratio has previously been included
in measures of deprivation such as the 1998 Index of Local Deprivation, on the basis that this represents particularly premature death, and that areas with high infant death rates would not necessarily correspond to those in which mortality levels are high at other ages. However, the numbers of infant deaths are small (nationally only around 4.7 per 1,000 live births) and, even when aggregating figures for several years, Lower-layer Super Output Area level estimates would not be sufficiently reliable to enable meaningful comparisons between areas. Also the mortality indicator (years of potential life lost) included in the domain is age standardised, giving high weightings to deaths among infants.
## Crime Domain
M.3.19.
Police Anti-Social Behaviour incident data. In addition to collating data on
recorded crime, each police force in England is also required to collate data on reported incidents of Anti-Social Behaviour. Geocoded data is provided by each police force to the Home Office on a monthly basis in the same way as the recorded crime data is provided. This Anti-Social Behaviour data was deemed unsuitable for inclusion in the Indices of Deprivation 2015 due to known issues in
relation to double counting of crimes and Anti-Social Behaviour incidents103 in a
number of police forces.
M.3.20.
Fire Service deliberate fires data. These are official statistics collated by the
Department for Communities and Local Government (Fire Statistics Monitor). Geocoded deliberate fire data is available from 2009/10 onwards. However, many of the deliberate fires recorded by the regional fire authorities across England will also be captured as 'arson' in the police recorded crime data. As such, including fire service data alongside police recorded crime data would result in double counting of many events.
M.3.21.
Shoplifting. Shoplifting was rejected because it is often concentrated in large
retail centres and because its reporting is often dependent upon the offender being caught in the act.
M.3.22.
Drug-related crime. Drug-related crime was not deemed suitable for inclusion
in the updated Indices since it could be argued that possession of an illegal drug is not in itself a form of deprivation. Certainly, drug-motivated crime (e.g. violence or burglary/theft) should be captured in a measure of deprivation, but these crimes types are already included in the Crime Domain.
M.3.23.
Sexual offences. Sexual offence data was not previously pursued due to a
number of reasons, including: sensitivity/disclosure issues; the particularly low reporting of these crimes; the way in which reporting is influenced by the relationship of the victim to the offender; and the difficulty of ascertaining the incidence.
M.3.24.
Domestic violence. Domestic violence was not included as an indicator in its
own right because violent offences against same-household members are already
included in the composite violence indicator where these crimes are reported to the Police.
M.3.25.
Cycle thefts. Cycle thefts were excluded because they are often
concentrated in public areas (such as bike parks at train stations).
M.3.26.
Fraud. Fraud was excluded because it is extremely difficult to locate
geographically.
M.3.27.
Total crime. A measure of total crime was not included because it would
include the indicators described above, as well as other categories that are not relevant to deprivation.
## Barriers To Housing And Services Domain
M.3.28.
Access to childcare. The use of childcare is a complex issue: it depends on
cost, flexibility, type and location. For example, some people prefer to use childcare nearer the workplace than close to the home. However, the number of childcare places in a district has been demonstrated to relate to the rate at which
lone parents enter work in that area104. For previous Indices, an option was
explored to model a local authority level ratio of pre-school children to pre-school childcare places, using a combination of Child Benefit data and Ofsted childcare
places. However this was seen as a complex development, with significant time needed to develop a robust indicator. As sufficiently robust data was not readily available to produce this indicator without significant extra work, developing this indicator was outside the scope of this update.
M.3.29.
Households lacking the required number of bedrooms. Chapter 4 describes
the household overcrowding indicator used in the Indices of Deprivation 2015. An alternative measure was explored, also based on Census 2011 data, which considers the number of bedrooms required by the household (rather than the number of rooms). However, this measure only counts rooms as bedrooms if they were built as such or if they have been permanently converted into a bedroom. Given that many modern houses/apartments have rooms that can be used in different ways, this alternative indicator was not used.
M.3.30.
Digital services access. Ofcom publishes data on broadband speeds,
including both 'actual broadband speed' (based on real connections and measured speeds) and 'availability of superfast broadband' (download speeds of at least 30
Megabits per second)105. Actual speed is dependent on broadband packages
obtained by users, so is in large part based on user choices (which may or may not
be driven by questions of affordability), rather than an indicator of accessibility. The availability of superfast broadband is very high, and increasing: 77 per cent of England's premises have superfast availability, and in 46 per cent of English
Lower-layer Super Output Areas, all postcodes have superfast availability 106. As
indicators should measure major features of deprivation, not conditions just experienced by a small number of people or areas, this indicator was not included in this update of the Indices.
## Living Environment Deprivation Domain
M.3.31.
Flood risk areas. A measure of flood risk is used in the Welsh Indices of
Deprivation, based on the proportion of people living in an area with a significant, moderate or low risk of flooding (risk was based on frequency rather than level of flooding damage). For England, flood risk data is available from the Environment Agency. However, the data measures *risk* of flooding, rather than *actual* flooding, and was not supported by members of the Advisory Group and Project Board as an indicator for this update of the Indices of Deprivation.
M.3.32.
Graffiti. An indicator on graffiti was not proposed because recorded crime
data for graffiti is not available separately from data on criminal damage as a whole. Moreover, some commentators have argued that graffiti may be variably reported.
M.3.33.
Households in fuel poverty. The fuel poverty dataset published by the
Department of Energy and Climate Change, which includes modelled estimates to Lower-layer Super Output Area level, is based on households with above average fuel costs that are pushed below the income poverty threshold once fuel costs are taken into account. In the survey of users in July 2014 and previous consultations
there had been support from users for introducing a measure of fuel poverty into
the Living Environment Deprivation Domain. However, discussion with the Fuel
Poverty team at the Department of Energy and Climate Change identified that the methodology used to produce the sub-regional estimates of fuel poverty does not produce robust estimates at very low level geographies, and should not be used to
compare between Lower-layer Super Output Areas107. A fuel poverty indicator was
not therefore incorporated into this update of the Indices, but any improvement in methods may mean that the indicator could be further considered in future.
M.3.34.
Households lacking basic amenities. The 2001 Census collected data on the
number of households without exclusive use of a bathroom and inside toilet, but less than 1 per cent of households in England were lacking these amenities. The indicator would therefore not measure a significant aspect of deprivation at small
area level. Furthermore, this indicator was not updated as part of the 2011 Census, so up-to-date data would not have been available to produce such an indicator.
M.3.35.
Households not connected to the gas network. It is now possible in principle
to construct an indicator of households not connected to the gas network, as a
proxy for high costs for heating. This would be based on comparing the number of domestic gas meters in each Lower-layer Super Output Area to the number of households. However, in 13,597 Lower-layer Super Output Areas (41 per cent of all such areas in England), all households were identified as being connected to
the gas network108. As indicators should measure major features of deprivation, not
conditions just experienced by a small number of people or areas, this indicator was not included in the updated Indices.
M.3.36.
Housing (or population) density. The survey of users in July 2014 and a
previous consultation suggested using a measure of high density housing in the Living Environment Deprivation Domain, to reflect the impact of housing on traffic congestion and pollution, and limited open space. However, housing (or population) density is only a proxy for these impacts and is not a deprivation in its own right, as high density living is not always seen as undesirable.
M.3.37.
Land use and derelict land. The current method for measuring derelict land is
the National Land Use Database, which is assembled from data collected by local authorities. However, the database is not comprehensive enough to give a sufficiently robust measure of derelict land at small area level for the whole of England, even if such an indicator was desirable.
M.3.38.
Noise pollution. The Department for Environment, Food and Rural Affairs has
estimated local environmental noise levels due to road, rail and air traffic and from
industry109. Although this data potentially provides an additional indicator for the
Outdoors sub-domain, data is only available for major urban areas, and for major roads and railways outside the major urban areas. There was therefore not sufficient geographic coverage to include noise pollution in this update of the Indices of Deprivation.
M.3.39.
Proximity to green spaces. There is a range of research outlining the benefits
of access to green spaces including reduced pollution, improved physical and psychological wellbeing and factors which encourage healthy lifestyle behaviours. Several location datasets could be used in a composite indicator of proximity to green spaces, including local nature reserves, woodland, local open spaces,
coastal beaches and Areas of Outstanding Natural Beauty110. As sufficiently robust
data was not readily available to produce this indicator without significant extra work, developing this indicator was outside the scope of this update. There may be value in exploring the development of such an indicator for a future update.
M.3.40.
Proximity to waste and landfill sites. The most recent Welsh Index of Multiple
Deprivation 2014 contains an indicator of proximity to waste and landfill sites, which ranks Lower-layer Super Output Areas based on the proportion of the population living within a 1km zone of each Pollution Prevention Control site and active landfill site. However, this indicator was not pursued further for the Indices of
Deprivation 2015, as the impact of poor air quality resulting from proximity to waste and landfill sites is already captured as part of the air quality indicator. In addition, a systematic review of studies into the health impacts of people living in the vicinity of waste and landfill sites was unable to find sufficient evidence to establish a causal link between negative health effects and living in close proximity to waste
and landfill sites111.
M.3.41.
Vacant dwellings and low demand. The Department for Communities and
Local Government publishes data on empty homes at local authority district level 112. As this data is not available at small area level, it was not considered suitable
for use in a new indicator. It may be possible in future to model empty homes at small area level to provide a candidate indicator for the 'Outdoors' sub-domain, but this was outside the scope of this update of the Indices.
## Appendix N. History Of The Indices Of Deprivation
N.1.1. The Indices of Deprivation 2000 attempted to measure multiple deprivation with
respect to a single overall index as well as separate domain indices. Previous indices (1981 z-scores, 1991 Index of Local Conditions and 1998 Index of Local Deprivation) that had been constructed did not attempt to measure each domain of deprivation separately before combining the indicators into an overall index; these earlier indices also comprised a smaller number of indicators, utilised proxy measures and relied heavily on Census data. The Indices of Deprivation 2000
therefore reflected an attempt to refine the conceptualisation of multiple deprivation and the methodology for constructing the indices, and included new and more upto-date indicators.
N.1.2. In subsequent updates of the Indices of Deprivation, the number of domains and
indicators has increased as more data sources become accessible, and the methodology has gradually been refined. The main focus in recent years has been to maintain a consistent methodology to allow meaningful comparisons between years.
N.1.3. The Index of Multiple Deprivation 2000 consisted of six domains: Income
Deprivation; Employment Deprivation; Health Deprivation and Disability; Education, Skills and Training Deprivation; Housing Deprivation; and Geographical Access to Services Deprivation.
N.1.4. In updating these to the Indices of Deprivation 2004, the main change was the
addition of the Crime Domain. Some changes were made to the Housing Deprivation Domain and the Geographical Access to Services Deprivation Domain, which became the Living Environment Deprivation Domain and the Barriers to Housing and Services Domain respectively. A small number of indicators were redistributed into these new domains. The Indices of Deprivation 2004 therefore consisted of seven domains:
Income Deprivation Employment Deprivation Education, Skills and Training Deprivation Health Deprivation and Disability Crime Barriers to Housing and Services Living Environment Deprivation
N.1.5. There was also a change to the geography used, from wards in the Indices of
Deprivation 2000 to Lower-layer Super Output Areas113 in the Indices of
Deprivation 2004. The intention has always been to construct the Indices at the smallest practicable spatial scale to provide a detailed measure of deprivation at a
small spatial unit. The 2004 Indices and all subsequent Indices have been constructed at using Lower-layer Super Output Area geography. This is a statistical geography which has more even and (on average) smaller population sizes than wards and, until it was reviewed following Census 2011, had not been subject to boundary changes (which happen regularly with wards). Lower-layer Super Output Areas are aggregations of Census Output Areas, the base unit for Census data releases.
N.1.6. The Indices of Deprivation 2007 aimed to maintain the methodology of previous
Indices and no changes were made to the domains or spatial scale. The same was true of the Indices of Deprivation 2010.
N.1.7. The domains of deprivation and the methods used in developing the Indices of
Deprivation 2015 update have remained consistent with those used for the 2010
Indices. This maintains comparability with previous versions of the Indices. There have been a modest number of changes to the basket of indicators used in the domains, resulting in a small number of new, modified and dropped indicators. These and changes to Lower-layer Super Output Area geography following the Census 2011 are described in Appendix C.
## Appendix O. What Data Has Been Published?
O.1.1. The Indices of Deprivation 2015 datasets are available to download at
www.gov.uk/government/statistics/english-indices-of-deprivation-2015
## Lower-Layer Super Output Area Data
O.1.2. Nine sets of data have been published for Lower-layer Super Output Areas:
1. Index of Multiple Deprivation: The rank and decile for each area, on the overall
Index of Multiple Deprivation.
2. Domains of deprivation: The rank and decile for each area, for each of the
seven domains, as well as the Index of Multiple Deprivation
3. Supplementary Indices - Income Deprivation Affecting Children Index and
Income Deprivation Affecting Older People Index: The rank and decile for each area, for the Income Deprivation Affecting Children Index and the Income Deprivation Affecting Older People Index, as well as the Index of Multiple Deprivation.
4. Sub-domains of deprivation: The rank and decile for each area, for each of the
six sub-domains, as well as their respective domains.
5. Scores for the Indices of Deprivation: The scores for each area, for the overall
Index of Multiple Deprivation, the seven domains, the supplementary indices, and the six sub-domains.
6. Population denominators: The primary population denominators (all people,
children, working age, and older people) used in the Indices of Deprivation 2015. These can be used for aggregating the datasets, weighted by population, to other geographies such as wards (see Appendix A of Research Report).
7. All ranks, deciles and scores for the Indices of Deprivation, and population
denominators (CSV file): A single text file containing all of the datasets listed above.
8. Underlying indicators. The indicators used to construct the seven domains, for
those that are able to be published.
9. Transformed domain scores: The seven domain scores in this file have been
standardised by ranking, and then transformed to an exponential distribution. These transformed domain scores can be used as the basis for users to combine the domains together using different weights (see Appendix B of Research Report).
## Higher-Level Geography Files
O.1.3. Four sets of data have been published for higher-level geographies:
10.
Local Authority District Summaries.
11.
Upper-tier Local Authority Summaries.
12.
Local Enterprise Partnership Summaries.
13.
Clinical Commissioning Group Summaries.
O.1.4. To summarise the level of deprivation in larger areas, a range of summary
measures of the Index of Multiple Deprivation 2015, the domains and the two supplementary indices (Income Deprivation Affecting Children Index and Income
Deprivation Affecting Older People Index) have been created 114. For each of the
larger areas the following measures have been published:
domains and supplementary indices
Average
Average
Proportion of
Extent
Local
Scale
rank
score
Lower-layer
concentration
Super Output
Areas in most
deprived 10
per cent
nationally
x
x
x
x
x
Index of Multiple Deprivation Income
x
x
x
x
Employment
x
x
x
x
Education
x
x
x
Health
x
x
x
Crime
x
x
x
Living
x
x
x
Barriers
x
x
x
IDACI
x
x
x
IDAOPI
x
x
x
O.1.5. These measures are described in section 3.8 of the Technical Report and advice
on their interpretation is provided in section 3.3 of the Research Report.
114 For the Indices of Deprivation 2010 and previous versions, the majority of summary measures published were for the Index of Multiple Deprivation only. In response to demand from users, additional summary measures for the domains and supplementary indices have been published here.
## Appendix P. Worked Examples Of The Higher-Level Summary Measures Overview
P.1.1. The summary measures have been produced for the following higher-level
geographies for the Index of Multiple Deprivation, domains and supplementary indices: local authority districts, upper tier local authorities, local enterprise partnerships and clinical commissioning groups. As with the Lower-layer Super Output Area data, both ranks and scores are produced, with higher scores corresponding to higher levels of deprivation, and areas ranked so that a rank of 1
identifies the most deprived high-level area on that measure.
P.1.2. In order that higher scores can consistently be interpreted as corresponding to
higher levels of deprivation, those summary measures that are based on Lowerlayer Super Output Area *ranks* (the average rank and local concentration summary measures) use a reversed ranking - where 32,844 rather than 1 corresponds to the most deprived area - in the calculation of the summary measure *score*.
P.1.3. To help users understand each of the summary measures, the sections below
describe how to calculate the measures for hypothetical local authority districts.
## Average Rank
P.1.4. A user wishes to calculate the Index of Multiple Deprivation average rank for their
local authority district. The average rank measure summarises the average level of deprivation across the district, based on the population-weighted ranks of the Lower-layer Super Output Areas in the area.
P.1.5. The district contains five Lower-layer Super Output Areas, with populations of
1,200, 1,800, 1,400, 1,500 and 1,700, giving a total population of 7,600, and have Index of Multiple Deprivation ranks of 3,000, 10,000, 500, 1,000 and 20,000
respectively.
P.1.6. To calculate the average rank for the local authority district, each Lower-layer
Super Output Area rank is multiplied by the Lower-layer Super Output Area population. These values are then summed, before dividing by the district's population to create the average rank for the district.
P.1.7. In order that higher scores can consistently be interpreted as corresponding to
higher levels of deprivation, those summary measures that are based on Lowerlayer Super Output Area *ranks* use a reversed ranking - where 32,844 rather than 1 corresponds to the most deprived area. The user would therefore calculate the average rank for the district as:
| = 32,845 - | Average |
|-----------------------------------------|-------------------------------------------------|
| rank | (3,000 x 1,200 + 10,000 x 1,800 + 500 x 1,400 + |
| 1,000 x 1,500 + 20,000 x 1,700) / 7,600 | |
| = 25,240 | Average |
| rank | |
When the average rank score is itself ranked then the rank of 1 (most deprived) is given to the largest average rank value.
## Average Score
P.1.8. The same user wishes to calculate the Index of Multiple Deprivation average score
for their local authority district. The average score measure summarises the average level of deprivation across the district, based on the population-weighted scores of the Lower-layer Super Output Areas in the area.
P.1.9. The district contains five Lower-layer Super Output Areas, with populations of
1,200, 1,800, 1,400, 1,500 and 1,700, giving a total population of 7,600, and have Index of Multiple Deprivation scores of 45.90, 26.51, 65.67, 59.14 and 13.64
respectively.
P.1.10. In order to calculate the average score for the local district authority, each Lowerlayer Super Output Area score is multiplied by the Lower-layer Super Output Area population. These values are then summed, before dividing by the district's population to create the average score for the district. The user would calculate the average score for the district as:
| Average score | = (45.90 x 1,200 + 26.51 x 1,800 + 65.67 x 1,400 + |
|----------------------------------------|--------------------------------------------------------|
| 59.14 x 1,500 + 13.64 x 1,700) / 7,600 | |
| Average score | = |
When the average score is ranked then the rank of 1 (most deprived) is given to the largest average score value
## Proportion Of Lower-Layer Super Output Areas In The Most Deprived 10 Per Cent Nationally
P.1.11. A user wishes to calculate for their local authority district the proportion of Lowerlayer Super Output Areas that are in the most deprived 10 per cent nationally.
P.1.12. Their local authority district contains 65 Lower-layer Super Output Areas. Of these,
18 are ranked in the most deprived decile (i.e., 10%) of all areas in England. The user would calculate the proportion of Lower-layer Super Output Areas in the most deprived 10 per cent nationally for the district as:
Proportion of Lower-layer Super Output Areas in the most deprived 10 per cent nationally
=
18 / 65
=
0.277 (i.e. 27.7%)
Proportion of Lower-layer Super Output Areas in the most deprived 10 per cent nationally When the score for this summary measure is ranked then the rank of 1 (most deprived) is given to the largest proportion.
## Extent
P.1.13. A user wishes to calculate the extent measure for their local authority district. The
extent measure is a summary of the proportion of the local population that live in areas classified as among the most deprived in the country. The extent measure
uses a weighted measure of the population in the most deprived 30 per cent of all areas:
The population living in the most deprived 10 per cent of Lower-layer Super
Output Areas in England receive a 'weight' of 1.0;
The population living in the most deprived 11 to 30 per cent of Lower-layer
Super Output Areas receive a sliding weight, ranging from 0.95 for those in the most deprived eleventh percentile, to 0.05 for those in the most deprived thirtieth percentile. In practice this means that the weight starts from 0.95 in the most deprived eleventh percentile, and then decreases by (0.95-0.05)/19 for each of the subsequent nineteen percentiles until it reaches 0.05 for the most deprived thirtieth percentile, and zero for areas outside the most deprived 30 per cent.
P.1.14. A local authority district contains 70,000 people. Of the Lower-layer Super Output
Areas in the district, only four are in the most deprived 30 per cent of all Lowerlayer Super Output Areas in England; the populations for only these Lower-layer Super Output Areas are included in the extent calculation. The ranks for these four Lower-layer Super Output Areas are 500, 1,000, 3,000, and 9,000 respectively, with populations of 1,400, 1,500, 1,200, and 1,800 respectively.
The first three Lower-layer Super Output Areas are in the most deprived 10 per
cent of areas (with 32,844 areas in England, the areas ranked 1 to 3,284 are in the top 10 per cent). These receive a weight of 1.0, so contribute 100 per cent of their population.
The fourth Lower-layer Super Output Area is ranked 9,000, so is in the 28th
percentile (to find out which percentile an area is in, divide the rank by the total number of ranks, in this case 32,844, multiply by 100 and round up to the nearest integer). This receives a weight of 0.1447 so contributes 14.47% of its population: the weight decreases from 0.95 for the eleventh decile by (0.95-
0.05)/19, so is 0.1447 for the 28th percentile.
P.1.15. The user would therefore calculate the extent summary measure for the district as:
| Extent | = | ( 1,400 + 1,500 + 1,200 + 0.1447 x 1,800 ) / 70,000 |
|------------|------|--------------------------------------------------------|
| | | |
| Extent | = | 0.062292 |
When the extent score is ranked then the rank of 1 (most deprived) is given to the largest extent score.
## Local Concentration
P.1.16. A user wishes to calculate the local concentration measure for their local authority
district. The local concentration measure is a summary of how the most deprived Lower-layer Super Output Areas in the higher-level area compare to those in other areas across the country, and measures the population-weighted average rank for the Lower-layer Super Output Areas that are ranked as most deprived in the higher-area, and that contain exactly 10 per cent of the higher-area population (in many cases, this will not be a whole number of Lower-layer Super Output Areas).
P.1.17. A local authority district contains 70,000 people; 10 per cent of this population is
7,000 people. The local concentration measure calculates the population-weighted rank of the most deprived Lower-layer Super Output Areas containing exactly
7,000 people. Having sorted the Lower-layer Super Output Areas in descending order of deprivation, the five most deprived Lower-layer Super Output Areas in the local authority district have populations of 1,400, 1,500, 1,200, 1,800, and 1,700, giving a total population of 7,600 (just higher than the 7,000 population required).
P.1.18. These Lower-layer Super Output Areas have ranks of 500, 1,000, 3,000, 10,000
and 20,000 according to the Index of Multiple Deprivation. In order that higher scores can consistently be interpreted as corresponding to higher levels of deprivation, those summary measures that are based on Lower-layer Super Output Area *ranks* use a reversed ranking - where 32,844 rather than 1 corresponds to the most deprived area.
P.1.19. To reach the required population of 7,000 (i.e., 10 per cent of the district's
population) the first four Lower-layer Super Output Areas are included plus 1,100 of the fifth Lower-layer Super Output Area population. The user would calculate the local concentration measure for the district as:
| Local concentration | = | 32,845 - |
|-------------------------------------------------|------|--------------|
| ( 1,400 x 500 + 1,500 x 1,000 + 1,200 x 3,000 + | | |
| 1,800 x 10,000 + 1,100 x 20,000 ) / 7,000 | | |
| | | |
| Local concentration | = | 26,302.14 |
When the local concentration score is ranked then the rank of 1 (most deprived) is given to the largest local concentration score
## Income Scale And Employment Scale (Two Measures)
P.1.20. A user wishes to calculate the income scale and employment scale for their local
authority district. The two scale measures summarise the number of people in the higher-level area who are income deprived (the income scale) or employment deprived (the employment scale).
P.1.21. A district contains five Lower-layer Super Output Areas. The number of people in
low income families in each Lower-layer Super Output Area (i.e., the Income
Deprivation Domain numerator) is 1,563, 1,672, 1,745, 1,499 and 1,812.
P.1.22. The user would calculate the income scale measure for the district as:
| Income scale | = | 1,563 + 1,672 + 1,745 + 1,499 + 1,812 |
|-----------------|------|------------------------------------------|
| | | |
| Income scale | = | 8,291 |
P.1.23. The employment scale measure is calculated in the same way, but using the
numerator of the Employment Deprivation Domain.
| en |
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0298-pdf |
## The Office Of Rail And Road 151St Board Meeting 10:30-16:30 Tuesday 4 September 2018
ONE KEMBLE STREET, LONDON WC2B 4AN
Non-executive members: Stephen Glaister (Chair), Tracey Barlow, Anne Heal, Graham Mather,
Bob Holland
Executive members: Joanna Whittington (Chief Executive), John Larkinson (Director Railway Markets
and Economics), Graham Richards (Director Railway Planning and Performance); Ian Prosser (Director Railway Safety).
In attendance: Dan Brown (Director Strategy and Policy), Freya Guinness (Director Corporate
Operations and Organisational Development), Russell Grossman (Director of Communications), Juliet Lazarus (Director Legal Services and Competition), Tess Sanford (Board Secretary) Declan Collier, ORR's new chair designate, attended as an observer.
Other ORR staff in attendance are shown in the text.
Item 1 WELCOME AND APOLOGIES FOR ABSENCE
1.
The Chair welcomed everyone to the meeting and thanked them for making time for this session which was additional to the normal programme. He particularly welcomed Declan Collier, who would take over
as Chair of the ORR in January.
2.
Justin McCracken and Michael Luger had sent apologies for this meeting as they
were on holiday.
3.
The Chair noted Joanna Whittington's resignation and pending move to BEIS.
She would attend the next two scheduled board meetings before finishing at ORR.
## Item 2 Declarations Of Interest 4. No New External Interests Were Declared.
5.
Graham Richards would recuse himself from discussion of the Timetable
Inquiry to avoid any perceived conflict of interest on that item.
Item 3 APPROVAL OF PREVIOUS MINUTES AND MATTERS ARISING
6.
The meetings were accepted as accurate and signed.
## Item 4 Competition: Market Study Into Automatic Ticket Gates (Atgs) And Ticket Vending Machines (Tvms)
Tom Cole, Lisa Thurston and Steve Armitage joined the meeting for this item.
7.
The team presented to the board on the methodology and governance of the market study, the theories of harm and their mapping, and potential remedies before setting out the relative merits of making a Market Investigation referral to the Competition and Markets Authority. On balance, although the legal threshold was met for a referral, the team believed that a more proportionate and equally effective course of action was for ORR to pursue potential remedies. These would be particularly focused on opening the market to new entrants with additional work with TfL and RDG to improve access to information and reduce
the burden of accreditation processes.
8.
The board discussed the recommendation, reflecting that the use of investigatory
powers was welcome and the potential remedies were well thought through.
9.
ORR's existing relationships with TfL and RDG should support continued positive engagement. Referral to the CMA would incur delay and would not necessarily improve outcomes: if it became necessary a referral could be made in future.
The board was particularly keen that there should be room for innovation in the market by making data more accessible and noted the high level of effort going
into the issue of ticketing across the industry.
10.
The board agreed the recommendation.
## Item 5 Timetabling Inquiry
Claire Simpson joined the meeting for this item. Graham Richards left the meeting.
11.
Stephen Glaister began by congratulating the team on the work they had done so far in delivering the current draft. Dan Brown acknowledged the magnificent effort and diligence of the team members who were delivering a product he was very proud of. He invited comments on the draft off-line to enable the meeting to focus Board discussions on whether the ToR of the Inquiry was being met, that the emerging findings were consistent with the evidence and that the publication date of 20 September was achievable.
12.
The board commented on the overall shape of the draft and identified areas that needed further work including embedding the findings of the prior role review into the main document. They noted that findings were clearly referenced back to specific evidence.
13.
Dan Brown set out the findings structured around infrastructure, timetabling process, TOC preparedness and systemic issues. The individual findings were discussed and the board tested the interpretation of events as set out. The board noted cultural issues in the industry of misplaced confidence - that heroic efforts would deliver the necessary outcome - was based on previous experience and not on a current assessment of the risks.
14.
It was noted that the evidence showed that impact on passengers was not always the first consideration when the industry was wrestling with timetabling,
construction and rolling stock issues. The board asked that this be made clear in the report (because the absence of thinking about passenger impact was in itself noteworthy).
15.
The board also discussed the governance and responsibilities of the various cross organisational bodies involved, the contractual complexity which inhibited swift decision making, fragmentation across the system and different understanding of roles and responsibilities. There were very few points where all the necessary information was available to one group of people to identify and resolve system wide issues.
16.
The board noted that poor information for passengers during disruption was an area for further regulatory consideration.
17.
Ian Prosser described his approach to the prior role review and the board discussed the draft table of findings. It was essential that ORR's involvement was clearly set out in the main report in the same objective terms as the other parties or the overall report would not be complete or credible. ORR staff directly involved should be offered the same opportunity to fact-check the text that other parties had.
18.
The question of what ORR should do differently in future should be discussed internally as part of the second phase of the Inquiry.
19.
The PRR findings should be published alongside the main report to demonstrate that the two were consistent.
20.
The board agreed that the main report was moving in the right direction and that
fact-checking with stakeholders should go ahead. Drafting would continue to ensure consistency, remove duplication and improve readability. The executive summary and foreword should highlight the information which would be new to readers.
21.
The Advisory Panel would receive a draft of the report on 5 September and meet on 17 September to discuss planning for Phase 2 of the Inquiry.
22.
The board was reminded that the Inquiry report was confidential and potentially market sensitive.
## Item 7 London Accommodation Project1
Graham Richards returned to the meeting
23.
Freya Guinness introduced the item, setting out the latest situation. The board were asked to agree the criteria used to make a recommendation on next steps, to delegate final decisions on detail to the Accounting Officer and to note the current risks to a successful outcome.
24.
The board discussed the amenities and environment which might be offered by a new property in comparison to One Kemble Street. They considered analysis of the impact on travel time for existing staff of the two options being closely explored, including any impact of Crossrail. They noted the current position of
the landlord at OKS. The board supported the executive's view that admitting
additional options at this stage in the process would be unlikely to deliver a better result.
25.
The board noted the executive's plans to review the overall risks associated with the project to ensure that the best commercial outcome was reached without unnecessarily prolonging uncertainty for staff. Work was also in hand to pave the way for HMT authorisation for any necessary budget uplifts in 2019-20.
26.
The board approved Exco's recommendation in the paper and delegated final decisions on the property and the financial business case to the Accounting
Officer. The board noted the commercial and personnel sensitivities in relation to this issue.
## Item 8 Pr18 Network Rail Response To The Draft Determination
27.
John Larkinson briefed the board on work done to gather stakeholder views on the draft determination and highlighted areas where those views varied or were consistent. He highlighted: performance trajectories, open access charges and R&D funding as key areas of difference. Stakeholders had also begun to think about what the settlement would mean in detail and raised questions accordingly. John described the challenge for the staff of meeting the timetable for the final determination.
28.
As well as this session with NR's senior leadership, ORR would also meet the
individual route directors to understand any differences in confidence about their ability to meet efficiency targets and deliver their plans.
Sir Peter Hendy, Mark Carne, Andrew Haines and Jeremy Westlake of Network Rail joined the meeting.
29.
After welcomes and introductions Mark Carne opened the presentation. CP5 had seen the foundations put in place for a more successful CP6 and the initial
SBP had been developed from the ground up to engender local ownership and,
ultimately, be more deliverable. ORR's challenge on the SBP had focused on
asset sustainability, efficiency and R&D and NR had addressed each of these in their response to the draft determination.
30.
MC set out analysis showing how targeted planned spend in CP6 could improve asset sustainability and reduce long term costs. He argued that the right investment in R&D to develop digital solutions to signalling could significantly reduce the future costs of the high level of signalling renewals which would
otherwise be necessary in CP7 and CP8. Modelling had been revised to take into account future efficiency and technology gains and models now showed a business plan which was sustainable in the long term.
31.
In setting out NR's revised approach to R&D MC referred to historical gains from new technology and the savings which could be attributed. He explained the life cycle from research to deployment and showed an example of the anticipated impact of improvements on track technology. Overall, NR argued that more careful investment in R&D could deliver direct long term savings.
32.
On efficiency, NR had accepted the challenge in the Draft Determination. They
showed that individual routes had reviewed their 'headwinds' and committed to
additional savings, but commented that these were now judged to be the highest tolerable level of stretch. In particular it was stressed that not all the savings were identified at this stage so the figures were not as robust as those in the original SBP.
33.
NR presented a revised set of funding numbers which they argued would still achieve the outcomes sought by ORR in the draft determination.
34.
NR had looked at the drivers of the current decline in train performance speculating that TSRs, passenger numbers, complex service patterns, franchise commitments, train crew management and the railway upgrade plan were outweighing the improvements seen in fleet and asset reliability, time to fix and
more benign weather. They argued that these complex inter-relationships were poorly understood and led to over-optimistic plans, and that assumptions for CP6 were tougher than for CP5.
35.
It would be important for TOCs and routes to work together and there should be no mismatch between performance targets. Route MDs would be more clearly accountable as a result of scorecards. However it was clear that CP5 exit would be materially worse than anticipated in the SBP and that the CRM-P needed to be updated. The uncertainty about future levels of performancehad led NR to request that there should be a reopener of Schedule 8 benchmarks at TOC level.
36.
NR summarised that the new SBP would include increased investment to maintain asset sustainability, an NR-focused R&D plan to deliver sustainable benefits, that CRM-P needed to be updated but that planning on efficiency and performance delivery was still ongoing.
37.
Finally MC shared a risk assessment on readiness by route for CP6 and contrasted that favourably with the national readiness for CP5 - particularly in relation to contract readiness.
38.
The board then discussed with NR:
the likely change in CSI over CP6,
the robustness of NR's forecasting techniques,
changes in organisation around NR's R&D capability and the associated
governance,
the impact of technological advances in assessing assets for renewal and
how work is prioritised,
the robustness of revised efficiency forecasts and the degree of
commitment from routes to delivering them,
likely performance figures at CP5 exit and CP6 readiness;
the difference between franchise commitments and proposed performance
targets;
the potential for piloting a change in regulatory approach e.g. 'switching off'
schedule 8 in some parts of the country;
Issues remaining in Scotland.
39.
The board particularly sought Andrew Haines' view (as incoming CEO) on the deliverability of the plan: he was content that the route MDs believed they could deliver their own plans - although that would clearly be easier in some places than others. He had not yet had time to review the overall plan closely enough to form his own judgement.
40.
Stephen Glaister thanked the NR team for coming and for a very helpful discussion. He thanked Mark Carne for the positive change he had driven in the
industry while in his role as CEO of NR and wished him well. Peter Hendy, Mark Carne, Jeremy Westlake and Andrew Haines left the meeting.
41.
After the guests had departed, the board reflected on the session including the degree of ambition shown and the countervailing challenges described by NR including those around readiness. It was important that ORR was assured that the new Chief Executive had bought into the plan for CP6 and was committed to deliver it. The board discussed the funding regime for NR and the cash controls within which it now had to manage - this was relevant to the request for a
reopener of Schedule 8. It would be important in communicating the final determination to make the settlement relevant to the individual customer and
apply the 'passenger lens' to the overall story.
## Item 9 Any Other Business
42.
The board noted the withdrawal of the previously approved independent member of the Audit and Risk Committee and approved the appointment of Rodney Norman to the role from 1 October 2018.
## Next Meeting: 24 September 2018
| en |
4068-pdf | PLANNING COMMITTEE:
21st November 2017
DIRECTORATE:
Regeneration, Enterprise and Planning HEAD OF PLANNING:
Peter Baguley APPLICATION REF:
N/2017/1412
41A Eastfield Road, Duston
LOCATION:
DESCRIPTION:
Prior Notification for the demolition of 2no semi-detached dwellings (41A Eastfield Road and 2 Northfield Road)
WARD:
New Duston Ward
APPLICANT:
Northampton Partnership Homes
AGENT:
Northampton Partnership Homes
REFERRED BY:
Head of Planning
REASON:
Council owned land
DEPARTURE:
No
## Application For Determination: 1. Recommendation
1.1
That the Authority's **PRIOR APPROVAL WILL NOT BE REQUIRED** for the method of demolition
and proposed restoration of the site for the following reason:
The means of demolition and the proposed restoration of the site are considered to be acceptable and would be consistent with the aims and objectives of policies of the West Northamptonshire Joint Core Strategy and the National Planning Policy Framework.
## 2. The Proposal
2.1
The application is for the proposed demolition of two semi-detached dwellings.
## 3. Site Description
3.1
The application site relates to a pair of semi-detached dwellings, which are on the corner of
Northfield Road and Eastfield Road North. The area is residential in character.
## 4. Planning History
4.1
None.
## 5. Planning Policy 5.1 Statutory Duty
Section 38(6) of the Planning and Compulsory Purchase Act 2004 requires an application to be determined in accordance with the Development Plan unless material planning considerations indicate otherwise. The Development Plan for the purposes of this application comprises the adopted West Northamptonshire Joint Core Strategy (2014) and Northampton Local Plan (1997) saved policies.
## 5.2 National Policies
The National Planning Policy Framework (NPPF) sets out the current aims and objectives for the planning system and how these should be applied. In delivering sustainable development, decisions should have regard to the mutually dependent social, economic and environmental roles of the planning system. The NPPF should be read as one complete document. However, the following section is of particular relevance to this application:
Section 8 - Promoting healthy communities.
## 5.3 West Northamptonshire Joint Core Strategy (2014)
The West Northamptonshire Joint Core Strategy (JCS) provides an up to date evidence base and considers the current Government requirements for plan making as it has been prepared in full conformity with the NPPF. Policies of particular relevance are:
S10 - Sustainable development principles. BN9 - Planning for Pollution Control
## 5.4 Northampton Local Plan 1997 (Saved Policies)
Due to the age of the plan, the amount of weight that can be attributed to the aims and objectives of this document are diminished. There are no policies material to this application.
## 6. Consultations/ Representations
6.1
Building Control - no objection.
6.2
Environmental Health - No comments to make regarding either the method of demolition or any
proposed restoration of the site.
## 7. Appraisal
7.1
For a Prior Notification for demolition, the only considerations are the matters in relation to the means of demolition and the proposed restoration of the site. The principle of demolition is not a consideration.
7.2
The proposed method of demolition includes the use of site fencing with lockable gates, the
display of safety signs, disconnection of services, checking for asbestos then carrying out a soft strip of the building, demolition using a mechanical excavator and associated use of a dust
suppression system, due care to protect adjoining dwellings, sorting and salvage of demolished materials, ensuring the site is left safe overnight and full compliance with Health and Safety
Executive directives.
7.3
The method of demolition has been examined by Building Control who confirm that the details as
submitted are acceptable.
7.4
Environmental Health has confirmed that the method of demolition is acceptable.
7.5
The site will be left as a cleared site ready for future improvement works and it has been
confirmed also that services would be capped off, and the buildings would be left structurally sound and watertight, and the faces of the buildings would be left in a cosmetically acceptable
state.
## 8. Conclusion
8.1
The means of demolition and the proposed restoration of the site are considered to be acceptable
and would be consistent with the aims and objectives of policies of the Northampton Local Plan,
the West Northamptonshire Joint core Strategy and the National Planning Policy Framework.
## 9. Conditions
9.1
It is not necessary to attach conditions as Schedule 2, Part 11 of The Town and Country Planning
(General Permitted Development) Order 2015 stipulates that where prior approval is not required,
the development shall be carried out in accordance with the details submitted with the
application.
## 10. Background Papers
10.1
Application File N/2017/1412.
## 11. Legal Implications
11.1
The development is not CIL liable.
## 12. Summary And Links To Corporate Plan
12.1
In reaching the attached recommendations regard has been given to securing the objectives, visions and priorities outlined in the Corporate Plan together with those of associated Frameworks and Strategies. | en |
2194-pdf |
## Priority Recommendations R1 The Department For Education (Dfe) Should Continue To Develop And Improve Its Approach To The Management Of Its Current And Legacy Digital
information. This would be supported by: · IT Group and Information Services reviewing the IM and IT strategies to ensure a joined-up approach to the management of data and records. · Developing a plan for the ongoing continuity of digital information (both current and legacy). This would build on the work to identify critical systems, data and their value. · Ensuring that IM requirements are considered when systems and platforms are implemented and upgraded. · Making it mandatory to save official records in Workplace. · Placing greater restrictions on the use of email inboxes and PST (Personal Storage Table) files (including size limits) to encourage staff to save information into Workplace (linking to awareness and training for Workplace and Colligo - see Recommendation 4
· The Information Services team, collaborating with the Senior Information Risk Officer (SIRO), the Departmental Security Unit (DSU), and Policy leads, developing clear policy and guidance on what information can be published and made accessible through Workplace, and which areas need secure collaborative sites to enhance secure information-sharing and decision-making processes. · Content Managers and Policy leads identifying other work areas with which they need to collaborate and share sensitive information (as part of decision-making or policy development); and liaising with the Information Services team on requirements for establishing shared/controlled Workplace sites. · Information Services developing a customised template (based on the intranet classification scheme) to assist Workplace users and Content Managers in establishing a controlled file structure.
R1 Actions
Priority:
Action 1.1 Meet with key stakeholders within IT Group, to determine dependencies for both IM and IT strategies.
High
Feb-17
Open
Action 1.2 Undertake a digital systems audit which will determine scope and enable development of a plan which will ensure ongoing continuity of digital information
Medium
May-17
Open
Action 1.3 Process in place which will ensure that IM are notified if a new system is being implemented which will
impact on Information Management
High
Jun-16
Due for
High/Low/Medium
completion Status
| | | Action 1.4 | Programme of KIRM culture change to be developed, focusing on ensuring Workplaces is the |
|-------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------|--------------|----------------------------------------------------------------------------------------------|
| mandatory records repository. | High | Apr-17 | Open |
| Action 1.4 | Auto-retention of records within Workplaces implemented | High | Apr-17 |
| Action 1.5 | Gain approval to reduce the size of e-mail inboxes and restrict PST folders to 'read only'. (linking into | | |
| KIRM culture change programme - 1.4) | | High | Jun-17 |
| Action 1.6 | Guidance produced which provides clear vision of permissions and access rights for content held on | | |
| Workplaces | | High | Jun-17 |
| Action 1.7 | Process to be agreed which will allow workplaces to be open by default (where appropriate) IM team | | |
| also to review work area links across Workplaces to enable links between Content Managers | | High | Jun-17 |
The Information Services team and Information Assurance staff should work together to improve oversight and control of DfE's information assets.
This would be supported by: · Continuing the current review of the governance and reporting models, planning to ensure that the reporting of information assets by the Information Asset Owners (IAOs) is monitored on a monthly basis. · Reviewing the current definition of information assets, and identifying what key fields need to be mandatory in the Information Asset Register, to ensure that DfE is satisfactorily meeting its statutory and reporting requirements. · Examining the option of adopting a proportionate approach to ownership of information assets, particularly for those that have been identified as having critical or high-level importance to DfE.
R2 Actions
Priority:
Action 2.1 Establish a centralised electronic Information Asset Register (IAR) (viewable to everyone in the department) which IAOs are encouraged to review and update throughout the year.
Medium
Apr-16
Closed
Action 2.2 Mandatory fields within IAO register to be established
Medium
Apr-16
Closed
Action 2.3 'Critical assets' to be identified as part of Annual IAO return, SIRO to be informed and made aware of critical assets
Medium
May-16
Closed
Due for
High/Low/Medium
completion
Status
DfE should ensure that the new information management strategy sets goals for the whole department and is linked to improvements in technology, governance and culture. This would be supported by:
· Establishing a Knowledge and Information Management Governance Board to formalise current relationships and ensure clearly documented reporting mechanisms. · Ensuring that IM requirements are considered when implementing or upgrading new systems and procedures, and when migrating data and records to new platforms. · Ensuring that accreditation and assurance of systems is at an appropriate reporting level, as agreed by the Management Committee. · The Information Services team collaborating with Workplace Content Managers to establish measurable assurance and reporting for the capture and management of records in Workplace, to provide ongoing benefit.
R3 Actions
Priority:
Action 3.1 KIM Governance Board to be established
Medium
Dec-17
Open
Action 3.2 Process in place which will ensure that IM are notified if a new system is being implemented which will impact on Information Management. (Also links to **Action 1.1)**
High
Jun-16
Open
Action 3.3 Accreditation and Assurance of systems to be reviewed with Departmental Security Unit
Medium
Jul-17
Open
Action 3.4 Agreeing requirements regarding what information needs to be tracked
High
Aug-16
Closed
Action 3.5 Analytical tool to be implemented, which will allow measurable assurances around capture and management of records and information
Medium
Mar-17
Due for
High/Low/Medium
completion
Status
DfE should build on the current guidance and awareness of staff through a coordinated training and education programme This would be supported by: · Knowledge and Information Management (KIM) stakeholders collaborating with the Internal Communication team on a communication plan to
promote the importance of proper Information Management (IM). · Clearly defining the responsibilities of the Information Services team (and all departmental staff) in terms of IM. · Ensuring that the IM responsibilities of the Information Services team (and all department staff) are promoted and supported by senior managers through agreed governance committees and through targeted and regular messages. · Including a session on the importance of KIM as part of the mandatory induction for new staff and refresher training for current staff. · Building on current work with Content Managers (CMs) by encouraging greater collaboration within the CM Community, placing greater emphasis on performance reporting (Workplace), and enlisting key CMs as lead champions within their directorates to monitor and report on performance. · Developing and promoting a defined IAO community that focuses on providing a portal for joined-up collaboration, communication, and assistance. This should be linked to ongoing risk awareness (of strategic and information risk) and ongoing training and awareness-raising for IAOs. · Ensuring that the new induction pack includes mandatory Workplace/IM training for end users, and additional training for CMs and IAOs.
· Ensuring that training and awareness includes clear guidance to staff on what information needs to be captured in Workplace (and what can be published to the intranet), and on how, why and when to 'check in' and 'declare' records. · Refreshing and promoting guidance through newsletters and desk aids to assist understanding of key tasks when implementing Workplace and Colligo Engage, and when capturing information into Workplace. · Investigating technical solutions that may reduce the burden of capturing the right information into Workplace.
R4 Actions
Priority: High/Low/Medium
Action 4.1 Dedicated communications plan for KIRM to be implemented
High
Jul-16
Closed
Action 4.2 Roles and responsibilities for both IS team and DfE staff, (developed as part of I'm strategy) to be communicated
Medium
Apr-17
Open
Action 4.3 See Action 3.1
May-17
Action 4.4 KIRM section to be implemented into new starters induction programme
Medium
Aug-17
Open
Action 4.5 Develop a network of 'Content Manager Champions' who are able to monitor performance of
workplaces
Medium
Aug-16
Due for
completion Status
Action 4.6 Further development of an 'IAO community' driven by Content Manager Champions
Medium
Apr-17
Open
Action 4.7 Implement mandatory Workplaces and IM training for new starters
Medium
Aug-17
Open
Action 4.8 Training plan to be developed, outlining training and guidance material to be provided to staff
Medium
May-17
Open
Action 4.9 Review of IM and RM guidance, to include further consideration to desk aid support for Workplaces
Medium
May-17
Open
DfE should continue to develop its approach to managing information risk. This would be supported by: · Promoting departmental and government risk management policy on an ongoing basis. · Improving awareness of the assurance that the SIRO provides to DfE and the importance of the role. · Ensuring that any information risk with potential departmental impact (or higher) is reported to the Permanent Secretary and the DfE Board as standard procedure. · Reviewing the role of the SIRO and their relationship with the DfE Board; establishing the SIRO as a defined DfE Board member.
· Including updates and reporting on information risk by the SIRO as a standing agenda item for Management Committee meetings. · Including the examination of the maintenance of critical and high-value systems as part of the annual assurance activities carried out by the Internal Audit team. · Improving awareness of the Information Risk policy and the importance of tracking, reporting and escalating strategic and information risks to relevant governance committees. This includes the tracking of information risks in relevant lines of business risk registers. · Coordinating the reporting and oversight of information risk through key stakeholder teams (DSU, Information Services, Knowledge Management Groups) and key users (KIM Champion, Content Managers, IAOs).
R5 Actions
Priority:
Action 5.1 Risk register to be finalised for both IM and RM
High
Jan-17
Open
Action 5.2 Risk register to be reviewed at KIRM Governance Board meetings
Medium
Jan-17
Due for
High/Low/Medium
completion Status
## R6 Dfe Should Improve Its Awareness And Oversight Of Information Holdings And Ensure That All Holdings Are Identified As To Current Use And Future
disposal. This would be supported by:
· Promoting the Departmental Records Officer (DRO) role and responsibilities at a senior level to ensure understanding of their remit at DfE Board level. · The DRO providing regular reports to the Management Committee on how DfE is meeting statutory requirements and is improving the management of its data and records. · Reviewing retention and disposal schedules with key stakeholders to ensure that these schedules meet both business needs and statutory requirements. · Rationalising the digital estate to ensure good information management. As part of this, obtaining guidance and liaising with key stakeholders (including Government Digital Service and The National Archives). · The DRO liaising with DfE's third-party storage contractor and developing a review plan to apply required context and retention to any holding that does not meet required standards. · The DRO collaborating with Estates Management (and other key stakeholders) to identify paper holdings held in current work sites.
· Building on current work to streamline the transfer process by producing a plan for managing the selection and transfer of paper and digital records to The National Archives.
R6 Actions
Priority:
Action 6.1 Promotion of DRO role achieved through Governance reporting up to board level
Medium
Jan-17
Open
Action 6.2 Reports to Management Committee to be generated following on from KIM Governance Board meetings
Medium
Jan-17
Open
Action 6.3 Review of retention and disposal retentions to be undertaken as part of auto-retention implementation
Medium
Apr-17
Open
Action 6.4 Rationalisation of digital estate to be completed
Medium
Aug-17
Open
Action 6.6 Review and corrective action on paper records with missing/incorrect metadata to be completed
Medium
Aug-17
Open
Action 6.7 Selection and transfer plan to be completed (with agreement from IMC)
Medium
Apr-17
Due for
High/Low/Medium
completion Status
| en |
2404-pdf |
## Commissioning In The Early Years
From next year, councils will take on new responsibilities for commissioning in the early years. This briefing outlines opportunities this transfer brings and the planning work currently being undertaken by NHS England and London Councils ahead of the changes.
## Overview
In October 2015, councils will receive a new duty to commission services for children in the early years, specifically health visiting and in some boroughs, Family Nurse Partnerships (FNP). Together, not only will these services bring new investment in local authority early years and public health, but will offer boroughs an exciting opportunity to create a new local vision for integrated commissioning in the early years and across the wider 0 to 19 and whole life pathway. However, learning from previous public health transfers will need to be applied as local government and health put in place the stepping stones which will ensure the resources follow the responsibility for commissioning.
## Public Health In The Early Years The Specific Commissioning Responsibility Being Transferred To Local Government Includes:
-
Health Visiting services as set out under the Healthy Child Programme
-
Family Nurse Partnership services.
A map showing local authorities and their current health visiting providers is attached as appendix 1. While highly regarded, not all local authorities have a FNP in place. FNP was created in local authority areas on a needs-led basis in order to support first-time teenage mothers; broadly speaking, the first wave of FNP was focused on the most deprived areas and latter waves followed deprivation levels. The government has expanded FNP nationally since 2010, but only those approved now will transfer to local government. In instances where a FNP service is not in place, parents and children usually captured by FNP criteria will be supported through universal health visiting and other tiers of the health visiting service. After midwives, health visiting services are often the first professionals to have contact with new-born children and their parents and provide a vital bridge to other local early years services. Health Visitors are trusted and welcome contributors to the lives of most parents and have a valuable opportunity to work with children and parents and carers to give children the best start in life. Health visitors are also vital to the early identification of children or parents needing extra support to develop and thrive.
Outcomes data provides a helpful context to why health visiting and FNP are central to steps to improve the lives of London's children:
-
about 3 in 100 babies born at term in London have a low birth weight
-
at least 1 in 10 women (about 13,400 new mothers in London) will suffer from a perinatal
mental illness
-
the perinatal mortality rate for 2009-11 for London (7.9 per 1,000) was higher than the average for England (7.5 per 1,000)
-
in 2012, 519 babies did not live to see their first birthday
-
about 9 in 10 mothers in London breastfed their baby at birth
-
1 in 10 children living in London did not receive their third dose of immunisation at 12 months
-
tooth decay is the most common chronic disease in childhood and in many parts of London is the most common cause of non-emergency admissions among children
-
1 in 4 children is overweight or obese when they start school.
The financial context of children's health gives a different accent to the case for creating strong health visiting services within an integrated early years pathway:
-
the cost of smoking in pregnancy in London contributing to preterm births is estimated to be £24 million - £38 million
-
in the first five years of life, each birth to a teenage parent costs the public sector £57,900 - this is about £53 million in London
-
targeted parenting programmes to prevent conduct disorders pay back £8 over six years for every £1 invested
-
a child's early development score at 22 months is an accurate predictor of educational outcomes at age 26 years.
-
an obese child in London is likely to cost around £31 a year in direct costs, which could rise to a total (direct and indirect) of £611 a year if they continue to be obese into adulthood
-
health visitors identifying and treating postnatal depression improves productivity and leads to cost savings in the medium to short term
-
the impacts of childhood psychiatric disorders cost London's education system approximately £200 million per year.
The outcomes and financial context make a compelling case both for strong universal health visiting and for health visiting and FNP services as a central component to integrated early intervention and prevention strategies. A child's experience in the early years is a significant factor in long term outcomes. Helping all children to have the best start in life can lead to reductions in the need for high-cost statutory provision across the whole-life pathway.
## Health Visiting The National Health Visiting Service Specification Includes The Following Four Key Elements:
-
Community: health visitors have a broad knowledge of community needs and resources available and work to develop these and make sure families know about them.
-
Universal: health visiting teams lead delivery of the Healthy Child Programme, ensuring that every new mother and child have access to a health visitor, receive development checks and receive good information about healthy start issues such as parenting and immunisation.
-
Universal Plus: families can access timely, expert advice from a health visitor when they need it on specific issues such as postnatal depression, weaning or sleepless children.
-
Universal Partnership Plus: health visitors provide on-going support, playing a key role in bringing together relevant local services, to help families with continuing complex needs for example where a child has a long term condition.
As part of the transfer to local government, the Department of Health is taking steps to regulate for the following universal health visiting checks to be mandated:
-
antenatal health promotion review
-
new baby review, which is the first check after the birth
-
6-8 week assessment
-
1 year assessment
-
2 to 2 and a half year review.
Family Nurse Partnerships Although there is a great deal of overlap in the types of support provided to children and parents, FNP is distinct from health visiting services. FNP is an evidenced based, preventive programme offered to young mothers aged 19 years and younger having their first baby. It begins in early pregnancy and is orientated to the future health and well-being of the child. It is a nurse-led intensive home visiting programme, rigorous enough to make a difference and filling the needs gap in the continuum of the Universal Healthy Child Programme where intervention at the Universal Plus level and perhaps beyond is required. The evaluation of first ten pilot sites carried out the University of showed that mothers participating in the Family Nurse Partnership:
-
stopped smoking in pregnancy or smoked fewer cigarettes
-
initiated breast-feeding at a high rate
-
coped better with pregnancy, labour and parenthood
-
had increased confidence and aspirations for the future
-
were returning to education and taking up paid employment
-
were very positive about their parenting capacity and reported high levels of warm parenting.
Independent studies show that delivering the Family Nurse Partnership programme results in significant financial benefits to participants, the public purse and wider society. Economic benefits increase over time as the children get older but there are indications that the cost of the programme is recovered by the time the children are aged four for the highest risk families and certainly by age 12.
Transfer Planning London Councils and NHS England (London) have jointly appointed a Programme Manager to support London's transfer planning. The Programme Manager is Clive Grimshaw and may be contacted on [email protected] or 020 7934 9830. The priority of the London transfer programme during the summer of 2014 has been to facilitate the process of transfer planning dialogue. The process of dialogue between NHS England (London) and local government will be an iterative one. There will be a range of issues which local government will wish to understand, consider and respond to in advance of the local government draft baseline budgets being shared in October and financial allocations being announced in December. It is unlikely that all of those issues will be resolved immediately but it is important that there is a joint health and local government process for providing a smooth and effective transition. Therefore, the expectation is that dialogue will be ongoing and will be tailored to borough needs where possible. The next step will be for local government to receive a draft baseline budget from the Department of Health by the end of October.
## Commentary
As with previous transfers and any creation of a new duty, there are risks and opportunities to be factored in and considered. With regard to the risks, each borough will be need to fully consider the financial, legal and performance issues. These will vary by borough, but commonly boroughs will wish to be mindful of:
-
Are expectations of councils as the future commissioner realistic in the context of current delivery of the checks which will be mandated?
-
Is the financial envelope identified to transfer to local government sufficient to commission a service which meets the Government's requirements as set out in mandation?
-
Has the process of identifying the financial and workforce scope been conducted transparently?
The opportunities are significant as the evidence in this briefing illustrate. The early years of a child's life are formative ones emotionally, socially, physically and cognitively. Evidence from research shows that supporting children to develop and thrive in those early years can pay significant dividends later in life. Where children do not benefit from an environment where they are supported to develop and thrive, the impact can be long lasting, damaging and costly. Local government has been at the centre of developing models of early intervention over a number of years; the transfer of these commissioning responsibilities therefore create the opportunity to strengthen and deepen local early intervention and prevention as the health visiting service will often be the first line of contact for new parents and carers and their children. The opportunity to strengthen and deepen the provision of local universal and targeted support in the early years resonates strongly with public service reform in other areas, such as Troubled Families, where the case for long term cost benefit is driving a reorientation towards early intervention and prevention. A London Councils briefing on the Troubled Families programme is available here. Furthermore, as the pressure of public sector austerity continues to be felt by boroughs, and with a Comprehensive Spending Review in 2015 expected to deliver further cuts to councils' spending power, there will be more need to develop and support service models which divert and prevent pressure on high-cost, specialist and targeted interventions. The imperative therefore will be on maximising the opportunity of closer integration of universal health visiting and FNP with the wider health and care pathway to ensure children are supported to develop and thrive through the early years and achieve a smooth and successful transition into later stages in life.
Author: Clive Grimshaw, Programme Manager (020 7934 9830) Click here to send a comment or query to the author
## Links:
London Councils Member briefing on Troubled Families
## This Member Briefing Has Been Circulated To:
Portfolio holders and those members who requested policy briefings in the following categories: Children and Young People; Health and Social Care
## Health Visiting London - Provider / Boroughs
Provider Borough(s)
Barts Tower Hamlets Barnet Enfield Haringey (BEH)
Enfield Bromley Healthcare Bromley Barnet, Hammersmith &
Fulham, Central London Kennington &
Community Health
Chelsea, Westminster
Central North West London (CNWL) Hillingdon, Camden Croydon Croydon Ealing ICO
Ealing, Harrow, Brent East London
(ELFT)
Newham Guys and St Lambeth, Thomas (GSST)
Southwark Homerton City, Hackney Hounslow Hounslow, Richmond (HRCH)
Richmond Lewisham Lewisham Royal Marsden Sutton, Merton Waltham Forest, Redbridge, North East London Newham, Barking
(NELFT)
& Dagenham, Havering Oxleas Bexley, Greenwich St Georges Wandsworth Valentine Greenwich, Bexley Whittington Health Haringey &
Islington Your Healthcare Kingston | en |
1738-pdf |
## Note
| ml |
2932-pdf |
Civic Collaboration - linking local authority archives
Greater Manchester Archives and Local Studies Partnership
In 2012, the Greater Manchester Archives and Local Studies Partnership (GMALSP), with Sector Sustainability Fund (SSF) support from The National Archives (TNA), commissioned a feasibility study to explore how archives in Greater Manchester could work more effectively together. Through the study, options were developed for shared, collaborative archive services between ten local authorities (listed below) in the Greater Manchester area, Archives + and Greater Manchester County Record Office (GMCRO). The study recommended the creation of a formal Partnership which would provide an overarching strategy and development plan for archive services in the civic region. The new partnership would build on the existing arrangement of the Association of Greater Manchester Authorities Statutory Functions Committee (AGMASFC) which already oversaw some connections between the Greater Manchester County Record Office and the districts. It highlighted that there were significant potential benefits to be gained from collaborating on service improvement and future sustainability. From this the Committee agreed to provide governance to the Partnership and an officer group was created to lead on strands of activity and report back to AGMASFC. To date the Partnership has been successful in the following areas:
Volunteering Developing GM1914, a blog which publishes weekly stories from collections about the First World War. 95 volunteers have contributed 6,000 hours across the services to research stories in collections, digitise archives and create over 90 blog entries. Joint training and volunteer recognition events were delivered. The project won the Archives and Records Association's Volunteer award in 2015.
Digital The Partnership has digitised several church registers held across Greater Manchester and developed Greater Manchester Lives as a one-stop shop catalogue and digital portal for archives, local studies, and photographic collections held by archives in Greater Manchester. It now holds almost 1,000,000 catalogue entries and over 100,000 images. In 2014-2015 it received 23,592 unique visits and 101,028 page views.
##
Raising Standards Joint training was delivered to staff on social media, working with young people, and leadership. The Partnership has also created several joint policies and procedures including a Collections Development Policy, Cataloguing and Accessioning Guidelines, Digitisation Guidelines, Access Policy and guidelines on Fees and Charges.
Advocacy
In 2015, the Committee recognised the need to prioritise advocacy work and it was written into the Service Development Plan for 2015-2017. There was an acknowledgement across the partners that archives in Greater Manchester needed to 'raise their profile and demonstrate how they improve and enrich lives everyday'. The committee have since been developing their advocacy work to:
Promote the value of archive services and the contribution they can make in achieving Council priorities, to Members, Commissioners, Senior Officers and other stakeholders in Greater Manchester.
Provide training for archive staff in advocacy skills and building a case for support.
Create an advocacy strategy and plan for Greater Manchester archives.
##
As a result, there is now:
Greater awareness of the value of archives among decision makers.
An advocacy model that can be used by other services.
An advocacy document which explains the value of archives and can be used as a model by other services.
A film showing the value volunteers make in archives across Greater Manchester.
Strengthened leadership in archives and a more responsive, better skilled workforce.
## Ten Local Authorities:
Bolton Council
Bury Council
Salford City Council
Manchester City Council
Oldham Council
Stockport Metropolitan Borough Council
Tameside Metropolitan Borough
Trafford Council
WLCT (Wigan Council)
Rochdale Cultural Trust
## Structure And Activities: *
| en |
4483-pdf |
| Department Family | Entity | Date Paid | Expense Type | Expense Area | Supplier | Transaction Reference |
|---------------------------------------|---------------------------------------|-------------------------------------------|--------------------------------|-----------------------------------------|------------|-------------------------|
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 TRUST MEDICAL PHYSICS | LAB EQUIP MAINT / REPAIRS | ABBOTT LABORATORIES LTD | 757820 | 41,853.70 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 PACS (IT) | COMPUTER MAINTENANCE | ACCENTURE | 759030 | 72,775.86 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | ALLIANCE HEALTHCARE (DISTRIBUTION) LTD | 752548 | 45,173.30 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | ALLIANCE HEALTHCARE (DISTRIBUTION) LTD | 755462 | 45,579.46 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | ALLIANCE HEALTHCARE (DISTRIBUTION) LTD | 759088 | 50,995.85 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | AMGEN LIMITED | 754300 | 43,380.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 MEDICINE MANAGEMENT | MED & SURG EQUIP | ARJOHUNTLEIGH GETINGE GROUP | 757163 | 31,666.32 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | BAYER PLC | 757917 | 26,220.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | BIO PRODUCTS LABORATORY | 759151 | 46,425.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 KINGSDALE UNIT WAKEFIELD | COMMERCIAL SECTOR | BUPA CARE HOMES | 760287 | 73,160.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/05/2014 BALANCE SHEET | NONRES BLDG ADDS PURCHASED | CALDER C.A.D LTD | 757705 | 73,008.08 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 BALANCE SHEET | NONRES BLDG ADDS PURCHASED | CALDER C.A.D LTD | 762097 | 102,498.08 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 BALANCE SHEET | CHAR FUND CONTRA ACCT<1YR | CAREFUSION UK 306 LTD | 758663 | 37,440.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 BALANCE SHEET | CHAR FUND CONTRA ACCT<1YR | CAREFUSION UK 306 LTD | 758663 | 19.14 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 INFORMATION TECHNOLOGY | COMPUTER MAINTENANCE | CENTIQ LTD | 755691 | 16,519.03 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 INFORMATION TECHNOLOGY | COMPUTER SOFTWARE/LICENSE | CENTIQ LTD | 755691 | 17,639.92 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 EDMS PROJECT | COMPUTER SOFTWARE/LICENSE | CIVICA UK LTD | 756779 | 40,115.71 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 TRUST MEDICAL PHYSICS | MED & SURG EQUIP REPAIR | CME MEDICAL UK LTD | 755575 | 28,716.18 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 TRUST MEDICAL PHYSICS | POSTAGE & CARRIAGE | CME MEDICAL UK LTD | 755575 | 18.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 INFORMATION TECHNOLOGY | ENGINEERING CONTRACTS | CONSORT HEALTHCARE (MID YORKSHIRE) LTD | 749322 | 15,338.25 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 PFI ACCOUNTING | UNITARY PAYMENT | CONSORT HEALTHCARE (MID YORKSHIRE) LTD | 749322 | 20,533.14 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 30/04/2014 PFI ACCOUNTING | UNITARY PAYMENT | CONSORT HEALTHCARE (MID YORKSHIRE) LTD | 752167 | 13,801.84 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 PFI ACCOUNTING | UNITARY PAYMENT | CONSORT HEALTHCARE (MID YORKSHIRE) LTD | 764144 | 3,710,772.60 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 NON CLINICAL RISK MANAGEMENT | ENGINEERING CONTRACTS | CONSORT HEALTHCARE (MID YORKSHIRE) LTD | 764153 | (15338.25) |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 PFI ACCOUNTING | UNITARY PAYMENT | CONSORT HEALTHCARE (MID YORKSHIRE) LTD | 764153 | (20533.14) |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 HAEMATOLOGY TRUSTWIDE | LABORATORY REAGENTS | DIAGNOSTICA STAGO UK LTD | 755744 | 31,266.78 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 HAEMATOLOGY TRUSTWIDE | POSTAGE & CARRIAGE | DIAGNOSTICA STAGO UK LTD | 755744 | 29.99 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 MEDICAL DIRECTOR'S OFFICE | EXTERNAL CONSULTANCY FEES | DR FOSTER LTD | 751791 | 25,000.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 PGH UTILITIES & RATES | ELECTRICITY | EDF ENERGY LTD | 759594 | 82,697.78 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/05/2014 PGI UTILITIES & RATES | ELECTRICITY | EDF ENERGY LTD | 760036 | 37,333.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 DDH UTILITIES & RATES | ELECTRICITY | EDF ENERGY LTD | 761152 | 68,119.99 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | ELI LILLY & CO LTD | 759505 | 48,000.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | GE MEDICAL SYSTEMS LTD | 751838 | 223,716.68 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | GE MEDICAL SYSTEMS LTD | 751840 | 177,831.16 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 755132 | 269,826.88 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 756766 | 118,916.22 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 760337 | 80,666.32 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 760752 | 268,307.29 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL DOCTORS | 762371 | 270,660.14 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL HEALTHCARE | 759004 | 268,307.29 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 AGENCY HOLDING CODE | AGENCY OTHER MEDICAL | HCL HEALTHCARE | 760751 | (268307.29) |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 WOMEN'S HEALTH MANAGEMENT | COMPUTER SOFTWARE/LICENSE | HSS EUROKING | 757835 | 42,747.60 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 ORTHOTIC DEPARTMENT - PONTE. | PATIENTS APPLIANCES : PURCHASE | HUGH STEEPER LTD | 753412 | 3,310.08 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 ORTHOTIC DEPARTMENT - PONTE. | PATIENTS APPLIANCES : PURCHASE | HUGH STEEPER LTD | 753412 | 71,776.44 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 MRI SERVICE | LABORATORY EXTERNAL TESTS | INHEALTH LTD | 759399 | 69,825.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | JANSSEN CILAG LTD | 754083 | 27,387.12 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | KARL STORZ ENDOSCOPY UK LTD | 751729 | 30,268.80 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | KARL STORZ ENDOSCOPY UK LTD | 755775 | 30,268.80 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | KARL STORZ ENDOSCOPY UK LTD | 760219 | (30268.80) |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 CLINICAL HAEMATOLOGY TRUSTWIDE | CONSULTANT | LEEDS TEACHING HOSPITALS NHS TRUST | 30681 | 446.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 ONCOLOGY TRUSTWIDE | CONSULTANT | LEEDS TEACHING HOSPITALS NHS TRUST | 30681 | 35,726.50 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 WOMEN'S MEDICAL STAFFING TW | CONSULTANT | LEEDS TEACHING HOSPITALS NHS TRUST | 30681 | 2,379.88 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 GENERAL SURGERY & UPPER GI | SENIOR LECTURER | LEEDS TEACHING HOSPITALS NHS TRUST | 30682 | 45,000.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 PATHOLOGY MANAGEMENT TRUSTWIDE | LABORATORY EXTERNAL TESTS | LEEDS TEACHING HOSPITALS NHS TRUST | 30738 | 38,112.86 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 NUCLEAR MEDICINE RECHARGES | LABORATORY EXTERNAL TESTS | LEEDS TEACHING HOSPITALS NHS TRUST | 30740 | 26,641.19 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 CARDIOLOGY TRUSTWIDE | LABORATORY EXTERNAL TESTS | LEEDS TEACHING HOSPITALS NHS TRUST | 30792 | (1626.16) |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 CT | LABORATORY EXTERNAL TESTS | LEEDS TEACHING HOSPITALS NHS TRUST | 30792 | (2697.21) |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 GASTROENTEROLOGY TRUSTWIDE | LABORATORY EXTERNAL TESTS | LEEDS TEACHING HOSPITALS NHS TRUST | 30792 | (3147.22) |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 HAEMATOLOGY TRUSTWIDE | LABORATORY EXTERNAL TESTS | LEEDS TEACHING HOSPITALS NHS TRUST | 30792 | (47040.34) |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 HISTOPATHOLOGY & CYTOLOGY TW | LABORATORY EXTERNAL TESTS | LEEDS TEACHING HOSPITALS NHS TRUST | 30792 | (2528.89) |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 MAMMOGRAPHY/BREAST SERVICES | LABORATORY EXTERNAL TESTS | LEEDS TEACHING HOSPITALS NHS TRUST | 30792 | (188.63) |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 MICROBIOLOGY TRUSTWIDE | LABORATORY EXTERNAL TESTS | LEEDS TEACHING HOSPITALS NHS TRUST | 30792 | (14834.07) |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 MRI SERVICE | LABORATORY EXTERNAL TESTS | LEEDS TEACHING HOSPITALS NHS TRUST | 30792 | (8536.71) |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 NUCLEAR MEDICINE RECHARGES | LABORATORY EXTERNAL TESTS | LEEDS TEACHING HOSPITALS NHS TRUST | 30792 | (17896.27) |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 PATHOLOGY MANAGEMENT TRUSTWIDE | LABORATORY EXTERNAL TESTS | LEEDS TEACHING HOSPITALS NHS TRUST | 30792 | (44140.70) |
|-----------------------------------------|-----------------------------------------|---------------------------------------------|-------------------------------|--------------------------------------|---------|--------------|
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 X-RAY & DXA | LABORATORY EXTERNAL TESTS | LEEDS TEACHING HOSPITALS NHS TRUST | 30792 | (772.78) |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 GENERAL SURGERY & UPPER GI | SENIOR LECTURER | LEEDS TEACHING HOSPITALS NHS TRUST | 30863 | 45,000.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | LLOYDS PHARMACY LTD | 753309 | 91,251.64 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 19/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | LLOYDS PHARMACY LTD | 753310 | 187,799.50 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/05/2014 COMMUNITY SERV PROVD TASKFORCE | EXTERNAL CONSULTANCY FEES | LOCALA COMMUNITY PARTNERSHIPS C.I.C | 751755 | 58,050.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/05/2014 COMMUNITY MANAGEMENT | EXTERNAL CONSULTANCY FEES | LOCALA COMMUNITY PARTNERSHIPS C.I.C | 751756 | 87,075.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 GENERAL OFFICE PGH | POSTAGE & CARRIAGE | NEOPOST LTD RCB CREDIFON A/C | 759418 | 25,000.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 MEDICINE MANAGEMENT | FURNITURE & FITTINGS | NEW VISION SIGNS & GRAPHICS LTED | 761095 | 25,740.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 BLOOD SERVICE TRUSTWIDE | BLOOD PRODUCTS | NHS BLOOD AND TRANSPLANT | 30721 | 39,462.96 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 BLOOD SERVICE TRUSTWIDE | BLOOD PRODUCTS | NHS BLOOD AND TRANSPLANT | 30722 | 104,860.05 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 16/05/2014 MYHT LOSSES AND COMPS | GEN LOSSES & SP PAYMENTS | NHS LITIGATION AUTHORITY | 30951 | 1,016,538.40 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 16/05/2014 MYHT LOSSES AND COMPS | INSURANCE COSTS | NHS LITIGATION AUTHORITY | 30952 | 40,388.80 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/05/2014 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 754504 | 12,887.28 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 12/05/2014 NHSP HOLDING ACCOUNT | NHSP AGENCY CONTROL | NHS PROFESSIONALS LTD | 754504 | 58,444.62 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 754505 | 109,350.44 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 754505 | 15,106.36 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 756648 | 92,103.95 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 756648 | 14,508.42 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 757656 | 54,215.82 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 NHSP HOLDING ACCOUNT | NHSP BANK CONTROL | NHS PROFESSIONALS LTD | 757656 | 11,965.28 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 BALANCE SHEET | MEDICAL EQUIP ADDITIONS PURCH | NHS SUPPLY CHAIN | 30536 | 623,373.30 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 TRUST MEDICAL PHYSICS | X-RAY EQUIP MAINT/REPAIR | NHS SUPPLY CHAIN | 30633 | 267,082.20 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 TRUST MEDICAL PHYSICS | X-RAY EQUIP MAINT/REPAIR | NHS SUPPLY CHAIN | 30633 | 3,343.85 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 TRUST MEDICAL PHYSICS | X-RAY EQUIP MAINT/REPAIR | NHS SUPPLY CHAIN | 30634 | 52,173.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 TRUST MEDICAL PHYSICS | X-RAY EQUIP MAINT/REPAIR | NHS SUPPLY CHAIN | 30634 | 1,064.81 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 30684 | 66,650.54 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 30685 | 154,500.93 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 30752 | 108,420.56 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 30753 | 64,730.57 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 30810 | 115,569.93 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 30811 | 138,165.28 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 BALANCE SHEET | NONNHS TRADE CR < 1 YR | NHS SUPPLY CHAIN | 30861 | 172,267.91 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 BALANCE SHEET | NHS PAYABLES < 1 YR | NHS SUPPLY CHAIN | 30862 | 80,963.24 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | NOVARTIS PHARMACEUTICALS UK LTD | 755293 | 82,302.24 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | NOVARTIS PHARMACEUTICALS UK LTD | 756993 | 30,005.04 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | NOVARTIS PHARMACEUTICALS UK LTD | 760365 | 81,129.38 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 INFORMATION TECHNOLOGY | COMPUTER MAINTENANCE | PHOENIX PARTNERSHIP | 758739 | 38,647.74 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 INFORMATION TECHNOLOGY | COMPUTER MAINTENANCE | PHOENIX PARTNERSHIP | 758740 | 50,814.11 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 A&E PGH & PGI | GENERAL PRACTITIONERS | PRIMECARE | 760331 | 34,110.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 BIOCHEMISTRY TRUSTWIDE | LABORATORY REAGENTS | RADIOMETER LTD | 754363 | 34,336.85 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 TRUST MEDICAL PHYSICS | LAB EQUIP MAINT / REPAIRS | RADIOMETER LTD | 754364 | 44,280.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 TRUST MEDICAL PHYSICS | LAB EQUIP MAINT / REPAIRS | RADIOMETER LTD | 754365 | 27,684.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 14/05/2014 BIOCHEMISTRY TRUSTWIDE | LABORATORY REAGENTS | RADIOMETER LTD | 754368 | 41,418.72 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | ROCHE PRODUCTS LTD | 754286 | 173,902.56 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | ROCHE PRODUCTS LTD | 755287 | 27,973.44 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | ROCHE PRODUCTS LTD | 759487 | 63,376.56 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 BALANCE SHEET | STOCKS FINISHED GOODS | ROCHE PRODUCTS LTD | 759488 | 129,924.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 28/05/2014 MEDICAL DIRECTOR'S OFFICE | TRAINING EXPENSES | SCC SPECIALIST COMPUTER CENTRES | 757742 | 29,700.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 HISTOPATHOLOGY & CYTOLOGY TW | LABORATORY REAGENTS | SOURCE BIOSCIENCE UK LTD | 753334 | 24,151.20 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 HISTOPATHOLOGY & CYTOLOGY TW | LABORATORY REAGENTS | SOURCE BIOSCIENCE UK LTD | 753334 | 869.45 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 HAEMATOLOGY TRUSTWIDE | LABORATORY REAGENTS | SYSMEX UK LTD | 755429 | 47,344.07 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 PACS (IT) | DATA LINES | VIRGIN MEDIA BUSINESS | 753589 | 39,225.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 PGH UTILITIES & RATES | RATES | WAKEFIELD COUNCIL | 759212 | 236,180.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 07/05/2014 PGI UTILITIES & RATES | RATES | WAKEFIELD COUNCIL | 759213 | 50,610.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 29/05/2014 CHIEF EXECUTIVE | BOOKS JOURNALS & SUBSCR | YORKSHIRE & HUMBER PARTNERS | 763734 | 36,000.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 PGH UTILITIES & RATES | WATER | YORKSHIRE WATER SERVICES LTD | 760916 | 34,799.15 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 21/05/2014 PGH UTILITIES & RATES | WATER | YORKSHIRE WATER SERVICES LTD | 760916 | 450.00 |
| THE MID YORKSHIRE HOSPITALS NHS TRUST | THE MID YORKSHIRE HOSPITALS NHS TRUST | 23/04/2014 BALANCE SHEET | PAYROLL DED'NS N/S <1YR | EDENRED | 29827 | 44,845.24 |
| en |
1152-pdf |
During **October 2014**, the following exceptions to the consultancy freeze above
£20,000 have been considered by the Chief Executive in his capacity as Accounting Officer; and the requests for consultancy below £20,000 have been considered by the Director of Corporate Operations.
##
| Summary of application | Decision |
|---------------------------------|---------------------------------|
| date | |
| Ref: No. & | |
| Directorate | |
| Approved | |
| 01/10/2014 | |
| 22C RSD | HSE construction expert |
| (scaffolding), £2,000 | |
| Approved | |
| 08/10/2014 | |
| 23C RME | Infrastructure management: |
| rail case studies, £80,000 | |
| Approved | |
| 10/10/2014 | |
| 24C RME | Understanding the rolling stock |
| costs of TOCs (extension to | |
| Ref: 324 RME), £66,324 | |
| Approved | |
| 17/10/2014 | |
| 13C(2) RPP | Civils adjustment mechanism |
| and asset management | |
| assessment (extension to Ref: | |
| 13C RPP), £28,600 | |
| Approved | |
| 21/10/2014 | |
| 25C RME | Primary research on |
| passengers' views and | |
| preferences regarding ticketing | |
| retailing, £30,000 | |
| Approved | |
| 23/10/2014 | |
| 26C RME | Embedded policy support for |
| the Retail Market Review, | |
| £20,000 | |
| Approved | |
| 28/10/2014 | |
| 27C RPP | Passenger satisfaction |
| benchmarking cost, £20,000 | |
| Approved | |
| 31/10/2014 | |
| 29C RME | Cost analysis think piece, |
| £2,000 | |
| en |
2477-pdf |
## Invitation To Tender For Provision Of An Online Platform To Deliver Hr Metrics Surveys And Data Benchmarking For Local Authorities Across The Country
Enquiries from various Bidders during week commencing 14 December 2020 and Answers to the questions at 18 December 2020 -
Enquiry 1 Objectives 11. … It is important that there is seamless transition from the current provision arrangements so that users can continue to access an application for their ongoing needs of data entry and output generation from 1 April 2021. To ensure there is a seamless transition from the current system to our system we will plan the migration. To help us plan, please:
- provide a copy of all the surveys
Answer - London Councils is not providing copies of the surveys for this tender. A list of the surveys has been provided. The successful bidder will be provided with relevant information to enable successful migration of data from the current system to a new one. Relevant project methodology for migration can be outlined by bidders and will be sufficient for evaluation. If absolutely necessary, the implementation go live date of 1 April 2021 may be extended but subject to negotiation and mitigation of any disruption to survey timetabling.
- describe the current technical stack (i.e. infrastructure) including:
o hosting arrangements (cloud or local server at London Councils)
Answer - Cloud
o database storage; which database is used Microsoft SQL Server,
Oracle, MySQL, etc.
Answer - This is not deemed relevant to assessment of the bids. The successful bidder will be provided with relevant information to enable successful migration of data from the current system to a new one.
## O Survey Software Used / Format Surveys Are Stored In
Answer - This is not deemed relevant to assessment of the bids. It is anticipated that the successful bidder will have their own survey software and methods for collecting, holding and presenting the information. The key is to enable output data that can be easily read/ interpreted by data users.
- provide a copy of all the Outputs results/benchmarking
o charts o pdf reports o scorecards o dashboards o Excel spreadsheet outputs
o text
Please use test input data, delete or blank out real data - we do not need to see actual data which may be confidential. Answer - This is not deemed relevant to assessment of the bids. It is anticipated that the successful bidder will have their own approach and methods for collecting, holding and presenting the information. The key is to enable output data that can be easily accessed/ read/ interpreted by data users. Does London Councils have a backup of the database? Answer - No What documentation does London Councils have?
- Database documentation; e.g., Data Dictionary and Database Diagram Answer - No
- Systems Administration documentation Answer - Yes (a brief summary for users)
- User documentation; e.g., how to login, fill out the surveys, raise issues,
access the dashboards, etc.
Answer - Yes (a summary for users) Please provide a copy of the documentation - Answer - This is not deemed relevant to assessment of the bids. 14. "The full list of surveys, and their output requirements, can be found at Appendix A. Data for the surveys is collected and published on a rolling timetable throughout the year, with roughly one per month. A full data collection and publication timetable for 2020/21 is available on request". Please send a copy of the data collection and publication **timetable** for 2020/21. Answer - The timetable is attached at appendix A. It is currently under review and likely to change. Requirements 15. London Councils' detailed technical specification for the online application is set out in Appendix B. However, the key requirements for the online application are that it must:
- be able to migrate our historic survey data into outputs that are available going
forward;
Please confirm that all historic survey data is held in a database, i.e. there is no requirement to convert historic survey data into the database. Answer - London Councils is able to download the raw data for each survey using Excel spreadsheets. This is the data that London Councils would provide for migration. 15. London Councils' detailed technical specification for the online application is set out in Appendix B. However, the key requirements for the online application are that it must:
- offer backwards compatibility to IE8;
## See Also **Appendix B - Detailed Technical Specification**
Row Number 22.
Backwards compatibility - Some councils use older versions of IE - the application needs to be accessible/usable for users of older versions of IE (currently version IE9). Microsoft stopped supporting IE8 in 2016 and IE9 in 2017 and there have been no security patches since this time. Older browser may not render modern websites well (and may pose a security risk if unpatched). Please confirm the requirement for Backwards compatibility and London Councils' acceptance of the **security** and display implications of using older, unsupported browsers. Answer - London Councils is conducting a survey of users on which web browser they are using. Users have been asked to respond by 23 December 2020. This question response will be updated once the results of the survey are known. Appendix A - Surveys likely to be required from April 2021 onwards Bulk upload by Councils Please explain what you mean by "**Bulk** upload by Councils". Does "Bulk upload" mean that Councils upload a lot of data on a customised Excel form? Answer - Yes or Does "Bulk upload" mean that Councils upload completed multiple surveys all at the same time? Answer - No Upload by online form The HR Resources Survey is not currently uploaded by an online form. Please describe what type of data is gathered on the HR Resources Survey. Is the data "transactional", i.e., data per member of staff? Answer - No. The data relates more to type of role e.g. recruitment, payroll, and number of staff resources assigned to the role. Row Number 38 What do you mean by "*Open and close surveys for the current survey period*"?
Is each survey completed across all areas at the same time? Answer - Yes at the moment and to enable full survey return from data contbutors/
users the survey closure date can be extended on occasion to facilitate a fuller return. Are there different versions of the surveys for different areas/regions? Answer - The questionnaires are in some cases slightly different for different regions to accommodate differences in type of council (e.g. district, county) and/or client expectations of output. Row Number 48 Survey respondents at the councils using the surveys can input/edit data directly into a secure web form or by end-user upload of customized Excel forms (in a specific, pre-determined format specified by London Councils) on the providers' website. Enduser bulk uploads as described in the sentence above are required for pay surveys and other surveys with a large volume of data to submit. (See List of Surveys for more detail.)
Please provide example files of a 'specific, pre-determined format specified by London Councils'. Answer - An example is described in the Technical Specification. London Councils is not providing survey documents for this tender. This is not deemed relevant to assessment of the bids. Row Number 55 Provider required to update pay survey data by the amount of annual pay award in years when the pay award is announced after the data has been partly or completely collected. Pay surveys to ascertain whether data councils upload includes that year's pay award and where it does not, the provider is to uprate the pay data given by the % amount of the pay award. This applies only to councils that apply the national pay awards and those with local conditions that mean that the same % award is made. What is the scope of work involved? Does the provider (i.e., us) have to update 1 row per council - or 1000 rows per council?
Answer - The provider would update as many rows of data as the councils that want the pay award applied have submitted (some councils with local pay arrangements may not want the award applied).This could be in the region of 350 per council but could be more as for some surveys councils can enter as many roles as they wish. Where can we find the national pay deal information? Answer- This is announced when the pay award is agreed. London Councils will email the provider with the notification. You can see the Local Government Association website for general information about pay for Local Government Services staff. Row Number 87 Data to be uploaded by councils using custom-designed Excel input forms the content design and layout of which to be as specified by London Councils to exactly match those in current use. These to be downloadable by users from the provider's website. Please provide examples of the custom-designed Excel input forms the content design and layout. Answer - This is not deemed relevant to assessment of the bids. It is anticipated that the successful bidder will have their own approach and methods for collecting, holding and presenting the information. Whilst, London Councils has a current methodology for data collection, if the successful bidder identifies a methodology that might be more effective this can be used. The key is to enable output data that can be easily accessed/ read/ interpreted by data users. Row Number 88 and 89 These outputs are as specified by London Councils in the form of custom-designed Excel spreadsheets to match those in current use. The outputs to be available for users to download as compiled sets of data with calculated fields, numeric and text values including free text and drop-down selections. All including the presentation layout and appearance are to be as specified by London Councils. Exports must reflect latest version of data. For example, the HR Resources survey outputs comprise an Excel workbook of 7 custom-designed spreadsheets including a table showing a compilation of free text entries per council; tables showing top-line summaries of average FTE employee numbers by 5 different categories, headcount and average of HR FTE ratios to workforce headcount and number of the survey responses by "as at" date; table of average FTE of HR by work type and grade band for all councils in the region; table of average FTE of HR by work type and grade band for Inner London; same for Outer London (in the case of London but by other council categories for other regions - ie: County/ Metropolitan Borough/Unitary council and District Councils) all values to be calculated from the data provided by each council in its customdesigned Excel upload form); table of outsourced HR work by council by work type with name of provider; table of shared HR work by work type with name of partner/partners. As this survey does not have a raw data export option. the provider will need to give the relevant Regional Head their councils' raw data on request to enable them to conduct data checks.
Question: how many unique designs are there? Answer - At the moment the surveys using the custom forms are as set out in Appendix A in the tender documents. The designs may change and additional custom designs may be required. Whilst, London Councils has a current methodology for data collection, if the successful bidder identifies a methodology that might be more effective this can be used. The key is to enable output data that can be easily accessed/ read/ interpreted by data users. For a survey, does it have just one customised Excel spreadsheet, or are there different designs for each Council? Answer - There is one custom sheet per survey for inputting (they may differ slightly between regions). Outputs may require multiple custom sheets (as per the example you refer to in Rows Number 88 and 89). Whilst, London Councils has a current methodology for data collection, if the successful bidder identifies a methodology that might be more effective this can be used. The key is to enable output data that can be easily accessed/ read/ interpreted by data users. Please provide example Excel spreadsheets. Answer - This is not deemed relevant to assessment of the bids.
Enquiry 2 1.
Users to have the ability to generate their own bespoke results outputs including reports and scorecards and Excel outputs, which can be customised. Would you be able to provide some detail as to the type of reports they would need to generate? Our platform enables users to create their own scorecards and surveys and there are elements of extracts available as well as using the dashboard to surface survey results as a KPIs. An example of the type of excel output and type of customisation would be helpful it you are able to.
Answer - This is not deemed relevant to assessment of the bids. It is anticipated that
the successful bidder will have their own approach and methods for collecting,
holding and presenting the information. The key is to enable output data that can be easily accessed/ read/ interpreted by data users. 2. The platform must offer backwards compatibility to IE8 - is this absolutely
compulsory? Our platform supports IE11 onwards and due to various technical and security reasons we would not be able to partake should this requirement be essential.
Answer - London Councils is conducting a survey of users on which web browser they are using. Users have been asked to respond by 23 December 2020. This question and answer response will be updated once the results of the survey are known.
## Enquiry 3 A. Could I Request The Full Data Collection And Publication Timetable For 2020/2021
Answer - The timetable is attached. It is currently under review and likely to change
## B. Could You Provide Me A Sample Of A Survey (To Understand The (1) Typical Survey Formats And (2) One That Is Most Complex)
Answer - An example is described in the Technical Specification. London Councils is not providing survey documents for this tender. This is not deemed relevant to assessment of the bids.
## C. What Is The Typical Size Of Each Survey (Or The Number Of Rows/Columns For A Typical Survey)
Answer - An example is described in the Technical Specification. London Councils is not providing survey documents for this tender. This is not deemed relevant to assessment of the bids.
## D. Do You Allow Members Who Have Not Submitted A Particular Survey To Retrospectively Submit In Order To Participate In That Benchmark (In The Same Regard Are Surveys Locked And Final Once Posted Or Can Be Corrected Post Date)
Answer - Not as rule, but exceptions have been made if it deemed appropriate to enable a better benchmarking output and assessment of results. The determination comes from the client's needs, the ease with which additional/ late information can be accommodated and whether the final data usage and output of results will enable analysis and insight.
## E. In Terms Of The Migration Of The Previous Data, Can You Provide Information On The Current Database/System That Is Already Being Used (Including If The Previous Datasets Are In A Database, Excel Format Or A Csv)
Answer - This is not deemed relevant to assessment of the bids. The successful bidder will be provided with relevant information to enable successful migration of data from the current system to a new one. Relevant project methodology for migration can be outlined by bidders and will be sufficient for evaluation.
## Appendix A London Councils Hr Metrics Service - 2021 Timetable Of Surveys
| Survey Title | Survey start date | Deadline for returns |
|--------------------------------|---------------------------|------------------------------|
| Analysis of DfE CSW | | |
| Workforce data | | |
| n/a this survey uses data | | |
| published by DfE | | |
| n/a data published by | | |
| DfE | | |
| 23 April 2021 | HR Resources | 22 February 2021 (collecting |
| current data) | | |
| Gender Pay Gap | n/a this survey uses data | |
| published by Cabinet Office | | |
| n/a data published by | | |
| Cabinet Office | | |
| 9 July 2021 | Human Capital Metrics | 3 May 2021 (collecting 2020- |
| 21 data) | | |
| 2 July 2021 | CO Pay & Benefits | 10 May 2021 (collecting data |
| as at 1 April 2021 | | |
| 16 July 2021 | Pay & Benefits (SW) | 10 May 2021 (collecting data |
| as at 1 April 2021) | | |
| 16 July 2021 2021 | Pay & Benefits (exc | |
| SW) | | |
| 10 May 2021 (collecting data | | |
| as at 1 April 2021 | | |
| 29 October 2021 | TU Membership and | |
| Facilities Time | | |
| 20 September 2021 | | |
| (collecting current data) | | |
| 26 November 2021 | Terms and Conditions | 18 October 2021 (snapshot |
| of current data as at the time | | |
| of the survey) | | |
| 21 January 2022 | HR Outputs | 29 November 2021 |
| (collecting 2019-20 data) | | |
| 1 April 2022 | HR Resources | 21 February 2022 (snapshot |
| of current data at the time of | | |
| the survey) | | |
Timescales depend on councils providing data by the deadline. Dates may change. Each borough should ensure that the data it provides has been produced in accordance with the survey guidance; and reflects the true position within their council. | en |
2290-pdf |
## Freedom Of Information Act 2000 Request
The number of successful prosecutions there has been in Merseyside as a result of intervention from paedophile hunters. Request "1. How many successful prosecutions have there been in Merseyside as a result of intervention from paedophile hunters or involving paedophile hunting groups? Please provide results for the last five years. 2. How many prosecutions involving paedophile hunters in Merseyside have failed as a result of the intervention from paedophile hunters? Please provide results for the last five years." Response The Crown Prosecution Service (CPS) holds prosecution data for child abuse flagged sexual offences in the Merseyside & Cheshire area, broken down by convictions and non-convictions. It should be noted that this data covers all flagged child abuse defendants prosecuted with a principal offence of 'sexual offences' and is not specifically confined to exploitation. In the last five years (2013-14 to 2017-18) there have been 1,655 prosecutions. In order to ascertain whether these prosecutions were successful or unsuccessful as a result of intervention from "paedophile hunters" a manual review of each of these files would be required. Section 12(1) of the FOI Act means public authorities are not obliged to comply with a request for information if it estimates the cost of complying would exceed the appropriate limit. The appropriate limit for central government it is set at £600. This represents the estimated cost of one person spending 3.5 working days determining whether the department holds the information and locating, retrieving and extracting the information. We believe that the cost of manually reviewing 1,655 prosecutions would exceed the appropriate limit.
Consequently, we are not obliged to comply with this request. Under section 16 of the FOI Act there is a duty to provide advice and assistance. If you do wish to be provided with the held prosecution data for child abuse flagged sexual offences in the Merseyside &
Crown Prosecution Service, Information Management Unit,
Floor 8, 102 Petty France, London
SW1H 9EA
United Kingdom
www.cps.gov.uk
Cheshire area then please do inform us of this and we would be happy to take it forward as a new request. Information Management Unit 020 3357 0899
[email protected] | en |
2557-pdf | Title: Department Annual Report and Accounts 2017/18 Session: 2017/2019 HC 999
ISBN: 9781528611111 Ordered by the House of Commons to be printed 15 July 2018 Correction Page 56, Table 2: Number of complaints Text currently reads: Third column 2016/17: 224 Text should read:
Third column 2016/17: 24 Date of correction: 23 July 2018 Title: Government Response to Select Committee Report Session: 2017/2019 CP 30
ISBN: 9781528622222 Correction Page 8, paragraph 1 Text currently reads: The revised Plan may be championed by the Secretary of State. Text should read: The revised Plan shall be championed by the Secretary of State.
Date of correction: 21 February 2019 | en |
1013-pdf |
## Certification Information For Part 2 Of Annex Ii Of Commission Decision 2007/7771 Table 1 Regionalised Territories For The Countries Listed In Table 2
Description of Territory
Country
Code of
Territory
BG-0
Whole country
BG-1
Whole country excluding BG-2 and BG-3
Bulgaria
BG-2
Those areas listed under Bulgaria in Part II of Annex of Implementing Decision 2014/709/EU.
BG-3
Those areas listed under Bulgaria in Part III of Annex of Implementing Decision 2014/709/EU.
LV-0
Whole country
LV-1
Whole country excluding LV-2 and LV-3
Latvia
LV-2
Those areas listed under Latvia in Parts I and II of Annex of Implementing Decision 2014/709/EU.
LV-3
Those areas listed under Latvia in Part III of Annex of Implementing Decision 2014/709/EU.
LT-0
Whole country
LT-1
Whole country excluding LT-2 and LT-3
Lithuania
LT-2
Those areas listed under Lithuania in Parts I and II of Annex of Implementing Decision 2014/709/EU.
LT-3
Those areas listed under Lithuania in Part III of Annex of Implementing Decision 2014/709/EU.
PL-0
Whole country
PL-1
Whole country excluding PL-2 and PL-3.
PL-2
Those areas listed under Poland in Parts I and II of Annex of Implementing Decision 2014/709/EU.
Poland
PL-3
Those areas listed under Poland in Part III of Annex of Implementing Decision 2014/709/EU.
PL-4
Whole country excluding PL-5.
PL-5
Territories defined as PL-2 in the certification information published outside of legislation for Annex I of Commission Regulation (EU) No 798/2008.
Slovakia
SK-0
Whole country
| SK-1 | Whole country excluding SK-2 and SK-3 |
|-------------|------------------------------------------------------------------------------------------------------------------------------------------------------|
| SK-2 | Those areas listed under Slovakia in Parts I and II of Annex of Implementing Decision 2014/709/EU. |
| SK-3 | Those areas listed under Slovakia in Part III of Annex of Implementing Decision 2014/709/EU. |
| IT-0 | Whole country |
| Italy | |
| IT-1 | Whole country excluding IT-2 |
| IT-2 | Those areas listed under Italy in Part IV of Annex of Implementing Decision 2014/709/EU. |
| HU-0 | Whole country |
| Hungary | |
| HU-1 | Whole country excluding HU-2. |
| HU-2 | Those areas listed under Hungary in Parts I and II of Annex of Implementing Decision 2014/709/EU. |
| RO-0 | Whole country |
| Romania | |
| RO-1 | Whole country excluding RO-2. |
| RO-2 | Those areas listed under Romania in Part III of Annex of Implementing Decision 2014/709/EU. |
| EE-0 | Whole country |
| Estonia | |
| EE-1 | Whole country excluding EE-2. |
| EE-2 | Those areas listed under Estonia in Parts I and II of Annex of Implementing Decision 2014/709/EU. |
| EL-0 | Whole country |
| Greece | |
| EL-1 | Whole country excluding EL-2. |
| EL-2 | Those areas listed under Greece in Part I of Annex of Implementing Decision 2014/709/EU. |
| DE-0 | Whole country |
| DE-1 | Whole country excluding DE-2. |
| Germany | |
| DE-2 | Those areas listed under Germany in Parts I and II of Annex of Implementing Decision 2014/709/EU. |
| DE-3 | Whole country excluding DE-4. |
| DE-4 | Territories defined as DE-2 in the certification information published outside of legislation for Annex I of Commission Regulation (EU) No 798/2008. |
| NL-0 | Whole country |
| Netherlands | NL-1 |
| NL-2 | Territories defined as NL-2 in the certification information published outside of legislation for Annex I of Commission Regulation (EU) No 798/2008. |
| Denmark | DK-0 |
| DK-1 | Whole country excluding DK-2. |
|---------|------------------------------------------------------------------------------------------------------------------------------------------------------|
| DK-2 | Territories defined as DK-2 in the certification information published outside of legislation for Annex I of Commission Regulation (EU) No 798/2008. |
| FR-0 | Whole country |
| France | |
| FR-1 | Whole country excluding FR-2. |
| FR-2 | Territories defined as FR-2 in the certification information published outside of legislation for Annex I of Commission Regulation (EU) No 798/2008. |
| HR-0 | Whole country |
| Croatia | |
| HR-1 | Whole country excluding HR-2. |
| HR-2 | Territories defined as HR-2 in the certification information published outside of legislation for Annex I of Commission Regulation (EU) No 798/2008. |
| SE-0 | Whole country |
| Sweden | |
| SE-1 | Whole country excluding SE-2. |
| SE-2 | Territories defined as SE-2 in the certification information published outside of legislation for Annex I of Commission Regulation (EU) No 798/2008. |
| BE-0 | Whole country |
| Belgium | |
| BE-1 | Whole country excluding BE-2. |
| BE-2 | Territories defined as BE-2 in the certification information published outside of legislation for Annex I of Commission Regulation (EU) No 798/2008. |
## Table 2 Third Countries Or Parts Thereof From Which The Introduction Of Meat Products And Treated Stomachs, Bladders And Intestines Into Great Britain Is Authorised
ISO code
Domestic soliped
Farmed ratites
Wild swine
Wild soliped
Country of origin or part thereof
Domestic ovine/ caprine
Wild game birds
Domestic rabbit and farmed leporidae
Wild clovenhoofed game (excluding swine)
Wild leporidae (rabbits and hares)
1. Domestic bovine 2. Farmed cloven-hoofed game-(excluding swine)
1. Domestic porcine 2. Farmed clovenhoofed game (swine)
1. Poultry 2. Farmed feathered game (except ratites)
Wild land mammalian game (excluding ungulates, solipeds and
leporidae)
Belgium BE-0
A
A
A
A
XXX
XXX
A
A
A
A
A
XXX
A
BE
Belgium BE-1
A
A
A
A
A
A
A
A
A
A
A
A
A
Belgium BE-2
A
A
A
A
D
D
A
A
A
A
A
D
A
Bulgaria BG-0
A
A
XXX
A
A
A
A
A
XXX
A
A
A
A
BG
Bulgaria BG-1
A
A
D
A
A
A
A
A
D
A
A
A
A
Bulgaria BG-2
A
A
D
A
A
A
A
A
C
A
A
A
A
Bulgaria BG-3
A
A
C
A
A
A
A
A
XXX
A
A
A
A
CZ
Czechia
A
A
A
A
A
A
A
A
A
A
A
A
A
Denmark DK-0
A
A
A
A
XXX
XXX
A
A
A
A
A
XXX
A
DK
DK-1
A
A
A
A
A
A
A
A
A
A
A
A
A
DK-2
A
A
A
A
D
D
A
A
A
A
A
D
A
Germany DE-0
A
A
XXX
A
XXX
XXX
A
A
XXX
A
A
XXX
A
Germany DE-1
A
A
A
A
XXX
XXX
A
A
A
A
A
XXX
A
DE
Germany DE-2
A
A
A
A
XXX
XXX
A
A
C
A
A
XXX
A
Germany DE-3
A
A
XXX
A
A
A
A
A
XXX
A
A
A
A
Germany DE-4
A
A
XXX
A
D
D
A
A
XXX
A
A
D
A
Estonia EE-0
A
A
A
A
A
A
A
A
XXX
A
A
A
A
EE
Estonia EE-1
A
A
A
A
A
A
A
A
A
A
A
A
A
Estonia EE-2
A
A
C
A
A
A
A
A
C
A
A
A
A
IE
Ireland
A
A
A
A
A
A
A
A
A
A
A
A
A
Greece EL-0
A
A
A
A
A
A
A
A
XXX
A
A
A
A
EL
Greece EL-1
A
A
A
A
A
A
A
A
A
A
A
A
A
Greece EL-2
A
A
A
A
A
A
A
A
C
A
A
A
A
ES
Spain
A
A
A
A
A
A
A
A
A
A
A
A
A
France FR-0
A
A
A
A
XXX
XXX
A
A
A
A
A
XXX
A
FR
France FR-1
A
A
A
A
A
A
A
A
A
A
A
A
A
France FR-2
A
A
A
A
D
D
A
A
A
A
A
D
A
Croatia HR
A
A
A
A
XXX
XXX
A
A
A
A
A
XXX
A
HR
Croatia HR-1
A
A
A
A
A
A
A
A
A
A
A
A
A
Croatia HR-2
A
A
A
A
D
D
A
A
A
A
A
D
A
Italy IT-0
A
A
XXX
A
A
A
A
A
XXX
A
A
A
A
IT
Italy IT-1
A
A
A
A
A
A
A
A
A
A
A
A
A
Italy IT-2
A
A
C
A
A
A
A
A
C
A
A
A
A
CY
Cyprus
A
A
A
A
A
A
A
A
A
A
A
A
A
Latvia-LV-0
A
A
XXX
A
A
A
A
A
XXX
A
A
A
A
Latvia LV-1
A
A
A
A
A
A
A
A
A
A
A
A
A
LV
Latvia LV-2
A
A
A
A
A
A
A
A
C
A
A
A
A
Latvia-LV-3
A
A
C
A
A
A
A
A
XXX
A
A
A
A
Lithuania LT-0
A
A
XXX
A
A
A
A
A
XXX
A
A
A
A
Lithuania LT-1
A
A
A
A
A
A
A
A
A
A
A
A
A
LT
Lithuania LT-2
A
A
A
A
A
A
A
A
C
A
A
A
A
Lithuania LT-3
A
A
C
A
A
A
A
A
XXX
A
A
A
A
LU
Luxembourg
A
A
A
A
A
A
A
A
A
A
A
A
A
Hungary HU-0
A
A
A
A
A
A
A
A
XXX
A
A
A
A
HU
Hungary HU-1
A
A
A
A
A
A
A
A
A
A
A
A
A
Hungary HU-2
A
A
A
A
A
A
A
A
C
A
A
A
A
MT
Malta
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
XXX
XXX
A
A
A
A
A
XXX
A
Netherlands
NL-0
A
A
A
A
A
A
A
A
A
A
A
A
A
NL
Netherlands
NL-1
A
A
A
A
D
D
A
A
A
A
A
D
A
Netherlands
NL-2
AT
Austria
A
A
A
A
A
A
A
A
A
A
A
A
A
Poland PL-0
A
A
XXX
A
XXX
XXX
A
A
XXX
A
A
XXX
A
Poland PL-1
A
A
A
A
XXX
XXX
A
A
A
A
A
XXX
A
Poland PL-2
A
A
A
A
XXX
XXX
A
A
C
A
A
XXX
A
PL
Poland PL-3
A
A
C
A
XXX
XXX
A
A
XXX
A
A
XXX
A
Poland PL-4
A
A
XXX
A
A
A
A
A
XXX
A
A
A
A
Poland PL-5
A
A
XXX
A
D
D
A
A
XXX
A
A
D
A
PT
Portugal
A
A
A
A
A
A
A
A
A
A
A
A
A
RO
Romania RO-0
A
A
XXX
A
A
A
A
A
XXX
A
A
A
A
Romania RO-1
A
A
D
A
A
A
A
A
D
A
A
A
A
Romania RO-2
A
A
C
A
A
A
A
A
XXX
A
A
A
A
SI
Slovenia
A
A
A
A
A
A
A
A
A
A
A
A
A
Slovakia SK-0
A
A
XXX
A
A
A
A
A
XXX
A
A
A
A
Slovakia SK-1
A
A
A
A
A
A
A
A
A
A
A
A
A
SK
Slovakia SK-2
A
A
A
A
A
A
A
A
C
A
A
A
A
Slovakia SK-3
A
A
C
A
A
A
A
A
XXX
A
A
A
A
FI
Finland
A
A
A
A
A
A
A
A
A
A
A
A
A
Sweden SE-0
A
A
A
A
XXX
XXX
A
A
A
A
A
XXX
A
SE
Sweden SE-1
A
A
A
A
A
A
A
A
A
A
A
A
A
Sweden SE-2
A
A
A
A
D
D
A
A
A
A
A
D
A
LI
Liechtenstein
A
A
A
A
A
A
A
A
A
A
A
A
A
NO
Norway
A
A
A
A
A
A
A
A
A
A
A
A
A
CH
Switzerland
A
A
A
A
A
A
A
A
A
A
A
A
A INTERPRETATION OF CODES TREATMENTS REFERRED TO IN ANNEX I Non-specific treatment:
A = No minimum specified temperature or other treatment is established for animal health purposes for meat products and treated stomachs, bladders and intestines. However, the meat of such meat products and treated stomachs, bladders and intestines must have undergone a treatment such that its cut surface shows that it no longer has the characteristics of fresh meat and the fresh meat used must also satisfy the animal health rules applicable to exports of fresh meat into the Community. Specific treatments listed in descending order of severity:
B = Treatment in a hermetically sealed container to an Fo value of three or more. C = A minimum temperature of 80 °C which must be reached throughout the meat and/or stomachs, bladders and intestines during the processing of the meat product and treated stomachs, bladders and intestines. D = A minimum temperature of 70 °C which must be reached throughout the meat and/or stomachs, bladders and intestines during the processing of meat products and treated stomachs, bladders and intestines, or for raw ham, a treatment consisting of natural fermentation and maturation of not less than nine months and resulting in the following characteristics:
Aw value of not more than 0,93,
pH value of not more than 6,0.
D1 = Thorough cooking of meat, previously deboned and defatted, subjected to heating so that an internal temperature of 70 °C or greater is maintained for a minimum of 30 minutes.] E = In the case of 'biltong'-type products, a treatment to achieve:
Aw value of not more than 0,93,
pH value of not more than 6,0.
F = A heat treatment ensuring that a centre temperature of at least 65 °C is reached for a period of time as necessary to achieve a pasteurisation value (pv) equal to or above 40. | en |
4049-pdf |
PLANNING COMMITTEE: 30th September 2014
DIRECTORATE:
Regeneration, Enterprise and Planning
DIRECTOR:
Steven Boyes
| N/2014/0994: | Application to vary section 106 agreement in |
|--------------------------------------------|-------------------------------------------------|
| respect of application 07/0004/OUTWNN, to | |
| modify the Mortgagee Clause in relation to | |
| the development at the former Princess | |
| Marina Hospital site, Weedon Road, Upton | |
WARD:
Upton APPLICANT:
Spire Homes
AGENT:
Perrins Solicitors REFERRED BY:
Scheme of Delegation
REASON:
Proposes modification of a legal agreement
## Application For Determination: 1. Recommendation
1.1
Planning Committee is recommended to **AGREE** the variation of the
Section 106 agreement to modify the mortgagee clause.
## 2. Background
2.1
The original outline application for the residential development of the former Princess Marina Hospital site as a whole was approved by WNDC in March 2009 under application reference 07/0004/OUTWNN.
2.2
This was subject to a Section 106 Agreement to secure planning obligations. The legal agreement includes clauses, inter alia, on restrictions on the disposal of the affordable housing units to ensure that these remain as affordable housing.
## 3. Site Description
3.1
The application site forms a parcel of land within the former Princess Marina Hospital site, which has now been cleared of the former hospital buildings, other than those to be retained. Development of some parts
of the wider site is now complete and other parts are underway following previous reserved matters approvals.
## 4. Planning History
4.1
The original outline application for the residential development of the site as a whole was approved by WNDC in March 2009 under application reference 07/0004/OUTWNN. 4.2
Subsequently there has been a renewal of this application to extend the time limit under WNDC reference 11/0041/REPWNN and various
reserved matters applications.
## 5. Planning Policy 5.1 Development Plan
Section 38(6) of the Planning and Compulsory Purchase Act 2004 requires a planning application to be determined in accordance with the Development Plan unless material planning considerations indicate otherwise. The current Development Plan comprises of the saved policies of the Northampton Local Plan.
5.2
National Policies
National Planning Policy Framework (NPPF)
5.3
Northampton Local Plan
H32 - Affordable Housing.
## 6. Consultations/ Representations
6.1
Housing Strategy - No objection to the change proposed. These types
of requests are likely to become more prevalent due to the types of funding markets that registered providers are now using. The risk of the chargee invoking the clauses is exceptionally small due to Spire Homes being a registered provider; these are organisations that hold significant assets whilst having proportionately low levels of borrowing. In the event the clauses are invoked the risk to the Council of the properties not remaining as affordable housing should the chargee invoke notice will also be exceptionally small due to other safeguards that are in place to ensure that the housing can be offered to other registered housing providers. Through discussion with Spire the funds that it has raised will used to support further acquisition of affordable on S.106 sites and its own proposed developments in Northampton which have been supported by the Council and the HCA. Therefore there will be benefit in the longer run in terms of the number of affordable houses in Northampton of supporting the change if it is necessary to attain funding.
6.2
The application has been advertised by site notices and a press notice. At the time of writing this report no representations had been received, any which are received will be reported to Committee by means of the Addendum.
## 7. Appraisal
7.1
The issues to consider are whether the proposed changes to the mortgagee clause of the Section 106 agreement would result in any material change in the provision of affordable housing.
7.2
The proposed changes essentially insert a clause to the effect that in the event that the affordable housing provider defaults on their
mortgage (which would only be likely to occur if the provider becomes bankrupt), the properties can be sold by the mortgage provider at a sufficient price to pay off the outstanding debt. It is still a requirement that the affordable units be offered in the first instance to other affordable housing providers, but if this cannot be achieved within three months, they can be sold on the open market.
7.3
This differs from the previous clause only in setting a minimum price for the properties. This therefore introduces the possibility that if the properties could not be sold for the minimum price to an affordable housing provider, they would therefore be sold on the open market and lost as affordable housing.
7.4
It is considered that the likelihood of an affordable provider going out of business is remote and even if this did occur it is likely that the whole portfolio of the provider would be transferred to other affordable housing providers. It is therefore considered that the risk of allowing this change in terms of losing affordable housing units to the private market would be extremely low.
7.5
However, this change is required by the mortgage provider who would otherwise not provide funding for the housing to be built, without the assurance that their money could be recovered in the event of a default on the payment. This is now standard procedure and in the absence of the amendments to this clause, advice is that it is unlikely that any lender would be prepared to lend and to fund the provision of affordable housing. Consequently it is considered that the risk of not amending the clause could be that there would be no funding available to the affordable provider and hence the affordable housing would never be built.
## 8. Conclusion
8.1
It is considered that the amendment to the mortgagee clause as proposed would not result in any significant risk in respect of the loss of affordable housing. In the absence of this change it is likely that funding for the affordable housing will not be obtained from the
registered provider's lender. This could slow down affordable housing
delivery on this site, as the registered provider will have to find alternative financing to pay for the dwelllings. It is recommended, therefore, that the application to vary the Section 106 agreement by amending the mortgagee clause as requested is agreed.
## 9. Background Papers
9.1
Application N/2014/0994 and 07/0004/OUTWNN
## 10. Legal Implications
10.1 None.
## 11. Summary And Links To Corporate Plan
11.1 In reaching the attached recommendations regard has been given to
securing the objectives, visions and priorities outlined in the Corporate Plan together with those of associated Frameworks and Strategies.
| en |
1446-pdf |
## Sir Nicholas Macpherson - Permanent Secretary Hm Treasury Business Expenses - October - December 2009
| DESTINATION | PURPOSE | TRAVEL | OTHER |
|----------------------|------------------------------------------------------------|------------------------------|----------|
| Total Cost | | | |
| | | | |
| (Including | | | |
| DATES | | | |
| | £ | | |
| | | | |
| Hospitality | | | |
| Given) | | | |
| | | | Air |
| Meals | | | |
| Sunningdale | Official meeting | | £20.12 |
| 02.10.09 | | | |
| 30.10.09 | Brussels | Official meeting | |
| 20.11.09 | Brighton | Official meeting | |
| £28.00 | 27.11.09 - | | |
| 28.11.09 | | | |
| Oxford | Official meeting | | £28.00 |
| | | | |
| 09.12.09 | Oxford | Official meeting | |
| | | £21,491.23 | |
| 31.12.09 | | | |
| | Use of official | | |
| secure car | | | |
| | | | |
| Hospitality Received | | | |
| Date | Organisation Name | Type of Hospitality Received | |
| 12.11.09 | UBS | Lunch | |
| 16.11.09 | British Academy | Lunch | |
| 17.11.09 | Lazard | Dinner | |
| 18.11.09 | The Financial Times | Reception | |
| 19.11.09 | Morgan Stanley | Lunch | |
| 19.11.09 | National Institute of Economic and Social Research (NIESR) | Reception | |
| 24.11.09 | BBC | Lunch | |
| 24.11.09 | Lloyds Banking Group | | |
| | | | |
| Reception | | | |
| 02.12.09 | Diageo | Lunch | |
| 09.12.09 | The Economic and Social Research Council (ESRC) | | |
| | | | |
| Dinner | | | |
| 15.12.09 | British Academy | Forum, which included lunch | |
| | | | |
| | | | |
## Tom Scholar - Second Permanent Secretary Hm Treasury
| DESTINATION | PURPOSE | TRAVEL | OTHER |
|------------------|------------------|------------------------|-----------|
| Total | | | |
| (Including | | | |
| DATES | | | |
| | Cost | | |
| | | | |
| £ | | | |
| | | | |
| Hospitality | | | |
| Given) | | | |
| | | | Air |
| Meals | | | |
| Toronto | Official meeting | £3,545.30 | |
| 29.10.09 | | | |
| Official meeting | £3,412.50 | | |
| 12.11.09 | | | |
| Mumbai and | | | |
| Delhi | | | |
| 02.12.09 | Washington | Official meeting | £2,426.30 |
| 08.12.09 | Paris | Official meeting | £490.40 |
## Hospitality Received No Hospitality Information Is Available. Andrew Hudson - Managing Director Of Public Services And Growth
| DESTINATION | PURPOSE | TRAVEL | OTHER |
|----------------------|----------------------------------------|-------------------------------------|----------|
| Total | | | |
| (Including | | | |
| DATES | | | |
| | Cost | | |
| | | | |
| £ | | | |
| | | | |
| Hospitality | | | |
| Given) | | | |
| | | | Air |
| Meals | | | |
| 08.09.09 | Dublin | Official meeting | £159.72 |
| Sunningdale | Official meeting | | £18.80 |
| 02.10.09 | | | |
| | £43.80 | | |
| 20.11.09 | | | |
| Brighton | Government | | |
| conference | | | |
| | £18.80 | | |
| 27.11.09 | | | |
| Sunningdale | Government | | |
| conference | | | |
| | £11.50 | | |
| to unforeseen work | | | |
| pressures) | | | |
| | | | |
| Hospitality Received | | | |
| | | | |
| Date | Organisation Name | Type of Hospitality Received | |
| 04.11.09 | Royal Institute of Chartered Surveyors | Breakfast | |
| 26 - 27.11.09 | Association of Chief Executives | Breakfast, dinner and accommodation | |
| | | | |
## Chris Martin - Corporate Services Director Hospitality Received
| DESTINATION | PURPOSE | TRAVEL | OTHER | DATES |
|-----------------------------------------------------------|------------------|------------------------|----------|----------|
| | | | | |
| | | | Air | Rail |
| 18.11.09 Norwich | Official meeting | | £21.00 | £12.00 |
| | | | | |
| Chris did not receive any hospitality during this period. | | | | |
Total
(Including
Cost £
Hospitality
Given)
Meals
## Mark Neale - Managing Director Of Budget Tax And Welfare
| DESTINATION | PURPOSE | TRAVEL | OTHER |
|----------------------|-------------------|------------------------------|----------|
| Total | | | |
| (Including | | | |
| DATES | | | |
| | Cost | | |
| | | | |
| £ | | | |
| | | | |
| Hospitality | | | |
| Given) | | | |
| | | | Air |
| Meals | | | |
| 01.10.09 Sunningdale | Official meeting | | £11.80 |
| 19.10.09 Oxford | Official meeting | | £55.00 |
| 27.11.09 Birmingham | Official meeting | | £172.50 |
| 09.12.09 Oxford | Official meeting | | £85.00 |
| 17.12.09 London | Official meeting | | £5.30 |
| | | | |
| Hospitality Received | | | |
| | | | |
| Date | Organisation Name | Type of Hospitality Received | |
| 09.12.09 | All Souls College | Dinner | |
| | | | |
| | | | |
## Stephen Pickford - Managing Director International & Europe Hm Treasury Business Expenses - October - December 2009
DATES
Total
Cost £
DESTINATION
PURPOSE
TRAVEL
OTHER (Including
Hospitality Given)
Air
Rail
Taxi/Car
Accommodation/ Meals
Switzerland
Official meetings
£575.51
£575.51
26.06.09 - 28.06.09 01.07.09
London
Official meeting
£20.00
£20.00
Washington
Official meetings
£146.79
£20.00
£166.79
16.07.09 -
17.07.09 28.08.09
Brussels
Official meetings
£31.22
£31.22
Paris
Official meetings
£25.86
£432.12
£20.00
£477.98
07.09.09 - 09.09.09
£164.38
£10.00
£175.88
16.09.09 - 17.09.09
Brussels
Official meetings
£1.50
Istanbul
Official meetings
£1,372.70
£16.20
£29.95
£1,422.78
£30.00 £2,871.63
01.10.09 - 05.10.09
Paris
Official meetings
£378.00
£8.80
£170.44
£10.00
£567.24
08.10.09 - 09.10.09 13.10.09
Brussels
Official meetings
£396.00
£20.00
£416.00
Luxemburg
Official meetings
£624.20
£16.90
£156.57
£797.67
19.10.09 - 20.10.09 22.10.09
Brussels
Official meetings
£378.00
£378.00
27.10.09
Brussels
Official meetings
£378.00
£378.00
04.11.09
Dundee
Official meetings
£264.26
£264.26
Washington
Official meetings
£2,448.50
£62.99 £2,511.49
11.11.09 - 13.11.09
18.11.09
Brussels
Official meetings
£375.80
£81.50
£457.30
20.11.09
Paris
Official meetings
£189.00
£189.00
Vancouver
Official meetings
£6,481.70
£6,481.70
29.11.09 - 30.11.09 01.12.09
Brussels
Official meetings
£378.00
£378.00
## Hospitality Received No Hospitality Information Is Available. Dave Ramsden - Managing Director Of Macroeconomics And Fiscal Policy
| DESTINATION | PURPOSE | TRAVEL | OTHER |
|-------------------|---------------------|------------------------|----------|
| Total | | | |
| (Including | | | |
| DATES | | | |
| | Cost | | |
| | | | |
| £ | | | |
| | | | |
| Hospitality | | | |
| Given) | | | |
| | | | Air |
| Meals | | | |
| 14.09.09 | London | Official meeting | |
| Dorking | Official conference | | £20.12 |
| 02.10.09 | | | |
| 08.10.09 | London | Official meeting | |
| Sunningdale | Official conference | | |
| 09.10.09 | | | |
| Paris | Official meeting | | £403.00 |
| 03.11.09 | | | |
| 04.11.09 | London | Official meeting | |
| 04.11.09 | London | Official meeting | |
| 05.11.09 | London | Official meeting | |
| Official meeting | £5,072.60 | £16.90 | £30.33 |
| 18.11.09 | | | |
| Singapore and | | | |
| Seoul | | | |
| 21.11.09 | London | Official meeting | |
| | £18.80 | | |
| (cancelled due to | | | |
| unforeseen work | | | |
| pressures) | | | |
| 27.11.09 | Oxford | Official meeting | |
| 30.11.09 | London | Home to work | |
| | | | |
10.12.09
London
Home to work
£18.90
£18.90
14.12.09
London
Home to work
£26.00
£26.00
15.12.09
London
Work to home
£39.42
£39.42
Hospitality Received
Date
Organisation Name
Type of Hospitality Received
Dinner
02.11.09
Organisation for Economic Co- operation and Development
Lunch
03.11.09
Organisation for Economic Co- operation and Development
16.11.09
Deutsche Bank
Lunch and dinner
17.11.09
Korean Ministry of Finance
Lunch and dinner
## Ray Shostak - Head Of Prime Minister'S Delivery Unit
| DESTINATION | PURPOSE | TRAVEL | OTHER |
|----------------------|------------------|------------------------|----------|
| Total | | | |
| (Including | | | |
| DATES | | | |
| | Cost | | |
| | | | |
| £ | | | |
| | | | |
| Hospitality | | | |
| Given) | | | |
| | | | Air |
| Meals | | | |
| 13.10.09 | London | Official meeting | |
| 26.10.09 | London | Official meeting | |
| Warwickshire | Official meeting | | £76.00 |
| 14.11.09 | | | |
| 03.12.09 | Birmingham | Official meeting | |
| 04.12.09 | Portsmouth | Official meeting | |
| 08.12.09 | London | Official meeting | |
| 15.12.09 | London | Official meeting | |
| 16.12.09 | London | Official meeting | |
| | | | |
| Hospitality Received | | | |
| | | | |
Ray did not receive any hospitality during this period.
## Louise Tulett - Group Director Of Finance And Procurement
| DESTINATION | PURPOSE | TRAVEL | OTHER |
|------------------|------------------|------------------------|----------|
| Total | | | |
| (Including | | | |
| Cost | | | |
| | | | |
| £ | | | |
| | | | |
| Hospitality | | | |
| DATES | | | |
| | | | |
| | | | |
| Given) | | | |
| | | | Air |
| Meals | | | |
| 26.10.09 Norwich | Official meeting | | £40.00 |
| 27.10.09 Norwich | Official meeting | | £16.00 |
| 03.11.09 London | Official meeting | | |
| 17.11.09 Norwich | Official meeting | | £22.32 |
| 18.11.09 Norwich | Official meeting | | £32.00 |
| | | | |
## Hospitality Received
Louise did not receive any hospitality during this period.
| en |
2090-pdf |
## Information Management Assessment Department For Communities And Local Government Assessed March 2012
About Information Management Assessments The Information Management Assessment (IMA) programme is the best-practice model for government departments wishing to demonstrate a high level of achievement in managing their information.
IMA reports highlight areas of best practice and make recommendations for improvements. These recommendations will form the basis of an action plan against which progress will be tracked. For more information about the programme and to view previous reports and action plans, see: nationalarchives.gov.uk/information-management/our-services/ima.htm About Department for Communities and Local Government DCLG
sets policy on supporting local government;
communities and neighbourhoods; regeneration; housing; planning, building and the environment; and fire. For more information about DCLG, please visit: http://www.communities.gov.uk/corporate/about/
Date: **October 2012**
© Crown copyright 2012
## Table Of Contents
| 1 RISK MATRIX | 3 |
|----------------------------------------|-----------------------------------|
| 2 EXECUTIVE SUMMARY | 4 |
| 3 SUMMARY OF RECOMMENDED ACTIONS | 8 |
| 4 SUMMARY OF GOOD PRACTICE | 14 |
| 5 HIGHLIGHTS AND AREAS FOR IMPROVEMENT | 15 |
| | APPENDIX ONE: GLOSSARY |
| | APPENDIX TWO: THE ASSESSMENT TEAM |
| | |
## Risk Matrix
1.1 Indicative score drawn from the pre-assessment analysis, on-site interviews
and evidence submitted:
Governance and leadership
Business objectives Strategic management Management controls Resourcing Risk management
Information and records
Creation Storage Appraisal, disposal and transfer Management of information Security
Compliance
Staff responsibilities and delegations Policies and guidance Change management Commitment Staff understanding Knowledge management Development needed Priority attention area
## Executive Summary
2.1 The Department for Communities and Local Government (DCLG) has gone
through a period of significant restructuring, including changes in the way the department delivers key policy outcomes. At the time of assessment, DCLG was mid way through a staged 37% reduction in staffing levels, with remaining staff exits due to be completed by October 2012. The Knowledge and Information Management function has seen a 67% reduction in staffing levels since the previous Information Management Assessment (IMA) of the
department, which was conducted in 2007.
2.2 Moving forward, current governance and oversight of information risk needs to
be improved if DCLG is to ensure that it is meeting minimum statutory compliance. The reduction in staffing levels and available resources will impact on DCLG's ability to assure this. This report therefore recommends that DCLG begins by defining its requirements for information and its management in alignment with business objectives and develops a plan to ensure it is meeting minimum compliance and achieves key goals. This work must be supported corporately and prioritised in accordance with the resources available.
## Governance And Leadership
2.3 DCLG manages some high-profile projects well. However the department lacks
an overall strategic approach to information management that is supported by
the Senior Information Risk Owner (SIRO) and Chief Information Officer (CIO). Oversight and monitoring of information and records management is currently limited and the assessment team found evidence of divisions working without reference to policy. Without effective oversight and monitoring, DCLG cannot provide assurance that key records are being captured and that information is being managed as required, or routinely identify areas of concern.
2.4 As a priority DCLG must now move to agree its overall information
management outcomes and must not wait until the outcome of the forthcoming IT re-fresh before taking action. DCLG needs to review, revise and clearly define the priorities of the Corporate Records Management Service (CRMS) in light of this. The department must ensure this is accompanied by a commitment to ensure adequate support for CRMS to meet these objectives.
2.5 Some elements of information risk are well managed, particularly, where a risk
specific to a project or set of records is identified. For example, the potential financial penalties that can result if records relating to the European Regional
Development Fund do not meet the auditable standards of the European Commission. This has meant that DCLG had to put in place robust structures and teams to manage the associated risks. This made the files easily identifiable and retrievable following the closure of the Government Offices resulting in the transfer of over 500,000 paper files to DCLG. DCLG also defined its information management requirements to mitigate the risks to
statutory compliance that was posed by the departmental reorganisation.1
## Information And Records Management
2.6 CRMS has transferred the majority of electronic information over three years
old from the preferred corporate repository Approved File Plan (AFP) on to Nearline storage for selection, review or deletion at a later date. The National Archives needs further assurance that DCLG has the resources to effectively review this for selection, and avoid placing the department at risk of breaching the Public Records Act.
2.7 DCLG needs to build up and document its understanding about the information
that it is creating, storing and using. Without this understanding, DCLG cannot be assured that it is taking effective and proportionate action to safeguard and
utilise its information. This is impeded by the lack of a department-wide
corporate filing system. Multiple repositories (including personal drives and Outlook, as well as shared drives and AFPs) are currently used by staff to store corporate information. DCLG needs to take stock of its information immediately. DCLG should start by defining its key information assets, building on its work in creating an Information Asset Register to ensure coverage of structured and unstructured information.
## Access To Information
2.8 DCLG meets 92% of FOI requests on time, with extensions. In addition DCLG
fully responded to FOI requests in 70% of cases against a Whitehall average of
56%. The department also exceeds minimum compliance levels with the Transparency Agenda, making more information available about expenditure within the department. However, having multiple repositories and large volumes of information held in personal drives and email accounts, will make future reviews for selection problematic.
## Compliance
2.9 DCLG plans during restructuring to ensure the loss of staff did not impact on its
ability to use its records and information could have been stronger. Although there were systems in place to capture the knowledge of experienced staff who were leaving, this was not always done systematically. Furthermore not all key information may have been captured in corporate systems.
2.10 The IT re-let has been led by Information Technology (IT). Whilst there has
been some collaboration with CRMS, DCLG needs to ensure that information requirements are effectively factored in as part of the process. This will ensure that technology change does not adversely impact on the ability of the department to use, protect and trust its information.
## Culture
2.11 The assessment team found that staff understanding about their information
management responsibilities appeared inconsistent. Some interviewees failed to understand that the information they create is a corporate resource.
2.12 The focus of DCLG for the year prior to the assessment has been the
departmental restructuring, the ingest of over 0.5 million records following the closure of the Government Office Network and the transfer of over 2.5 million records from one offsite file storage provider to another. The assessment team found some evidence of corporate commitment to good information management within this. However this needs to be embedded as a component
of the change programme and as business as usual within the department if DCLG is to effectively assure minimum statutory compliance.
2.13 The recommendations made in the IMA report in 2007 have largely been left in
abeyance, awaiting the introduction of a corporate Electronic Document Records Management system (of which full funding was cancelled following a Comprehensive Spending Review) and because of other tight budgetary conditions. If DCLG does not take immediate action, the complexity and cost of resolving these issues will continue to increase.
## Summary Of Recommended Actions
3.1 These recommendations will form the basis of an action plan that will be
monitored.
| Ref | Summary Recommendation |
|--------------------------------------------------------------------------|------------------------------------------------------------------|
| 1 | |
| DCLG must further define the corporate aims and outcomes for | |
| information management in the department, ensuring minimum | |
| compliance with statutory requirements. | |
| These aims need to continue | |
| to explicitly support corporate outcomes set out in the new departmental | |
| business plan. | |
| | This must be a corporate priority now that the new business plan |
| has been published and should not wait for the outcome of the IT | |
| procurement exercise. | |
| | Prioritisation of outcomes must take in to account what can be |
| realistically achieved by the organisation with the resources | |
| allocated to it. | |
| | The CIO and SIRO need to assume responsibility for ensuring |
| minimum statutory compliance and support for the implementation | |
| of these objectives. | |
| | |
| DCLG needs to review and reissue its statement concerning | |
| its appetite for risk in regard to information assurance as a | |
| key underpin to its knowledge and information | |
| | |
| 2 | |
| DCLG needs to define the remit and priorities of Corporate Records | |
| Management Services (CRMS). | |
| Following recommendation 1, CRMS | |
| needs to define a plan, including time-bound milestones to ensure | |
| corporate goals for information management are reached. Actions must be | |
| clearly defined and the benefit to the business articulated. | |
| | The plan must clearly define and prioritise actions according to |
| business need. | |
| | The plans must identify actions to raise the information |
| 5.5, | 5.11, |
|-------------|----------|
| 5.13, 5.21, | |
| 5.82 | |
| 5.6, | 5.11, |
| 5.13, 5.21, | |
| 5.22, 5.23, | |
| 5.48 | |
management understanding and capability of staff.
| | The plan must be accompanied by an implementation plan. |
|--------------------------------------------------------------------------|--------------------------------------------------------------------|
| | DCLG and CRMS should consider setting up an internal service |
| standard. | |
| | CRMS and IT must ensure that the CRMS plan is integrated with |
| the IT strategy. | |
| | Monitoring of compliance and progress needs to be established |
| and owned at a suitable level within DCLG. | |
| 2 | |
| | |
| 3 | |
| DCLG needs to define appropriate metrics and monitor progress | |
| against information management outcomes | |
| (according to corporate | |
| priorities in recommendations 1 and 2) if it is to drive positive change | |
| throughout DCLG. | |
| | This should include performance against mailbox and personal |
| drive reduction targets, AFP usage and the application of retention | |
| in corporate repositories. | |
| | Monitoring of performance should be the responsibility of the DRO, |
| escalated to the CIO and SIRO when necessary. | |
| 4 | |
| DCLG needs to ensure that management promotes and monitors | |
| compliance with corporate policy for information management. | |
| | |
| | DCLG needs to monitor non-compliance with policy and define |
| appropriate sanctions. | |
| | Where technically possible, CRMS must be given appropriate |
| permissions to access divisional drives to allow oversight of | |
| compliance with policy. | |
| | The SIRO and CIO need to establish formal lines of communication |
| 5.7, | 5.17, |
|-------------|----------|
| 5.22, 5.30, | |
| 5.31, 5.35 | |
| 5.7, | 5.15, |
| 5.17, 5.22, | |
| 5.25, 5.27, | |
| 5.30, 5.31, | |
| 5.35, | |
to ensure that information management risks are visible and easily escalated.
5
CRMS must ensure that policies and guidance are aligned with the
corporate priorities for information management (as defined by DCLG
in recommendation 1).
Policies need to be accompanied by an implementation plan based
on DCLG prioritisation.
As a matter of urgency, DCLG should create and distribute easy to use guidance based on the fundamental information management
priorities.
The head of Knowledge and information Access needs to continue
to provide specific policy and guidance on:
o FOIA and the application of exemptions as these develop
6
DCLG needs to understand the information that it holds, where it is
## Stored And How It Needs To Be Used. This Will Support The Department In Identifying How Information Needs To Be Managed In Order To Ensure
statutory compliance.
DCLG needs to agree ownership and responsibility for maintaining the departmental and Divisional Information Asset Registers (IARs) and how they will be used to inform risk and management decisions.
CRMS, with the support of the CIO and SIRO, needs to ensure that Divisions are actively engaging in the process of recording the information that it creates and holds. DCLG also needs to continue to define what its key information assets are, where they are stored and how they need to be managed.
DCLG should work with The National Archives to ensure that maximum benefit can be gained from its IAR ahead of the forthcoming ICT re-let. This includes increasing understanding of technological dependencies and usability requirements.
DCLG needs to develop a clear strategy for aligning its current
5.15, 5.68
5.19, 5.35, 5.50
Information Asset Register into wider Government data and
information reviews, such as the forthcoming Data Inventory, ensuring all information assets are accounted for.
7
CRMS must implement its action plan to ensure compliance with the 20 year rule change.
DCLG needs to ensure it has comprehensively planned its
resource allocation to cope with the increased volume of review required for both DCLG and Department for Transport (DfT).
8
CRMS needs to ensure compliance with What To Keep and retention
schedules in conjunction with Divisions to ensure that DCLG is
capturing the records that it requires and that these are retained and destroyed in line with statutory obligations.
| |
|------------|
| defined. |
DCLG must evaluate the full range of its legislative obligations and define minimum measures for compliance with these.
DCLG needs to ensure that staff are aware of available guidance.
Managers need to be aware of their responsibilities to promote and
ensure compliance with policy and legislation
| | DCLG would benefit from using a reinvigorated Business Records |
|--------------------------------------------------------------------------------|----------------------------------------------------------------------|
| Officer (BRO) network to champion and encourage good practice in | |
| this regard. | |
| 9 | |
| DCLG must reduce the personal size limit for email to levels | |
| congruent with other government departments. Use of personal | |
| drives must also be addressed. | |
| | A phased reduction is required with individual targets linked to the |
| migration to the new IT re-let schedule. | |
| | Corporate targets must be decided and monitored by CIO, SIRO |
| and DRO. | |
| 10 | |
| DCLG needs to ensure that the action taken to review and dispose of 5.37, 5.47 | |
5.44 5.25, 5.29
5.41
## Digital Information Is Fully Risk-Assessed Against Compliance With Legislative And Business Requirements. This Is Because Retrospective Application Of Retention Raises The Risk That Of Deleting Records And Information That Retain Value To The Organisation Or As A Public Record.
11
DCLG must ensure that all technology change projects meet its information requirements.
DCLG needs to develop a strategy for managing Digital Continuity.
DCLG needs to ensure that information requirements are central to all technology change planning and projects, through the adoption
of formal structures such as a technology change board. The National Archives Digital continuity guidance will support the department as it embeds good practice in to policies and processes.
CRMS and IT must continue to run the digital continuity self assessment tool based on future electronic records held in Nearline Network Attached Storage and those held by TNT storage, and take appropriate mitigating action where risk is identified.
12
DCLG should take the opportunity to consider information security requirements ahead of the IT re-let with particular regard to striking the right balance between protecting and sharing information.
13
DCLG should re-invigorate the network of effective Business
Records Officers (BROs) with sufficient coverage, appropriate delegation
of authority, training and monitoring. This will enable DCLG to disseminate best practice and drive compliance, to ensure a minimum standard of consistent good practice in order to meet minimum statutory requirements, including compliance with the Public Record Act, Freedom of Information Act and the Data Protection Act.
CRMS need to engage with BROs to create local What to Keep schedules for Divisions. These must be reviewed regularly.
DCLG must ensure that the BRO network is maintained. CRMS needs to provide leadership and direction and coordinate
5.48, 5.49, 5.74 5.60 5.60, 5.61, 5.62, 5.63, 5.64, 5.71
CRMS must provide updated guidance and training for the role.
CRMS should also take a lead in sharing and disseminating good
practice.
5.75
14
In order to ensure the success of any technology change, DCLG
needs to define ownership for the management of the cultural change
and establish how the department will achieve buy-in to corporate records management principles in the future technology environment.
DCLG needs to ensure that any new ways of working are
mandated and compliance monitored, including the use of corporate repositories.
5.82
15
As DCLG's restructuring process is completed, the department
should build on the knowledge management pilot and investigate ways of embedding knowledge management into team and project working.
## Summary Of Good Practice
4.1 The following areas have been specifically identified as good practice in the
report.
1 **The review team undertake selection review at 25 years**,
communicating review decisions with the Information Management Consultant from The National Archives. This helps to absorb some of
the capacity pressures of meeting the targets for the 20 year rule change.
2 The draft IT strategy is flexible. It will allow DCLG to adopt shared /
cloud services when these become available, considering
opportunities for standardising and simplifying the infrastructure.
The department is also talking to suppliers about their requirements as part of the IT re-let process. This is good practice as it allows a discussion about the ways in which different parties would approach finding a solution to issues. It also helps to clarify any differences of interpretation at an early stage.
3 DCLG is going beyond the minimum requirements of the
Transparency
Agenda,
publishing
financial
information
about
expenditure on staff at a wider range of grades than other Whitehall
departments.
4 The Library team developed its own knowledge capture process
and the planning team run a programme of 'apprenticeships'. This is good practice as it encourages staff to deepen their knowledge of the Division and the records and information being created. This is also done all year round, not just when individuals are leaving.
## Highlights And Areas For Improvement Governance And Leadership Business Objectives
5.1 DCLG has gone through a period of significant restructuring. Current
governance and oversight of information risk is not sufficient to ensure the department is protecting and utilising its key records and information assets effectively.
5.2 DCLG has developed an overall corporate understanding of what information is
valuable or important to the department, for business or legislative purposes, as demonstrated by the What to Keep guidance. This represents a good start. However, with regard to digital information there is limited oversight of what is being created and stored. The department needs to be assured that it is managing its records and information in line with minimum statutory requirements.
5.3 Information is currently not understood as an enabler for the business and is
not recognised as a corporate priority. The assessment team found limited corporate understanding about why information might be important to support DCLG in meeting its business aims or how it might pose a risk to the organisation. The exceptions are those areas with external scrutiny or where there is a clear risk of financial penalties. In the case of the European Regional
Development Fund (ERDF), the risk is of an interruption to funding if records cannot be provided to the standards required by the EC. To mitigate this, DCLG has set up a programme to coordinate the closure and capture of records. In general terms however, senior oversight, understanding and monitoring to ensure that records and information are captured and managed effectively was not evident either from the documentation supplied or the interviews conducted.
5.4 In the majority of cases there is no mechanism for ensuring that information
management practice is in accordance with policy and supports business need. This means that DCLG cannot assure itself that information and vital records are being captured and secured effectively by individual teams. This puts DCLG at risk of not being able to account for its actions.
5.5 DCLG defined general principles for records management ahead of ALB
closure. DCLG has also documented corporate aims for information management in the department for the period 2012–13. However, DCLG must
review and build on these in light of the risks highlighted in this report to ensure minimum compliance. The department must define the way in which information management supports the achievement of departmental aims and the role of the information management function within the department. This will help DCLG in achieving minimum legislative compliance over the restructuring exercise
and
forthcoming
Information
Technology
(IT)
re-let.
See
recommendation 1.
5.6 These aims need to be prioritised as actions for Corporate Records
Management Service (CRMS) and Knowledge and Information Access in order to raise capability and ensure that information management practice support DCLG business objectives. This needs to be based on a realistic assessment
of what can be achieved with the resources available. **See recommendation 2**.
5.7 This prioritisation needs to be backed up with a commitment to ensure
adequate support for information management. This needs to include making sure that managers understand and report on their responsibilities and that monitoring is taking place. The organisation also needs to set out good practice
in information management. **See recommendations 3 and 4**.
## Strategic Management
5.8 The DCLG IT strategy includes the aspiration to become a top performing
department. This means that the department 'consistently get the basics right'.
The department understands and recognises this in terms of IT. If DCLG is to ensure compliance and drive significant improvements in its performance, information management must also be prioritised as one of these basics.
5.9 Strategic clarity is a current priority for the DCLG board. This includes
monitoring and advising on how business functions contribute to the achievement of the departmental vision. However the department lacks an up to date strategic plan for information management. The assessment team viewed requirements for a DCLG Knowledge Management Strategy that
focuses on the synergy between information management, Information Technology (IT) and culture. It establishes core principles such as the need to effectively coordinate these three elements, and proposes the use of a maturity model. This is a good start, but the assessment team was unable to confirm how this has been taken forward.
5.10 Long-established processes for the management of paper records mean that
the paper lifecycle is managed with a good level of assurance. However, the lack of a strategic and prioritised approach to the management of digital information impedes the ability of DCLG to ensure that it is taking effective and
proportionate action to manage its information risk. 5.11 The absence of strategic direction and planning has contributed to the
accumulation of large amounts of digital information in multiple repositories. CRMS has struggled to manage the impact of this. DCLG needs to prioritise actions to resolve the causal problems associated with storage and creation of
digital information. **See recommendations 1 and 2.**
5.12 The assessment team understands that CRMS members are prioritising
statutory functions, such as FOI performance. However the prevailing circumstances within the department mean that the focus is on the day-to-day, not strategic. CRMS has limited resources and has focused its attention on dealing with specific priorities. This includes managing the influx of ERDF records and others from closure of the Government Office Network and other
Arm's Length Bodies (ALB) coupled with the transfer of over 2.5 million files
from one offsite file storage supplier to another.
5.13 The SIRO, appointed in Q3 2011, is the champion for information management
at board level and has only just started to actively engage with this role. The CIO has responsibility for both technology and records management and is the only formal representation for information management on any board. The CIO and SIRO need to assume responsibility for driving change with regard to information management, ensuring clearly defined information management
goals and clear ownership of actions as established above. See recommendations 1 and 2.
5.14 The 2007 IMA, carried out by The National Archives, identified issues that have
not yet been completed. Since then, DCLG information holdings and
subsequent risks and effort required to mitigate the risks have increased. DCLG cannot wait until a technology solution is in place before taking action. The Comprehensive Spending Review cost savings in October 2010 halted the implementation of LiveLink EDRMS throughout the department. This has left DCLG continuing with an interim Approved Fileplan (AFP) of MS Office folders and shared drives. However, AFPs were not rolled out to the whole of DCLG and are not used by all business areas. This creates problems applying and managing security, access and disposal.
5.15 DCLG needs to make appropriate corporate systems available to users with
clear policy, guidance and monitoring to enforce their use. However, ahead of the IT re-let, the department needs to ensure that *good enough* policies, procedures and governance are in place to identify and assure the capture of
valuable information from staff. **See recommendations 4 and 5**.
5.16 Organisationally, attempts are being made to document the technical
architecture and information flow, ultimately developing an enterprise architecture with plans to incorporate information requirements at a later stage. This is a good start and should be developed to reflect the corporate priorities for knowledge and information management within DCLG.
## Management Controls
5.17 Current management controls cannot address and do not adequately mitigate
the risks of heterogeneous or poor records and information practice. The
assessment team found that business areas exercise almost complete autonomy in the way in which they manage records and information. The majority of managers have never been encouraged to monitor or report on the management of information and there is no central mechanism to ensure that business areas are following central policy and guidance. In order to drive improvements in information management, DCLG must define appropriate
metrics to monitor compliance and progress. **See recommendations 3 and 4**.
5.18 There is no central oversight of the information held by DCLG. The DCLG
Information Asset Register (IAR) is potentially an important tool for capturing key departmental information assets and its use should be expanded as a tool to ensure ownership and monitor risk. The assessment team is not assured
that the IAR captures all of the key information assets within DCLG. It is not clear how the information on the IAR snapshot seen by the assessment team is derived from the quarterly returns completed by IAOs or their deputies.
5.19 It is imperative that DCLG understands its key information assets ahead of the
restructuring. Information Asset Registers are key tools that can enable organisations to map information and technology lifecycles as well as informing decisions about the management and assurance of information. This will be a significant task. DCLG should start by ensuring that the key assets are identified and recorded prior to the IT re-let, with a plan to incrementally build
up this understanding to cover all information assets. **See recommendation 6**.
5.20 The assessment team is not clear what benefit DCLG is currently gaining from
use of the IAR, or how it is used to inform decisions about the management of information risk. The assessment team found IAOs to be aware of their responsibilities, but uncertain about why or how information submitted would be used. Ownership of the IAR at a divisional level was also unclear, except where business areas had recognised the associated risk and implemented their own structures, such as finance and planning. Within the planning division the initiative had been taken to expand the divisional IAR to 'look beyond personal data'. This is a good start and CRMS should take a lead in sharing similar good practice initiatives.
## Resourcing
5.21 The reduction in staff numbers in 2011/12 will result in a significant loss of
knowledge and expertise. This will have an impact on the ability of the organisation to understand and manage its legacy information. The changes that DCLG is facing require an immediate focus on digital information management. The department needs to ensure that it is capturing and protecting key records and information through the effective application of corporate policy. DCLG also needs to manage records and information already held in various repositories throughout the organisation if the department is to maintain minimum statutory compliance. This is not something that CRMS can achieve on its own. Once it has defined its corporate priorities for information management, DCLG needs to ensure that adequate support is provided to
CRMS and the business. **See recommendations 1 and 2**.
5.22 CRMS has decreased in size over the previous five years, although the total
volume of records managed has increased by 25%. CRMS is currently not
providing sufficient outreach, education or audit of current practice. The assessment team was not able to ascertain if this was the result of a planned change in service provision, or a reflection of limited resources. At present, CRMS staff are predominantly engaged in 'fire fighting' and are not engaged in proactive activities such as ensuring the use of AFPs and routine establishment
of file plans or promoting good practice. **See recommendations 2, 3 and 4**.
## 5.23 The Crms Records Review Team In Hastings Also Provides A Review Function For
the Department for Transport. This contract is well managed and the service provided includes review and support to BROs within DfT. The advent of the 20-year rule change will increase the quantity of review required which will impact on the service provided. CRMS, supported by senior management, needs to prioritise the implementation of an action plan to ensure compliance with the 20 year rule change, ensuring it has comprehensively planned to cope with the increased volume of review required for both DCLG and DfT with the
resources at its disposal. **See recommendation 2 and 7**.
## Risk Management
5.24 Information management risks are reported to the board quarterly via an
information pack which predominantly focuses on FOI statistics. The
assessment team found some understanding of compliance risk. For example, the measures taken to secure the information assets of the Government Office Network and several DCLG ALBs that were closed over the last two years. However, the assessment team was not sufficiently assured that DCLG has an
understanding of the distinction between IT and information risks.4 In addition,
although senior managers were found to be aware of financial and resource risks, wider information risk relating to storage of information and record
creation, were not widely understood or documented.5
5.25 The lack of a strategic approach to information management means that there
is no means of ensuring that risk is being effectively managed. The draft Records Management policy explicitly states information management responsibilities according to role. This includes the responsibility of the DRO to ensure compliance with the Public Records Act (PRA). This is a good start. In order to ensure that the department is effectively managing the full spectrum of information risk, DCLG must ensure that responsibility and accountability for
information management is enforced through management structures. See
recommendations 4 and 8.
5.26 The assessment team were unable to view the departmental risk register on
site or the CRMS divisional risk register. Therefore the team was unable to assess the oversight and capture of information risk. The Planning Division has previously monitored some information risk on their divisional risk register. However, this is an exception. Information risk is not generally monitored on divisional risk registers (such as risks relating to the loss of ability to find, access, work with, understand or trust information).
5.27 Interviewees were not able to confirm what level of Information Assurance
Maturity Model (IAMM) DCLG currently operates at. The SIRO, as departmental risk owner, must ensure that this distinction is understood and that information risk is monitored and mitigated. The SIRO and CIO need to establish formal lines of communication to ensure that information management
risks are visible and can be escalated through a managed process. See recommendation 4.
## Information And Records Management Creation
5.28 Records management guidance available on the intranet defines at a high level
what constitutes a record and sets out responsibilities for records creation and storage. The vast majority of staff were not aware of this guidance or had never accessed it. The assessment team found that there is no DCLG-wide understanding of records created that are of value and need to be retained. DCLG's corporate Retention and Deletion policy has been signed off by the
management board. This policy states that disposal agreements should be created by the Division in conjunction with CRMS. However the assessment team were told that these only partially exist for AFPs (not for other repositories such as shared drives) and that compliance is not enforced or monitored.
5.29 The assessment team found that interviewees did not have a clear
understanding of what records need to be retained within their business areas. They could not identify having referred to a retention or disposition schedule to inform their decision-making. DCLG needs to revisit and ensure that What to Keep requirements are comprehensively documented for each Division, including what categories of information needs to be retained and for how long. Building this into the process for establishing new projects or policy areas as a matter of course would be beneficial in establishing good practice principles from the outset. DCLG may benefit from using a reinvigorated Business
Records Officer (BRO) network in this regard. **See recommendation 8**.
5.30 DCLG guidance states that 'all records should be held within an approved
environment,
by
the
Departmental
Records
Officer'.
The
approved
environments include registered paper files, and AFPs, pending the introduction of an Electronic Document Records Management System (EDRMS). The AFP is the corporate repository of choice in the absence of an EDRMS. However the department-wide roll-out of this interim solution was not completed and many of the business areas do not have access to the AFP. Use of shared drives as a temporary corporate repository has therefore been sanctioned in this RM guidance. However, where AFPs or shared drives are used there is no central oversight or control over structure or content. This means there is no assurance that key records are being captured and stored
## Correctly In Corporate Repositories. **See Recommendations 3 And 4**.
5.31 The Records Management Policy (in draft stage at the time of the assessment)
includes the responsibility of managers and the responsibility of each member
of staff to keep accurate records under the Civil Service Code. DCLG needs to ensure that all staff are aware of their responsibilities. Once signed off, DCLG needs to define who is responsible for ensuring that these responsibilities are
being met and define ways to monitor compliance. See recommendations 3 and 4.
5.32 Generally, DCLG has well established tracking and review processes in place
for paper records. This is encouraging. However, the assessment team also heard some examples of unregistered files being created. In each case this was due to a lack of understanding of the proper processes and the interviewee not knowing where to find advice and guidance about how to set up files, what information needed to be kept and how this should be done.
## Storage
5.33 The lack of a single corporate repository for digital information means that
information is stored in a combination of AFPs, Shared Drives, Outlook, LiveLink, SharePoint, personal drives and other systems. With little active monitoring of retention and deletion of digital information, staff are storing information of value to the department alongside ephemeral information in these systems. CRMS were trialling a new process to combat this at the time of
the onsite assessment, introducing two separate areas in to the fileplan. One will be for *work in progress* (and have automatic destruction applied to information stored within it) and the other for *records*. The aim of this is to encourage staff to identify and select records as they go, with ephemeral information being deleted after a defined period of time. This is an encouraging initiative. CRMS need to ensure that compliance with this is monitored in order
to ensure that key records and information are not destroyed.6
5.34 AFPs have been operating for several years but their efficiency over time is
dependent upon staff understanding their responsibilities and following
corporate guidance, as well as the appointment of Business Records Officers (BROs) to regulate and maintain them and the development and application of divisional disposition schedules. AFP file plans were originally agreed with CRMS with restrictions on the number of levels that can be created. Any changes to the file plan or permissions should be made through IT supplier Steria. If followed, this process would allow DCLG much greater ability to control and manage the information stored in this system. However, AFPs have
not been made universally available.
5.35 At the time of assessment, CRMS had received fewer than 5 requests to set up
AFPs in the previous 12 months. Interviewees suggested that business areas are not following corporate policy on the development and maintenance of file plans. Instead they are adding low level additions to the existing structure or shared drives, because it is less bureaucratic or more familiar to staff than setting up an AFP. This combination of systems does not support good information management practice. It is difficult to effectively implement version control and regulate access; either restricting or making information available. Shared drives allow little corporate oversight of the information stored within them and the file plan is not managed. One interviewee described the file plan for their high profile business function as being an 'organic monster'. There is no automatic CRMS contact or involvement in new areas or teams; here the expectation on the part of CRMS is that the BRO toolkit will be used at a local
level to set up the file plan. The lack of oversight and ownership is such that the contents of shared drives cannot be mapped to business areas, impacting on
the ability to store, use and protect information. See recommendations 3, 4 and 6.
5.36 Figures from December 2011 show a total of 4 terabytes (TB) stored in both
personal drives and Outlook mailboxes. Information and records stored in these is essentially invisible to DCLG centrally. Interviewees described using email as a repository for storing the information that they required to do their job and some did not use corporate solutions such as AFPs or shared drives, despite their availability, because they found it easier to retrieve information from Outlook.
5.37 DCLG needs to define and prioritise its requirements for information
management to inform the storage options available within the department. The transfer of all electronic information stored on the AFP that is over three years
old to Nearline Network Attached Storage (NAS) in October 2010 was a decision based on capacity and driven by the technology needs of the department. This is a temporary archiving solution and not a decision based on the requirements of the department for the information contained within the system. DCLG needs to assure itself that its proposed destruction does not put
its compliance with legislation at risk. **See recommendation 10**.
## Management Of Information
5.38 Current inconsistent or poor practice has an impact on the efficiency and ability
of DCLG to make evidence-based decisions. One interviewee reported difficulties accessing historical information and synthesising it to inform policy decisions. Another senior interviewee remarked that the 'department is not in a position to look back and test how good past assumptions were'. This has an impact on the ability of DCLG to deliver robust, evidence-based policy and learn from previous actions. Interviewees also expressed concern that the context of policy decisions may not be intelligible to those trying to understand it in five years time. This is due to the inconsistent capture of records and information in corporate systems. This is a particular risk at present because of the loss of knowledgeable staff and the inconsistent use of corporate systems to capture records and information.
5.39 The proliferation of digital information, particularly the size of Outlook
mailboxes, is a key priority for the CIO. However this is predominantly articulated as a capacity issue. The assessment team found little recognition that the information contained within the emails may be public records or require managing to ensure legislative compliance.
5.40 The risks relating to the proliferation of email were highlighted in The National
Archives 2007 IMA report. Since then the maximum mailbox size has been reduced from 1.5 gigabyte (GB) to 1.0 GB per individual mailbox. Outlook and personal drives are used as a repository by staff, with departmental statistics showing the number of users with mailboxes over the 1.5 GB limit rising from
134 in May 2011 to 141 by the end of the year. This is against an overall drop in total Outlook storage from 2.31 TB to 2.09 TB in the same period. The number of staff with personal drives in excess of 5GB rose from 67 to 80 in the same period.
5.41 The 1GB mailbox user limit is up to ten times that of business users in
comparable government departments. It does not encourage staff to use appropriate corporate repositories to store their digital information or to delete unnecessary or ephemeral information according to policy. As such it impedes the ability of DCLG to find, access, protect and exploit information. There is a
significant risk that DCLG will lose information and records during the restructure, as there is no compulsion for staff to move all of the business information to an appropriate corporate repository. DCLG must reduce the size limit for email in combination with a drive to enforce retention guidance and
good practice in using corporate repositories. **See recommendation 9**. 5.42 DCLG has begun to extend LiveLink EDRMS to staff with mailboxes over 2GB
in order to encourage good filing practice. The assessment team was told that some staff transfer the contents of large mailboxes in bulk to an area in the EDRMS. An automatic destruction marker of 10 years (AD 10) will be applied to senior employees' mailbox content with business areas aware that they will be responsible for keeping the records of any decisions made. DCLG needs to ensure that mechanisms are in place to ensure the capture of records and information of business value, otherwise records of historical value may be deleted, stored inappropriately or be missing vital context.
## Appraisal, Disposal And Transfer
5.43 CRMS is divided between London and Hastings. London mainly provides a
paper file creation and offsite storage, archiving and retrieval service. Hastings deals with paper file creation, electronic file plan creation, and maintaining the records catalogue. DCLG has a long-standing shared service in place for DfT and its agencies.
5.44 DCLG has a long-established system of macro review of paper records,
conducted by staff with expertise and a comprehensive set of documentation to guide and record selection decisions. The review team have for a number of
years undertaken selection review at 25 years and there is good communication of review decisions with the Information Management Consultant from The National Archives. **This is good practice**. It will help to absorb some of the capacity pressures of meeting the targets for the 20 year rule change. However, DCLG should also prioritise implementation of its action plan to ensure compliance. **See Recommendation 7.**
5.45 DCLG holds some files over 30 years old for which the Lord Chancellor's
Instrument has lapsed. The department needs to retain these in perpetuity. The DRO needs to clarify the status of these and seek advice from The National
Archives
in
order
to
ensure
that
legal
requirements
are
met.
5.46 The records review team in Hastings has begun to undertake a review of the
records currently stored on Nearline that were created by, or relate to, the Information Management function. The team notionally has responsibility for reviewing the remainder of the electronic information on the drive that is between 3 and 8 years old. However, there is no clear plan about how this will be approached and CRMS does not have the capacity to review effectively the quantity of information for selection. The assessment team was informed that the majority of information will have AD10 applied and sent to TNT with no plans to review this material again. At present DCLG cannot provide assurance that records and information of value will not be deleted.
5.47 The National Archives has previously expressed concern that this course of
action will leave DCLG in breach of the Public Records Act. DCLG need to
undertake a risk assessment to ensure that this does not impact on their
responsibilities under the PRA, DPA and FOI. **See recommendation 10**.
## Digital Continuity
5.48 DCLG does not have a digital continuity strategy. The assessment team found
evidence that the department understands the need to ensure that technology supports business need. This is a good start; however there are no formal mechanisms to ensure that information requirements are considered during technology change. Whilst it is reassuring that informal regular communication does take place between CRMS and IT, the introduction of formal processes will ensure that DCLG information management requirements are embedded
within IT change management and planning. **See recommendations 2 and 11**.
5.49 The department needs to ensure that technology change will not impact on
(and in the case of Nearline has not impacted on) its ability to use and protect its information. In order to ensure it can manage its information effectively, DCLG needs to make initial efforts to understand what information it holds, what it needs to keep and its requirements to find, access, work with,
understand and trust7 its key digital information assets. DCLG also needs to
ensure that technology change has not impacted on its ability to use and
protect its information by conducting a digital continuity risk assessment.8
DCLG needs to ensure that digital continuity requirements are built in to its IT
strategy. **See recommendation 11**.
5.50 The department is at a critical juncture and needs to develop a plan to utilise its
IAR as a comprehensive management tool. DCLG should start by defining key assets to ensure these are managed appropriately and build up its understanding incrementally over a defined period of time. The IAR should also be used to ensure that the IT re-let meets the information requirements and
business needs of the organisation.9 **See recommendation 6**.
5.51 The draft IT strategy begins to map information requirements to business
functions. The new contract will allow flexibility to adopt shared / cloud services when these become available. The DCLG IT strategy begins to consider the technical architecture and look at opportunities for standardising and simplifying the infrastructure. The department is also talking to suppliers about their
requirements as part of the IT re-let process. **This is good practice**. It allows a
discussion about the ways in which different parties would approach finding a solution to issues. It also helps to clarify any differences of interpretation at an early stage. The department needs to ensure that where multiple systems are merged and any information that is migrated retains its necessary functionality and metadata and that digital continuity best practice is built in to the
procurement.10 DCLG needs to ensure that migration strategies, interoperability and impact assessments on the usability and availability of information are part of the process.
## Access To Information Freedom Of Information (Foi) / Data Protection Act (Dpa)
5.52 The latest FOI statistics for DCLG (Q3 2011) demonstrates that 92 per cent of
responses were within time, including extensions. Encouragingly, departmental policy makes it clear that all staff have responsibility for FOI.
5.53 DCLG is confident that the restructure has not yet affected the departments'
FOI capability. However, the loss of staff, use of multiple repositories and an
absence of knowledge capture processes will make retrieval of information for FOI more difficult or time consuming. The recommendations in this report will support DCLG to preserve its high response rate through the ability to find, access and trust the information that it holds.
5.54 Clear policy and guidance relating to the appropriate use of exemptions needs
to be defined by the head of the Knowledge and Information Access unit.
5.55 A number of projects were unclear about the assignment arrangements for
crown copyright material transferring to non-crown bodies.
## Re-Use
5.56 DCLG has recognised the potential to remove technical barriers and improve
collaboration through the IT re-let. Currently, staff encounter difficulties sharing
information between different areas of shared drives, or between shared drives and AFPs. The inability to search or access information stored in other divisions or business areas is such that interviewees reported that the sharing and re-use of information is rare. This results in the duplication of effort and siloed working practices. One interviewee stated 'there's a wealth of knowledge
and experience in DCLG but it's inaccessible. Someone must have done things
before.' Collaboration requirements will be built in to the IT re-let. To support this, sharing requirements should be recorded against information assets on the IAR to ensure that these are considered through the requirements development process.
## Transparency
5.57 Increasing transparency is a strategic priority for the department. DCLG
publishes 789 datasets on data.gov.uk and publish more information about pay
than the minimum requirements. **This is good practice**. Action taken to
address the recommendations in this report will also further support the department's compliance with the reuse of public sector information, through supporting DCLG to identify the information that it holds and mapping this to an IAR.
## Security
5.58 DCLG is not managing information security risks effectively. Access
permissions are not controlled effectively on AFPs or shared drives. DCLG has no formal capability to apply access permissions on shared drives. Processes are in place to remove permissions from AFP but are not always applied leaving staff with the capability to continue to access, modify and delete information inappropriately. This poses a risk to the integrity of the departments' digital information. Human resources inform IT when staff change jobs or leave the department. However the vast majority of interviewees had never had permissions reviewed or revoked when they had changed role. This is the responsibility of the line manager to action but there is no imperative to ensure that this is done.
5.59 Staff are able to use unencrypted removable media, with the risk that files or
information could be inappropriately downloaded from or uploaded to corporate systems. AFPs and shared drives do not have an audit trail so it is not possible to tell who has accessed or modified information, or whether information has been downloaded. This presents a security risk. Personal and sensitive information could be downloaded without the ability of the organisation to trace this. 5.60 The assessment team understands that DCLG has carried out a risk
assessment that concluded current arrangements fall within the department's risk appetite. However, this report recommends that security requirements must be addressed in the IT re-let exercise, with careful consideration given to ability to monitor, apply and revoke access permissions. BROs could perform this task
however there must be a policy and process that is followed to ensure that this is done. **See recommendations 4, 12 and 13**.
## Compliance Staff Responsibilities And Delegations
5.61 DCLG lacks a coherent mechanism to promote, monitor and support
information management. At the time of assessment, the majority of business areas had IT Focal Points. These act as a conduit to liaise with Steria regarding changes to the file plan or permissions. IT Focal Points have assumed more prominence in the department than BROs. The BRO role was originally intended as the vehicle for oversight and management of information within
divisions. The role remains referenced as such in policy documentation. Key expectations on BROs include the requirement to administer and control divisional file plans and encourage compliance with records management policy. However, at present, an effective network does not exist in practice. Alternative solutions have not been put in place and guidance has not been updated.
5.62 Divisions currently exert almost complete autonomy over information
management practice. The assessment team understand that there are plans to re-launch the BRO role with an email from the SIRO in August 2012. This is an excellent opportunity for DCLG to embed clearly articulated priorities for information management throughout the department. To be most effective, the re-launch requires a structured roll-out with BRO responsibilities clearly defined and supporting corporate information management priorities. CRMS need to ensure new BROs are trained and are equipped to develop What to Keep
schedules within their division in conjunction with CRMS. They should monitor retention and destruction, as well as compliance with corporate information
management policy. **See recommendation 13**. 5.63 DCLG needs to review and revise the responsibilities for the BRO role
according to the corporate requirements for information management in the department. As a minimum, the BRO must be fully equipped with the time to carry out their responsibilities and with the access permissions necessary to perform the role. Training, access to guidance and a consistent understanding about what DCLG needs to keep, how and why is also required. BROs need to have responsibility for monitoring compliance with policy. They should also continue the responsibility to maintain a Contents Page for each first level
folder, including a description of the information and retention period. This knowledge should be utilised by liaising with the Divisional IAO when completing returns for the IAR. In order to ensure the longevity and success of the role, DCLG should establish an active network with regular meetings to discuss and share ideas and initiatives. A space on the intranet (or another suitable location) to make standard resources available would also be of benefit.11 **See recommendation 13**.
5.64 DCLG needs to ensure that non compliance with corporate policy is monitored
and issues escalated where appropriate. DCLG also needs to delegate
responsibility for this at an appropriate level. After defining its corporate priorities, DCLG should assess whether this responsibility is most appropriate for the IAO or BRO. DCLG must ensure that this is monitored by senior management. Department for Transport has a network of BROs in place throughout the organisation and other departments such as Ministry of Justice are working to re-establish their own networks. These may be able to provide
advice and lessons learned to support the set up of an effective network. See recommendations 4 and 13.
## Policies And Guidance
5.65 At the time of assessment, the Records management policy, Appraisal policy,
Electronic filing policy and Paper filing policy were in a draft form. The Retention and Deletion policy has Board approval. The policies reviewed by the team are comprehensive and recognise the importance of their application and
obligations of the department. However, the assessment team were not able to confirm that these policies or their antecedents are used. The interviews were unable to verify how they inform priorities and guidance. None had corresponding implementation plans. For example, while the assessment team understands that retention schedules have been developed with Divisions, there was little evidence that they were being actively used to inform retention and deletion.
5.66 The draft Records management policy (referred to above) needs to ensure that
DCLG is meeting minimum statutory requirements and is accompanied by an implementation plan to define the key activities. This must be developed once
DCLG has defined its information management priorities within the business and defined what the priority attention areas are for the CRMS function. The policy does not currently mention the BRO role or other support structures. In order to increase buy-in and support from DCLG senior management, CRMS should ensure that this policy details the ways in which information management supports the aims and priorities of the organisation, and document how it will achieve these aims and with what resource. 5.67 Information management guidance is available on the intranet. However, the
majority of interviewees were unaware of, or had never used, this resource. Of those who were aware of the guidance, the majority felt that the guidance was not as useful as they required, and 'not easy to search' because of poor intranet search functionality. 5.68 The information management guidance seen by the assessment team covers
the fundamental principles of information management. The IT re-fresh makes the production of a whole suite of guidance untenable, as much of it will change with the introduction of a new technology system. However, the CRMS could begin to embed good practice and drive key changes through the production of a clear set of short pieces of guidance promoting basic responsibilities to be applied in the interim. This should reflect the corporate priorities set out for
information management. **See recommendation 5**. 5.69 To reduce the burden on CRMS, the department should promote the sharing of
good practice and lessons learned. In an example of good practice a BRO reported that they have re-written guidance for their division, making it simple and easy to follow. CRMS should consider ways to facilitate the sharing of this guidance amongst BROs and other staff.
## Training
5.70 The lack of formal training in DCLG constrains the ability of the department to
make improvements in its information management capability. Other than completing the mandatory Cabinet Office Data Handling e-learning package,
the overwhelming majority of interviewees reported having not had any formal training in the previous 3 years. The assessment team was told that 'it is not obvious what training or support is available'. One interviewee described having to 'fight' to get training for their team to help them to understand their basic information management responsibilities. Induction and refresher training will help to raise the capability of staff and the profile and benefits good information management.
5.71 Pockets of good practice exist with some BROs taking the initiative to provide
training in their Division, including one BRO who had created a presentation for
about how information should be stored and managed on the AFP. CRMS can utilise this to support their own role by ensuring that mechanisms are in place
to share good quality resources and good practice. **See recommendation 13**.
## Change Management
5.72 The assessment team is not confident that DCLG has fully considered the
impact of staff loss and restructuring on the ability of the department to manage its records and information through the current period of significant change. Adequate mitigating actions are not in place.
5.73 Because of the large volumes of information stored outside corporate oversight
and control, there is a significant risk that re-structuring and reductions in
staffing numbers will result in contextual information being lost. This will impair
the ability of the department to account for its actions or understand information or records that it has created. There is no assurance that individuals who leave will store information that has corporate value in corporate systems. No processes or monitoring are in place to mitigate this risk. The corporate repositories themselves are not controlled so key information may subsequently be lost. This places DCLG at serious risk of not being able to manage, protect and retrieve information that it has a duty to manage under the Public Records Act, FOI and DPA legislation. 5.74 The IT re-let is managed by IT. The development of a map of the enterprise
architecture is part of the draft IT strategy. It is tied in to the IT re-let and maps business areas to technology. It is yet to define the information flow and information requirements, although these are planned to form part of this at a
later stage. This is a good start but it will come too late to mitigate the risks associated with the restructuring. At present, IT have not mapped the information and owners to drives, making it very hard to assess the impact of any changes. There has been informal collaboration with the CRMS. DCLG needs to ensure that information management requirements are recorded and used to test the suitability of any technology solution. CRMS and IT must develop formal structures of communication to ensure that DCLG is effectively assuring its ability to use its key information assets over technology change.
See recommendation 11.
5.75 The department needs to ensure that the behavioural elements of the
technology change are managed in order to ensure its success. A significant number of interviewees reported that they did not feel engaged or suitably informed about the changes taking place within the department. Technology change necessitates a change in working practices and DCLG need to ensure that staff feel engaged and informed about the impact and benefits of technology change. The perception that the department is committed and prioritising records and information from the top will also be vital to drive good practice and compliance, but needs to go hand-in-hand with monitoring of compliance and adherence to new working practices. Clearly defined ownership for the behavioural change needs to accompany the technology
change. **See recommendation 14**.
5.76 DCLG is managing some changes well where threats are recognised, such as
the proactive approach taken to ingest of ALB and Government Office Network
(GON) paper files. Large projects have been set up to take in and quality assure an estimated 750 paper files relating to ERDF from each of the five remaining GON. There are currently plans to register all ex-GON files once the ERDF files have been completed as these have taken priority. In addition DCLG has managed the migration of 2.5 million files from one off site storage contractor to another, without impacting on its service to users.
## Culture Commitment
5.77 The focus of the last year for DCLG was the departmental restructuring. The
assessment team found little evidence of corporate commitment to good information management within this, either as a component of the change programme
or
as
business
as
usual within
the
department.
The
recommendations made in the IMA report in 2007 have largely been left in abeyance, awaiting the introduction of a system for managing its electronic
records. If DCLG does not take immediate action, the complexity and cost of resolving these issues will continue to increase.
5.78 DCLG must assess the impact of this and communicate the benefits of good
information management to all staff, including their responsibilities under the Civil Service Code and the benefits to the individual and the department of
following section 46 good practice.12
## Staff Understanding
5.79 Staff understanding about their information management responsibilities is
inconsistent. The assessment team is not assured that the majority of interviewees understand that the information they create is a corporate resource. Information that is created by individuals tends to be kept interminably 'just in case' the creator requires it at a later stage. The
assessment team found no evidence that understanding and application of retention at a local level is pervasive and little recognition that information should be retained for a pre-determined period of time.
5.80 Pockets of good practice do exist. However, the majority of interviewees did not
have regular contact with the corporate records management function. They were uncertain about where they could find guidance, support and advice about how to manage records and information in their business area. This gives
effective autonomy to Divisions. The information assurance and risk management strategy recognises that 'there is much guidance available on the intranet to describe CLGs policies and process for handling information;
however, some staff are unaware of the content, or complacent to the seriousness of the risk.' Staff understanding about their responsibilities must be reiterated as part of DCLGs desire to 'consistently get the basics right'. See recommendations 2 and 4.
## Knowledge Management/Transfer
5.81 DCLG has not defined what it means by knowledge. As highlighted above,
DCLG's requirements for a knowledge strategy establishes cogent sensible principles and recognises that culture and IT impact on the ability of the organisation to manage knowledge. However the specific objectives, milestones and timescales of the strategy need to be updated.
5.82 The loss of staff and subsequent loss of knowledge and understanding about
records will impact on the ability of DCLG to manage, protect and use its information. The Change Management section details the assessment team's findings about knowledge capture. Business areas throughout DCLG operate as silos, with interviewees rarely reporting the need to collaborate, share ideas or refer to information created before the current administration. Available technology isn't conducive to collaboration, which DCLG recognises. However,
there has been little attempt made to break down cultural barriers between
business areas or divisions or promote a corporate identity. The CIO and SIRO need to assume responsibility for promoting records and information as a vital corporate resource, driving this change and leading from the top. DCLG may also benefit from considering approaches being developed by other
departments such as the Ministry of Justice. **See recommendations 1 and 15**. 5.83 The Library team has developed its own knowledge capture process and the
planning team run a programme of 'apprenticeships'. **This is good practice.** It
encourages staff to shadow other people in order to deepen their knowledge. This is done all year round, not just when individuals are leaving.
## Appendix One: Glossary
| AFP | Approved FilePlan |
|-----------------------------------------------------|-------------------------------------------------|
| ALB | Arm's Length Bodies |
| BRO | |
| Business Records Officer | |
| | |
| CIO | Chief Information Officer |
| CRMS | Corporate Records Management Service |
| DfT | |
| Department for Transport | |
| | |
| DCLG | Department for Communities and Local Government |
| DPA | Data Protection Act |
| EDRMS Electronic Document Records Management System | |
| ERDF | European Regional Development Fund |
| FOI | Freedom of Information |
| GB | Gigabyte |
| GON | Government Office Network |
| GPMS | Government Protective Marking Scheme |
| IA | Information Assurance |
| IAMM | Information Assurance Maturity Model |
| IAO | Information Asset Owner |
| IAR | Information Asset Register |
IMA
Information Management Assessment
IT
Information Technology
KIM
Knowledge and Information Management
LCI
Lord Chancellor's Instrument
NAS
Network Attached Storage
PRA
Public Records Act
Section
Lord Chancellor's Code of Practice on the management of records
issued under section 46 of the Freedom of Information Act 2000
46
SIRO
Senior Information Risk Owner
TB
Terabyte
## Appendix Two: The Assessment Team
The assessment was conducted by members of the Standards Department and specialist colleagues from The National Archives, 12–19 March 2012. The assessment team comprised:
Head of Standards Standards and Information Policy Manager
Standards and Assessment Manager Standards Adviser Head of Information Management and Practice Information Management Consultants Digital Preservation Advice Service Manager The National Archives CEO (Observer) Director of Information Policy and Services (Observer)
## Assistance Provided By Dclg:
The Assessment team are grateful for the cooperation and assistance of all staff at DCLG who were interviewed, provided additional information or facilitated the assessment process. Our particular thanks are extended to David Smith, Jason King and David Double for their organisation and hospitality. | en |
4060-pdf | PLANNING COMMITTEE:
4th July 2017
DIRECTORATE:
Regeneration, Enterprise and Planning HEAD OF PLANNING:
Peter Baguley APPLICATION REF:
N/2017/0449
15 Kelmscott Close LOCATION:
| DESCRIPTION: | Single storey bungalow extension | |
|-----------------|------------------------------------|-------------|
| WARD: | Talavera Ward | |
| APPLICANT: | Northampton Partnership Homes | |
| AGENT: | N/A | |
| REFERRED BY: | Head of Planning | |
| REASON: | Council owned land | |
| | | |
| DEPARTURE: | No | |
## Application For Determination: 1. Recommendation
1.1
APPROVAL subject to the conditions as set out below and for the following reason:
The proposed development due to its siting, design and scale would not result in any adverse impact on the character of the existing dwelling and wider area or adjacent residential amenity. The proposed development would accord with the Policies H18 and E20 of the Northampton Local Plan, Policy S10 of the West Northamptonshire Joint Core strategy, the Council's Residential Extensions and Alterations Design Guide and the aims and objectives of National Planning Policy Framework.
## 2. The Proposal
2.1
The application seeks planning permission for a single storey side extension to the existing bungalow to provide two additional bedrooms and allow for a re-organisation of the internal layout of the existing bungalow. The extension would be 5.05m deep and 8.66m wide with an eaves height of 2.6m and 5m to the ridgeline.
2.2
The proposed roof would sit level with the existing ridgeline and would follow the design and shape of the existing roof.
2.3
The proposal would result in small alterations to the front elevation as the existing door would be bricked up and a new door introduced in the proposed extension.
## 3. Site Description
3.1
The application site consists of an end of terrace bungalow, owned by Northampton Borough Council, which is located in the corner of a cul-de-sac with similar bungalows. The bungalow backs onto Lings Wood, which is a public open space.
3.2
The properties to the rear of the application site are two-storey dwellings and have blank elevations overlooking the application site.
3.3
The local area is predominantly residential and the majority of dwellings on this part of the estate comprise of bungalows. The application site is located within a cul-desac which is designed to have pedestrian access and wheel chair access to most of the properties. The cul-de-sac has common parking to the front with four parking spaces.
## 4. Planning History
4.1
None.
## 5. Planning Policy 5.1 Statutory Duty
Section 38(6) of the Planning and Compulsory Purchase Act 2004 requires a planning application to be determined in accordance with the Development Plan unless material planning considerations indicate otherwise. The Development Plan for the purposes of this application comprises the adopted West Northamptonshire Joint Core Strategy (2014), Northampton Local Plan (1997) saved policies, and emerging Neighbourhood Development Plans.
## 5.2 National Policies
The National Planning Policy Framework (NPPF) sets out the current aims and objectives for the planning system and how these should be applied. In delivering sustainable development, decisions should have regard to the mutually dependent social, economic and environmental roles of the planning system. The NPPF should be read as one complete document. However, the following sections are of particular relevance to this application:
Section 7 - Requiring Good Design.
## 5.3 West Northamptonshire Joint Core Strategy (2014)
The West Northamptonshire Joint Core Strategy (JCS) provides an up to date evidence base and considers the current Government requirements for plan making as it has been prepared in full conformity with the NPPF. Policies of particular relevance are: Policy S10 - Sustainable Development Principles - development will achieve the highest standards of sustainable design, incorporating safety and security considerations and a strong sense of place.
## 5.4 Northampton Local Plan 1997 (Saved Policies)
Due to the age of the plan, the amount of weight that can be attributed to the aims and objectives of this document are diminished, however, the following policies are material to this application:
E20 - allows for new development providing that the design reflects the character of its surroundings in terms of layout, siting, form, scale & appropriate use of materials and that the proposal is designed and located to ensure adequate standards of privacy, daylight and sunlight. H18 - allows for house extensions provided design is acceptably in keeping with character and appearance of the host dwelling; and having regard to the effect upon adjoining properties.
## 5.5 Supplementary Planning Documents
Northamptonshire Parking Standards (September 2016) Residential Extensions and Alterations Design Guide
## 5.6 Other Material Considerations Growing Together Neighbourhood Plan
The Growing Together Neighbourhood Plan (Covering Blackthorn, Goldings, Lings and Lumbertubs) was made in April 2017, and now forms part of the development plan for Northampton. Policy DES1 - High Quality Design aims to ensure that the development proposals are designed in a manner that contributes towards the enhancement of the local area, and the creation of a neighbourhood, which is attractive and functional as well as safe and secure.
## 6. Consultations/ Representations 6.1 Ward Councillors
No comments received.
6.2
6 Neighbour representations have been received the concerns of which are summarised as follows:
Impact on parking in the cul-de-sac, as there is an existing pressure on the communal 4-5 spaces serving 8-10 bungalows.
Construction noise and related activities
Parking of construction vehicles.
Access to emergency vehicles during construction phase.
The proposed extension suggests occupation by a family, which is inappropriate as the local area is made up of retired and elderly people.
## 7. Appraisal
7.1
The two main issues to be considered would be impact on the character of the original house and local area and the impact on the residential amenity of the neighbouring properties.
## Design And Appearance
7.2
The proposed extension, to the side of the bungalow, would extend the existing gable continuing the existing roofline and be of a scale and form in keeping with the existing bungalow. The extension would increase the footprint of the original dwelling but, owing to the size of the application site with a large side/rear garden, it is not considered that the proposal would lead to overdevelopment of the site.
7.3
The proposed extension would be largely screened by the existing bungalow and, as the application property is located towards the corner of a cul-de-sac, the development would not be widely visible in the streetscene. The surrounding area has similar house patterns and it is considered that the design of the proposed extension would integrate with the existing dwelling and have a neutral impact on the character of the original building and wider area. A condition requiring materials to match the existing dwelling is recommended to ensure a satisfactory external appearance.
7.4
It is considered that the proposed development would accord with advice contained within the Council's Residential Extensions and Alterations Design Guide and saved policies E20 and H18 of the Northampton Local Plan, Policy S10 of West Northamptonshire Joint Core Strategy and the advice contained within National Planning Policy Framework.
## Impact On The Residential Amenity
7.5
The proposed extension would be located to the side of the application property and situated away from the neighbouring property, No.16 Kelmscott Close, being only marginally visible from this neighbouring rear garden. Due to the location, and siting of the proposed extension it is not considered that the proposal would lead to any undue overbearing or adverse visual impact on this neighbouring property.
7.6
No.14 Kelmscott Close, is situated adjacent to the side garden of the application site. The proposed extension would be widely visible from the rear garden of No.14, however, the proposal would retain an appropriate separation distance from this neighbouring property and would not lead to any unacceptable impacts in terms of overshadowing or overlooking.
## Highway Safety
7.7
The proposed development would result in a 4-bedroom dwelling, which would require three on-site parking spaces as per the Northamptonshire Parking standards.
7.8
There is no existing on-site parking provision for the bungalow and none of the surrounding properties have dedicated parking spaces. Dwellings within the cul-desac are served by a communal parking spaces to the front of the properties. Moreover, the local area has no on-street parking restrictions.
7.9
It is considered that the proposed development would have a neutral impact on highway safety and that a refusal on highway grounds could not be upheld.
## Other Matters
7.10
Representations received from the local residents have not objected on the principle of the development, however concerns have been raised about the activities related
to construction in terms of construction noise, traffic and parking for construction vehicles.
7.11
Advice contained in the NPPF states that local planning authorities should consider whether otherwise unacceptable development could be made acceptable through the use of conditions. Paragraph 206 of the NPPF states "planning conditions should only be imposed where they are necessary, relevant to planning and; to the development to be permitted, enforceable, precise and reasonable in all other respects".
7.12
It is acknowledged that the construction may result in some disturbance to the local residents, however the scale of the proposed development is not large and the build period is unlikely to be of any great length. It is therefore considered that requesting a construction management plan would be overly onerous and unreasonable in relation to the scale of development proposed.
7.13
The potential occupancy of the property is not a planning consideration.
## 8. Conclusion
8.1
It is considered that the proposed development for single storey side extension is of a
scale and design appropriate to the main dwelling and surrounding area and would not lead to any undue impact on the residential amenity of the neighbouring
properties or highway conditions. The proposal would be in accordance with Policies
S10 of the West Northamptonshire Joint Core Strategy, Policies H18 and E20 of the Northampton Local Plan, the Council's Residential Extensions and Alterations Design
Guide Supplementary Planning Document and advice given within the National
Planning Policy Framework.
8.2
The application is therefore recommended for approval subject to conditions.
## 9. Conditions
1. The development hereby permitted shall be begun before the expiration of three
years from the date of this permission.
Reason: To comply with Section 91 of the Town and Country Planning Act 1990.
2. The development hereby permitted shall be carried out in accordance with the
following approved plans: Location Plan, KSC-PL-001, KSC-PL-003 Proposed Plans & Elevations.
Reason: For the avoidance of doubt and to accord with the terms of the planning application.
3. The external walls and roof of the extension shall be constructed with materials of the
same type, texture and colour as the external walls and roof of the existing building.
Reason: In the interests of visual amenity to ensure that the extension harmonises with the existing building in accordance with Policy E20 of the Northampton Local Plan.
## 10. Background Papers
10.1
N/2017/0449
## 11. Legal Implications
11.1
The development is not CIL liable.
## 12. Summary And Links To Corporate Plan
12.1
In reaching the attached recommendations regard has been given to securing the objectives, visions and priorities outlined in the Corporate Plan together with those of associated Frameworks and Strategies. | en |
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2591-pdf | # China And Conflict-Affected States Between Principle And Pragmatism
nepal The Nepal case study is excerpted from a full-length report published by Saferworld that focuses upon China's role in three conflict-affected contexts: Sri Lanka, Nepal and South Sudan - Sudan.
## Acknowledgements
The case study was researched and written for Saferworld by Ivan Campbell. We are grateful for advice and feedback from the Saferworld country team in Nepal. For their time and comments, special thanks also go to Nishchal Pandey and Martin Stuerzinger. The report was copy-edited by Deepthi Wickremasinghe and designed by Jane Stevenson. Saferworld is grateful to the United Kingdom Department for International Development for providing financial support for this project. © Saferworld January 2012. All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means electronic, mechanical, photocopying, recording or otherwise, without full attribution. Saferworld welcomes and encourage the utilisation and dissemination of the material included in this publication.
## Acronyms: Nepal
NGO
Non-governmental organisation
APECF
Asia Pacific Exchange and Cooperation
Foundation
NR
Nepal Rupees
BRICS
Brazil, Russia, India, China and South Africa
PLA
People's Liberation Army
BSOS
Building Stability Overseas Strategy
RMB
Renminbi
CoAS
Chief of Army Staff
CPA
Comprehensive Peace Agreement
SAARC
South Asian Association for Regional
Cooperation
CPC
Communist Party of China
TAR
Tibetan Autonomous Region
UCPN-M
United Communist Party of Nepal-Maoist
CPN-UML
Communist Party of Nepal-Unified Marxist
Leninist
UK
United Kingdom
CSC
China Study Centre
DFID
UK Department for International Development
UNIDO
United Nations Industrial Development
Organization
GoN
Government of Nepal
UNMIN
United Nations Mission in Nepal
ICG
International Crisis Group
US
United States
INGO
International non-governmental organisation
## Nepal Case Study 4.1 Introduction
this case study examines China's involvement in Nepal. Nepal suffered from a decade-long war that ended in 2006. Since the end of the war China has significantly increased its engagement in the country through a variety of means. At the same time there has been considerable international investment in post-conflict peacebuilding and development. However, Nepal continues to experience political instability and low-level insecurity, so building peace and stability remains a priority. The aim of the research was to test the hypothesis that China's increasing engagement will have a significant effect on peace and stability in Nepal, and to consider what the implications are for policy actors in China, as well as in the West. It explores how China's engagement in Nepal may affect identified conflict drivers and dynamics, both directly and indirectly. This is considered in the context of wider regional and inter national relations, with particular reference to the role of India. The case study presents the findings of research and analysis conducted by Saferworld between April and October 2011. The in-country research took the form of interviews with a range of stakeholders in Kathmandu in May 2011. Interviewees included Nepali politicians, current and former diplomats, military officials, business people, journalists
and non-governmental organisations (NGOs). Interviews were also conducted in Nepal
with foreign embassy officials, representatives of multilateral agencies, international NGOs (INGOs) and think tanks. Interviews were complemented by desk-based information-gathering and literature review. The case study is structured in seven sections. The Background provides a brief over view of the current context, including an assessment of conflict drivers and regional dynamics. This is followed by an examination of the extent and nature of China's involvement in Nepal, looking at a broad spectrum of engagement including economic,
military and diplomatic. There is then an analysis of the mix of foreign policy principles
and context-specific interests that motivate China's engagement. The role of other major international players in Nepal, notably India, is also considered. Based on this, the study explores the impact that China's increasing engagement is likely to have upon conflict issues in Nepal; both directly and as it may affect the engagement of other actors. The case study concludes with options for policy makers to respond proactively to China's growing role in Nepal.
## 4.2 Background Post-War Nepal
Nepal is a small country wedged between the rising powers of China and India. It was ruled as an absolute monarchy until 1990, when it became a parliamentary democracy with the monarch as head of state. In 1996 the United Communist Party of Nepal- Maoist (UCPN-M, hereafter referred to as 'the Maoists') launched a 'People's War'
, fuelled by a widespread feeling of marginalisation among the rural population, which sought to replace the monarch with a communist regime. The decade of violent conflict
that followed claimed the lives of between 13,000 and 17,000 Nepalis and displaced over 70,000. The war ended in 2006 with the signing of the Comprehensive Peace Agreement (CPA) between the Maoists and the main political parties. The 2008 elections resulted in an overwhelming victory for the Maoists, who won a majority of parliamentary seats. The leader of the Maoist insurgency, Prachanda, was appointed Prime Minister and in the same year Nepal declared itself a Republic and started drafting a new Constitution.
Despite the signing of a peace agreement between the main political actors, sustainable peace has yet to be established in Nepal and insecurity and political instability persist. Prachanda was in power for less than a year, followed by a lengthy period of institu tional paralysis under an unwieldy 22-party coalition. There were then seven months of political deadlock when no party was able to attain majority support and there were 16 unsuccessful votes to elect a Prime Minister. This stalemate was finally broken in February 2011 when a compromise between the Maoists and the Communist Party of Nepal-Unified Marxist Leninist (CPN-UML) paved the way for a coalition govern ment. But this government in turn collapsed in August 2011 when the CPN-UML Prime Minster resigned, leading to the formation of a new government under a Maoist Prime Minister, Baburam Bhattarai. When one considers the scale of change aspired to in Nepal, such political instability is not surprising. During the past five years, the country has been undergoing a profound shift as it seeks to transform itself from a Hindu monarchy to a secular, multi-party republic. There have been a number of stumbling blocks in this process and occasional outbreaks of violence, but there have also been significant achievements. These include bringing the leaders of the Maoist insurgency into Nepal's political system and holding elections that have been conducted relatively freely and peacefully.
The integration of Maoist combatants into the national army - one of the key commit ments in the CPA - has been more problematic. The role and composition of the Nepalese Army is a highly contentious issue and there has been intense and protracted debate over how many Maoists would be integrated into the Nepalese Army. Some Maoists originally wanted all of the estimated 19,000 former combatants integrated, while other parties felt this was far too many. In November 2011 there was an apparent breakthrough with a cross-party agreement that about one-third of the combatants would be integrated into the security forces, with the remainder receiving a pay-off and returning to civilian life. The other key CPA commitment is to draft a new constitution. This too has proved a contentious and protracted process, especially because of the implications of the proposed federal structure. As Nepal's political parties wrestle for control of the government, progress on these two key provisions of the CPA has largely stalled. As a consequence, it has not yet been possible to lay solid foundations for sustainable peace and development in Nepal. The country has effectively been in a transition process since 2006, and there is a fear that it may be stuck in an "endless transition period"
, during which it will remain vulnerable to the return of widespread violent conflict.1
## Conflict Issues
In addition to the legacy of the ten-year war and chronic political instability, there are a
number of other factors that fuel insecurity and compound the sense of Nepal's fragility.
Poverty is the most pervasive factor since Nepal is one of the poorest countries in the world. Over half of its 30 million people live on less than US$1.25 a day, and much of the adult population is unemployed.2 Nepal also ranks very low relative to other countries in terms of human development indicators, such as life expectancy and literacy.3 The recent history of violence and instability has undermined the economy, with Western businesses apprehensive about ongoing political instability and reluctant to invest.4 High levels of corruption are a further disincentive, with Nepal ranked 146 out of 178 countries in the 2010 Corruption Perception Index.5 Nepali society is characterised by multiple identities. It is an extremely diverse country
in terms of ethnicity, culture and language, with over 100 different ethnic groups.6 Added to this is the entrenched hierarchy of the caste system. High rates of inequality co-exist with the high level of poverty, and are linked to geographic region, gender, caste and ethnicity. These inequalities were one of the root causes of the formation and success of the Maoist insurgency and they continue to provoke low-level conflict across Nepal. As noted in a previous Saferworld conflict analysis, since the end of the war there has been an increasing focus on the reasons behind political and economic exclusion in Nepal.7 Some suggest that conflict drivers are now identity-based rather than ideological as diverse groups claim equal representation and access to resources from the state; although others question whether conflict in Nepal was ever really driven by ideology.8
The most evident regional cleavage in Nepal is between the Madhes people of the Terai - the lowlands that span the southern border with India - and the 'hill people' of Kathmandu and the middle swathe of the country. The Terai region is home to almost half of the country's population, with the Madhesi predominant.9 They seek autonomy for their region in reaction to perceived marginalisation from state institutions and domination by the 'hill people'
. This gives added significance to the new constitution and the question of how a federal structure will address Madhesi grievances and aspirations. Inter-communal tensions in the Terai have increased in recent years, and regularly spill over into violence. A number of armed groups have emerged to promote the Madhesi cause - although the line between political and criminal violence is often blurred.10 The Madhesi communities are culturally and ethnically close to peoples of northern India, leading to suspicions that Hindu radicals may be fomenting violence in the Terai.11 In terms of international profile and attention, the identity issue most associated with Nepal is that of the Tibetan people. After the Chinese annexation of Tibet in 1951, Nepal
became a haven for Tibetans who refused to accept Chinese occupation. In recent decades a stream of Tibetan asylum-seekers has crossed the Himalayan mountain range to escape perceived persecution and has sought refuge in Nepal. There are currently between 20,000 and 25,000 Tibetans living in the country. They have a cultural and religious affinity with the people of Nepal and are generally well assimilated into the local population. Nepal also plays a key role as a transit point for asylum-seekers on their way to Dharamsala in India and beyond.
## Regional Dynamics
Nepal's role as a bridge between China and India for Tibetan refugees highlights the country's strategic location between its two giant neighbours. The political and security
situation within Nepal cannot be understood without reference to the relationship between India and China. There is an oft-quoted metaphor attributed to an 18th Century Nepali king that describes Nepal as "a delicate yam between two boulders"
.12
This aptly describes the country's potentially vulnerable position between the two great regional, and increasingly global, powers of India and China. Given Nepal's size and land-locked location, the fact that its powerful neighbours have a major interest in its affairs - potentially squeezing it between them - is no great surprise. However, the country also has geostrategic significance as a buffer between the
two main power-brokers in the region. For India, the Himalayan mountains represent the principal land barrier between China and the resource-rich Ganges plain.13 After the Chinese occupation of Tibet, Nepal became the main Himalayan buffer-state for India. Thus New Delhi has long regarded Nepal as an integral part of India's sphere of influence, and developments in Nepal are seen as closely linked to India's own security.
Indian policy towards Nepal has focused on forging strong links in the security, political and economic arenas. This 'special relationship' was enshrined in the 1950 'Treaty of Peace and Friendship' between the two countries. This granted Nepal a range of preferential economic agreements with India in return for New Delhi achieving its security objectives, including control over Nepali arms acquisitions.14 The Treaty also granted nationals of both countries reciprocal rights with regard to residence, property and trade. Today people and goods are able to flow relatively freely across the India- Nepal border, and generations of the Nepali elite have been educated in India.15 These connections have sustained the close historical links between the people of India and Nepal, based on a shared religion, as well as ethnic, linguistic and cultural affinity. Despite the predominant role played by India, China too has a long history of engage ment with Nepal. It has been providing some degree of economic aid to Nepal since the 1950s, and in 1960 Beijing and Kathmandu signed their own 'Treaty of Peace and Friendship'
. For the most part Beijing appears to have accepted that Nepal is within India's sphere of influence and has respected New Delhi's primacy. However, when tensions between the two regional powers came to the fore in the Sino-Indian war of 1962, Nepal was caught in the middle. China presented itself as a benevolent power in contrast to the superior attitude of India towards its smaller neighbours. Beijing subsequently supported Kathmandu in disputes with New Delhi on trade issues, using propaganda in Nepal to fuel nationalist feeling and anti-India sentiments.16 The limitations of China's ability to support Nepal were exposed in 1988 when the Nepali king signed an agreement for the supply of anti-aircraft guns from Beijing. This provoked a fierce response from New Delhi, which imposed an economic blockade on Nepal from 1989 to 1990 and closed down most of the transit points on the border, with devastating consequences for Nepal's economy. This highlighted the link between India's security interests and its economic relations with Nepal, as well as demonstrating that China was not then in a position to supplant India from its dominant role *vis-à-vis*
Nepal. The above episode also illustrates Kathmandu's limited room for manoeuvre in design ing its foreign policy. It realised it could not afford to antagonise New Delhi by too close a friendship with Beijing, but equally to go too far the other way could jeopardise its relations with China. Hence Nepal's foreign policy has been characterised by the attempt to balance its association with both sides. As long as India and China are locked in competition to extend their power and influence in South Asia, Kathmandu will have to tread carefully. Thus the geopolitical competition between India and China and its implications for regional security loom over Nepal. From this summary of the post-conflict context, current conflict issues and the wider regional dynamics, it is clear that peace in Nepal cannot yet be considered as secure and sustainable. Since the end of the war in 2006, there has been considerable progress in certain areas of political development, but some key issues remain unresolved. As a consequence, the conditions for a return to violent conflict remain. It is against this backdrop that we next consider the nature and extent of China's engagement in Nepal.
## 4.3 China'S Engagement In Nepal
China has significantly increased its engagement in Nepal since the signing of the CPA in 2006, with a particularly marked increase in 2011. China's engagement in Nepal takes a variety of forms: economic investment, trade, aid, infrastructural development, military assistance, diplomatic exchanges, as well as cultural and educational initiatives.
Economic
As one would expect given its history, India is the most significant external economic actor in Nepal; however, China is rapidly increasing the level of its engagement. Historically India has been the top investor in Nepal, followed by the United States (US)
and China. In 2009 India contributed about 38 percent of total foreign investment in Nepal, while China's share was around 11 percent.17 However, there are a growing number of Chinese companies seeking to do business in Nepal, evidenced by the fact that in the past two years the number of Chinese investors registering to set up new joint ventures has outstripped the number of new Indian investors.18 In terms of trade, India is Nepal's main trading partner and accounted for just over half of all of Nepal's trade in 2010.19 However, in April 2009 a Memorandum of Under standing was signed between the governments of China and Nepal in order to promote bilateral trade and investment in areas of mutual interest. Trade relations between the two countries have grown fast since then, with China's share increasing from 11 percent of all trade with Nepal in 200920 to 19.4 percent in 2010.21 Chinese products are now ubiquitous throughout Nepal, and are generally regarded by Nepalis as being cheap, but of good quality, in contrast to their Indian equivalents.22 China has also dramatically increased its aid to Nepal in recent years. It is difficult to obtain comprehensive and verifiable figures, but based on official Government of Nepal (GoN) statistics, it is possible to trace a steady increase in Chinese aid to Nepal from 10 million Nepal Rupees (NR) (US$128,200) in fiscal year 2005/6 to NR 2.55 billion
(US$32.5 million) in 2010/11.23 The increase in 2011 is particularly notable: China had reportedly pledged loans and grants worth more than NR 10 billion (US$127.4 million) by August 2011.24 This included a sizeable concessional loan for the Trishuli hydro
power construction and US$19 million for assistance to the Nepal Army. When a highranking Chinese delegation visited Kathmandu in August, they signed an additional US$50 million economic and technical co-operation agreement, including a loan for a hydropower transmission line and US$2.5 million to strengthen the capacities of the Nepal Police.
With this huge surge in Chinese finance in 2011, China now reportedly figures in the list of Nepal's top five development partners.25 This dramatic increase should be quali fied however by recognition that approximately three-quarters of China's 'aid' to Nepal comes in the form of loans rather than as direct grants.26 Furthermore, all Chinese aid projects are awarded to Chinese contractors. Although Chinese companies can and often do then sub-contract to local Nepali companies, most of the skilled labourers employed are Chinese, as are the materials used. As a consequence, new employment and procurement opportunities for Nepalis are limited. It is important to note however that some Western donors only recently stopped the same practice of 'tied aid'
, while others continue to do so.
Infrastructure
The history of Chinese road-building in Nepal goes back 40 years and has been instrumental in fostering a favourable perception of China among the Nepali people. China has the technological capability to develop high-altitude transport infrastructure,
both road and rail links, in the Himalayan region, and this has made many remote and mountainous areas of Nepal more accessible. In 2008 China and Nepal announced plans to connect the Tibet Autonomous Region with Nepal through a 770 km rail-link between Lhasa and the Nepali border town of Khasa. This is an immensely costly (US$1.9 billion) and long-term project, which is not expected to be completed before 2013. Nevertheless, the extension of the railway line from Lhasa to the Nepali border, and potentially beyond, is regarded as a real 'game-changer' in terms of trade relations and geo-politics in the region.27
Historically the Himalayan wall has proved a major obstacle to trade and connectivity between China and South Asia. Nepal is land-locked and highly dependent upon Kolkata port in India for both export and import.28 At present Nepal faces several bottlenecks in its trade and energy supply chains due to poor infrastructure in Nepal and the poor efficiency of Indian ports, which add to the costs of trade.29 However, when completed, the Lhasa-Khasa rail-link will increase Nepal's options. It will reduce Nepal's dependence on India for its regional and international trade, while helping to boost trade with China. Nepal could also potentially become a land gateway for Chinese trade and commerce with South Asian markets. The southern expansion of China's rail networks may cause concern in Indian security circles however, given the suspicion that Chinese infrastructure projects will serve military as well as civilian purposes.30 It is suggested that the new rail-link would enable the rapid deployment (within 24 hours) of Chinese forces to India's borders.31 Besides the construction of the railway connecting Lhasa to the Nepali border, China is involved in several other major transport projects in Nepal, such as the expansion of the Kathmandu ring road and the development of a dry port at Tatopani near the border with Tibet. China has also stated that it will support the construction of new Nepali border posts along this border. In addition, the sizeable loans in 2011 for the development of Nepal's hydropower signal China's intent to tap into this resource.
The potential power generation from hydroelectricity in Nepal is estimated at 83,000 megawatts, although previous initiatives to develop this resource have foundered.32 Alongside official assistance for infrastructure development, Chinese companies have also made significant inroads into Nepal, especially in the area of telecommunications, where the companies ZTE and Huawei have secured major contracts from the statecontrolled Nepal Telecom.
Military
Since 2006 many of Nepal's traditional institutions have either collapsed or been superseded. The Nepalese Army remains and is regarded by many as the most stable and reliable national institution in the country.33 Historically the Indian and Nepalese armies have had a very close relationship, such that Indian officers are honorary officers
in the Nepalese Army and vice-versa. India is also the biggest provider of military assistance to Nepal. However, it stopped supplying arms to the Nepalese Army after King Gyanendra seized power in 2005, which led to a cooling of relations between
the two militaries. This opened some space for China to develop relations with the Nepalese Army. In recent years the Chinese People's Liberation Army (PLA) and the Nepalese Army have established a military assistance programme, including the supply of non-lethal equipment, training, infrastructure development and the exchange of high-level delegations.
The growing relationship between the armies of China and Nepal was symbolised by the visit in March 2011 of General Chen Bingde, Chief of General Staff of the PLA - the highest-level military visit from China to Nepal for over a decade. General Chen met with the Nepali Prime Minister and President, as well as with the Chief of Army Staff of the Nepalese Army (CoAS). He announced a military assistance package worth US$17 million from the PLA to the Nepalese Army, with assurances of more support to come. This was followed by a reciprocal visit by the CoAS to Beijing in November 2011, when an initial agreement worth US$7.7 million was signed between the two army chiefs.34 The aid will mostly be used to modernise the Birendra Military Hospital. The total assistance pledged represents a substantial increase in China's military aid to Nepal, although India remains by some distance the largest provider of military assist ance, pledging US$55 million in 2009 alone.35 It is notable that the military assistance deals between China and Nepal were not signed between the governments, but between the respective military chiefs. According to an analyst in Kathmandu, "Beijing would rather deal direct with the Nepalese Army than with the government"
, and this reflects the perceived status and stability of Nepal's army relative to the government.36 It is claimed that Beijing also wanted to establish a relationship whereby Chinese and Nepali officers have reciprocal rank, akin to that between India and Nepal, but this was purportedly blocked by New Delhi.37 Mean while, there are persistent rumours about the Chinese military also having developed links with Nepal's Maoist army.38 Although these are not substantiated, seeking to build relations and confidence with both of the major armed forces in Nepal would reflect a typically pragmatic approach.
Diplomatic
The increase in Chinese economic and military engagement in Nepal has its corollary in the upgrading of diplomatic relations between the two countries. The appointment
in June 2011 of Yang Houlan as Ambassador to Nepal, a high-profile regional security expert and former Ambassador to Afghanistan, was widely viewed as a sign of Nepal's growing strategic importance for China.39 Further evidence can be seen in the prolifer ation of diplomatic exchanges between the two countries. In 2011, a series of delegations
of senior Nepali officials from the Ministries of Home Affairs and of Defence, from the Nepal Police and the Army all visited China for consultations and training. In August 2011 it was reported that there were three different delegations in China from the Home Ministry alone, amounting to a total of 50 officials on a so-called "China junket"
.40
As well as government officials, Beijing has invited delegations from all of Nepal's major political parties to visit China. In June 2011, a delegation of leaders of the Maoist and the CPN-UML parties visited Beijing at the invitation of the Communist Party of China (CPC). The leadership of the Nepali Congress party was also invited to Beijing but declined the offer, claiming that it was not appropriate to leave the country at the time.41 More recently, Beijing has been trying to extend its reach to the political parties representing the Madhesi communities of the Terai. In return, there have been an increasing number of visits by senior Chinese officials to Kathmandu. In August 2011 Zhou Yongkang travelled to Nepal at the head of a 60-strong delegation from Beijing. Zhou is a high-ranking member of the powerful Politburo Standing Committee of the CPC and is the most senior Chinese official to visit Nepal since 2006. Zhou put forward a five-point proposal to enhance ties between the two countries, which included: more high-level exchange visits; Chinese investment
in a variety of sectors, including business, infrastructure, tourism and water resources; Chinese support for security in Nepal; people-to-people contacts and cultural exchanges; co-operation between political parties; and joint efforts to tackle food insecurity, climate change and the global economic recession.42
Soft power
As mentioned in Zhou Yongkang's five-point proposal, there are also less tangible aspects of China's engagement in Nepal, such as cultural and educational exchanges. These aspects of China's engagement are often referred to as 'soft power' in contrast to the economic assistance, infrastructure and hardware that Beijing also provides. The significance of this aspect of China's engagement was explicitly recognised in Zhou
Yongkang's proposal to boost people-to-people exchanges between the two countries in order to reinforce the foundation for bilateral friendship.43 Beijing is well-aware of the deep-rooted Indian cultural influence in Nepal and it is widely perceived to be deploying soft power in an attempt to counter-balance and dilute India's influence.
There are various vehicles for this sort of people-to-people exchange. A number of China Study Centres (CSCs) have been established in Nepal in order to promote cultural and language exchange with the Nepali people. Reportedly, "thirty-three CSCs have been established in southern Nepal adjoining the Indian border"
.44 In 2007
a Confucius Institute was established at Kathmandu University, where nearly 1,000 Nepali students now learn Chinese. Meanwhile, Beijing also provides scholarships to Nepalis to study in China, where there are a growing number of Nepali students.
Another facet of China's soft power is radio broadcasting, with a branch of China Radio International set up in Kathmandu in 2010, including a Nepali service to teach the Chinese language.45 A further dimension of soft power is tourism. China and Nepal's tourism ministries have been working together to increase tourist numbers to Nepal; for instance by Beijing designating Nepal an authorised tourist destination (the ninth country to be thus recognised), and by Kathmandu waiving visa fees for Chinese visitors. This has contributed to a rapid growth in the number of Chinese tourists, so that by 2010 there were almost as many tourists coming from China as from the US or United Kingdom (UK) (who have the second and third highest number of tourists); though it is still a long way behind the number of visitors from India.46 With increasing Chinese invest ment in infrastructure and construction, there is also potential for Chinese investors to make inroads into Nepal's tourism market, which is yet to be fully tapped by the Nepali government.47
There are limits to the efficacy of soft power however, and the controversy over the Lumbini development project may serve as a cautionary tale for Beijing. This was a vast project worth US$3.0 billion aimed at transforming the town of Lumbini, the Buddha's birth-place, into a key pilgrimage destination for Buddhists from around the world. It was proposed to build an airport, a highway, hotels, a convention centre, temples and a Buddhist university. However, the initiative also appeared to be strategically aimed at reducing the influence of the Dalai Lama and his followers by creating a focal point for Buddhism that was free from Tibetan influence. The Lumbini project involved a diverse cast of characters, including Prachanda and the former Crown Prince of Nepal, and it was supposedly a partnership between the Hong Kong-based Asia Pacific Exchange and Cooperation Foundation (APECF) and the United Nations Industrial Development Organization (UNIDO). It collapsed however after UNIDO and others reported to be backing the project made clear that they had no involvement. The official word from Beijing was that the Chinese Government had no hand in the initiative.48 However, APECF is based in China and regarded as a quasiofficial NGO, which suggests that the Lumbini project was at least endorsed by Beijing. As The Economist concludes, "If this was an exercise in Chinese 'soft power' it was a disaster"
.49 Nevertheless, while this particular initiative foundered, it may signal the shape of things to come. Prachanda was due to meet with UN Secretary-General, Ban Ki-Moon, in New York regarding the development of Lumbini, and plans to develop the site as the "Buddhist equivalent to the Vatican" continue.50
China does not have a development agenda *per se* that is comparable to that of Western
## 4.4 Why China Engages In
donors, but its engagement in Nepal and other developing countries is based on a number of core principles. These principles reflect China's own development experience
## Nepal Foreign Policy Principles
and history of engagement with other states. A central principle that guides much of China's foreign policy is that of respecting the sovereignty of all states. China's position is that it will not intervene or seek to influence the domestic affairs of any country since these are the exclusive concern of the national government. This is generally referred to as China's policy of 'non-interference'
. Thus, when the current Chinese Ambassador in Kathmandu took up his post, he reassured Nepal that "China will never deviate from its policy of non-interference in the internal matters of Nepal"
.51 Following from this, China's position is that the support it gives to developing countries is not conditional on political or economic reforms, improvements in governance or the protection of human rights - a position which clearly differs from that of many Western donors. In addition to the importance it ascribes to sovereignty and non-interference, another key principle of China's engagement in developing countries is that of mutual benefit. China is not squeamish about advancing its economic self-interest at the same time as contributing to the development of other countries. It is open about the economic rationale for its engagement in the developing world. An important driver is the socalled 'Going Out' policy, which aims to sustain high levels of economic growth within China through global engagement, especially in new developing country markets such as Nepal.
In addition to these general principles that underpin China's relations with developing countries, its engagement in Nepal is informed by a variety of context-specific interests and motives. In this section of the paper we explore three main areas of China's interest in Nepal: stability, economic development and geopolitics.
Stability
China's engagement with Nepal is strongly shaped by the 'One China' policy. This refers to China's own sovereignty and territorial claims, which are primarily concerned with denying official recognition to Taiwan and to claiming Tibet - officially the Tibetan Autonomous Region (TAR) - as an integral part of China. Beijing considers Tibet part of its territory, and the region is also a key source of mineral and water resources for China's development. Tibet is one of China's so-called 'core interests'
,
which essentially means that it is not open to negotiation and China will use all means necessary to protect it. Therefore any challenge to China's sovereignty over Tibet or claims for Tibetan independence are regarded by Beijing as serious threats to China's security and territorial integrity.
China's occupation of Tibet in the 1950s increased the strategic importance of Nepal since it is the main country bordering Tibet. As described above, since the occupation, Nepal has been a haven for Tibetans who wished to escape Beijing's rule and it is also a transit point for Tibetan refugees seeking asylum in India and the West. China is determined that Nepal should not become a breeding ground for activists campaigning
for an independent Tibet. It fears that Tibetan refugees, who enjoy considerable sym pathy and support in India and the West, will use Nepal as a base to protest against the Chinese occupation and to carry out 'anti-China activities'
. Recent events in Xinjiang, Inner Mongolia and within the TAR add to Beijing's concerns that disturbances on its periphery could fuel unrest nearer to home. In response to the perceived threat to China's security and territorial integrity, Beijing pursues a policy of repression against Tibetan activists.52 In order to implement this policy in Nepal it requires a relatively stable regime and an 'effective' security apparatus. It also requires a compliant government that will co-operate in the control of Tibetan activists. Therefore Beijing's primary objective in Nepal has been to ensure Kathmandu's recognition of the One China policy and to secure its co-operation to suppress Tibetan activists.53 There is a perception in Kathmandu that Beijing uses its diplomatic and economic leverage over the GoN to ensure that the authorities co-operate in achieving this objective.54
This was most evident in the run-up to the 2008 Beijing Olympics when for four months there were protests by Tibetans in Nepal under the slogan of 'Free Tibet' or 'Save Tibet'
. The Chinese Ambassador demanded that, "the Nepali establishment take severe penal actions against those involved in anti-China activities in Nepal"
.55 There followed a crackdown by the Nepali security forces against Tibetan refugees, which resulted in over 8,000 arrests between March and July 2008. The Nepali police were accused of violations of human rights, including excessive use of force, arbitrary detention and unlawful threats to deport Tibetans to China.56 The Nepali Government's policy of clamping down on Tibetan activists appears to have strengthened in recent years, as economic and other forms of support from China have increased. According to Tibetan sources, Nepal's police now help the Chinese authorities prevent Tibetans from fleeing across the border, reducing the flow of refugees into Nepal from more than 2,000 per year before 2008 to 770 last year.57 Nepal has also forcibly returned refugees to China, and Chinese police have reportedly
entered Nepal to search for fleeing Tibetans.58 Meanwhile, human rights monitors have criticised Nepal for arresting Tibetans who publicly celebrated the Dalai Lama's birthday and for preventing Tibetans from voting in the 2010 elections for the leader of Tibetans in exile.59 These actions by the Nepali authorities have their corollary in the regular declarations by Chinese and Nepali officials denouncing 'anti-China activities'
. Successive Nepali governments have consistently stated that such activities will not be allowed on Nepali soil and have vowed to prevent Tibetan demonstrations; a message echoed by other political party leaders. One of the first public statements by the new Chinese Ambas sador in June 2011 was to express his concern about growing anti-China activities in Nepal. In response the Nepali Prime Minster reaffirmed his Government's commit ment to the One China policy.60 Likewise, Zhou Yongkang in August 2011 expressed the hope that "Nepal would continue to prevent Tibetan separatists from using Nepali soil to act against China"
.61 This prompted Jhalanath Khanal, the outgoing Prime Minister, to pledge "that the Government will not allow any anti-China activities"
.62
The words and actions of the Nepali authorities suggest that China has successfully managed to bring pressure to bear on the GoN to ensure the suppression of Tibetan activism within Nepal. Furthermore, there appears to be increasing co-operation between Kathmandu and Beijing with regard to Tibet and increased pressure on Tibetan refugees in, or aspiring to reach, Nepal. Lobsang Sangay, the political leader of Tibetans in exile, claimed that "Nepal has become almost a satellite state of China"
.63
Western governments and human rights groups support the protection of Tibetans and their right to political freedom in Nepal, and they have condemned human rights abuses by Nepali government forces against Tibetan refugees. However, most Western governments are apparently reluctant to raise the issue directly with the GoN.64 Certainly Beijing's insistence on a hard-line response seems to carry more weight with the GoN than Western concerns for human rights. There is general recognition within Nepal that Kathmandu's co-operation with Beijing on the Tibet issue represents the *quid pro quo* for development assistance and other forms of support from China.65 In August 2011 it was reported that, "Nepal renewed its commitment… not to allow anti-Chinese activities on its soil, as a top-level Chinese delegation announced a US$50 million aid package"
.66 This juxtaposition of develop
ments is unlikely to be coincidental. It suggests that despite China's stated policy of non-interference, it does effectively make aid to Nepal conditional on the GoN's compliance with Beijing's policy of suppressing Tibetan activism. For Beijing then, stability in Nepal is first and foremost about containing the threat of Tibetan secession. However, Beijing's expressions of concern for stability go beyond the Tibet issue.67 It has been increasingly vocal in recent years in support of political stability in Nepal and has stressed the importance of completing key provisions of the peace agreement, such as the new constitution. When Zhou Yongkang visited Kathmandu in the immediate aftermath of the resignation of Prime Minister Khanal, he conveyed Beijing's "sincere wish that Nepali political leaders can bring peace and stability back to their country as soon as possible"
.68 Likewise, there have been repeated exhortations to Nepal's politicians to resolve their differences through dialogue and to complete the peace and constitutional process.69 Contrary to the suspicions of some Western analysts when the Maoists came to power, China appears to have no interest in promoting an ideological agenda in Nepal. During
the war, Beijing made clear that it had no connection with the Maoist insurgents despite their name; indeed in some Chinese quarters it was felt that Nepal's Maoists tarnished the reputation of Mao Zedong.70 In 2005 Beijing affirmed its support for King Gyanendra's attempt to stabilise Nepal through a hard-line approach towards the Maoists.71 This underlines that China's concern was, and is, to have an effective and reliable interlocutor in Kathmandu. Hence, in a previous era, it was perfectly content to do business with the Nepali monarchy, despite it being the ideological antithesis of the Chinese model. It is also linked to the non-interference principle of Chinese foreign policy, which holds that the policies of the host government should always be respected, no matter who it is or what it does. In the post-CPA era China has been assiduous in trying to reach out to a range of Nepali political parties, as well as to different Nepali institutions. This is reflected in the official invitations to visit Beijing extended to the Nepali Congress and to the Madhes parties, as well as to the Maoists and the CPN-UML. In the uncertain environ ment of Nepali politics, China is regarded as "hedging its bets" by cultivating relations with a range of different parties and institutions.72 This highlights Beijing's pragmatic approach towards the politics of Nepal. It prioritises stability above ideology or political system, and is willing to do business with whoever is in power.
## Economic Interests
As described above, Nepal and China have substantially boosted economic ties in recent years. This is evident from the increase of the trade volume by 80 percent in a single year from 2009–10 (US$744 million).73 This reflects China's 'Going Out' policy, which aims to sustain high levels of domestic economic growth through external economic engagement. Since the CPC's domestic legitimacy is based heavily on continuing the country's high rates of growth, economic motives play a central role in Beijing's foreign policy, including its increased engagement in Nepal. Economic engagement in Nepal facilitates the entry of Chinese firms into new markets. Nepal represents one such market, but beyond lie the larger markets of South Asia. Improving its economic relations with Nepal - as well as the local infrastructure - could potentially enable China to use Nepal as a transit country for trade with the whole of South Asia.
China's growing engagement in Nepal can, therefore, be seen to be motivated in part by its strategy of economic expansion. This is further illustrated by the close link between Chinese aid and Chinese business interests. A large proportion of Chinese aid to Nepal is provided as 'aid in kind'
, often the construction of infrastructure by a Chinese contractor. China's White Paper on Foreign Aid explains how in such cases "the Chinese side is responsible for the whole or part of the process… After a project is completed, China hands it over to the recipient country"
.74 According to the White Paper, such projects account for 40 percent of total Chinese aid.75 The rapidly increasing economic engagement between China and Nepal - in terms of aid, trade and investment - illustrates an important new dimension of China's interest in Nepal. While Nepal's importance for stability in Tibet has underpinned China's relations with the country since the 1950s - and this remains Beijing's predominant concern - it also offers substantial potential to fuel China's economic development. Nepal is a market for Chinese goods in its own right, but more importantly it could also be a gateway to the markets of South Asia. A senior Chinese official spoke of "developing Nepal as a transit hub between China and the larger sub-continent"
.76 This demonstrates the synergy between China's security interests in Nepal *vis-à-vis* Tibet and China's economic interests. A stable Nepal is in China's interests as far as Tibet is concerned, while it also presents a more attractive opportunity for Chinese trade, investment and other forms of economic engagement.
Geopolitics
China and India have the two largest populations and fastest growing economies in the world. Relations between these two rising powers have been characterised by a "persistent mutual trust deficit"
.77 At present, China is the more powerful of the two
in economic and diplomatic terms at the global level, while it also threatens India's predominance in South Asia. Since 2004, China has improved trade relations with a number of India's neighbours and the volume of trade with Pakistan, Bangladesh and Sri Lanka has grown rapidly.78 Strengthened bilateral relations between China and India's neighbours are complemented by China's admission into the South Asian Association for Regional Cooperation (SAARC), which enables China to engage in South Asia through a multilateral mechanism. These developments have prompted references to "China's growing dominance of the South Asian landscape… and the rapidity with which New Delhi is ceding strategic space to Beijing on the sub-continent"
.79 While this may be overstating the case, there is certainly an asymmetric relation between China and India, despite both being economic powerhouses. And it follows that India may be concerned about further expansion of Chinese influence into what has historically been regarded as New Delhi's sphere of influence. Nepal's position has become more strategically significant with the rise of China. Situated between the two regional powers, it can be seen as a prize to be captured and could become the locus of geopolitical competition between an expanding China and a defensive India. This possibility is increased by the fact that Nepal is weak and internally vulnerable, and thus less able to resist foreign interference. According to some, "the ongoing political paralysis in Nepal… [has] created the ideal conditions for Beijing to increase its leverage and influence over Nepal"
.80 Others foresee that
"the weakness and collapse of Nepal would offer an opportunity for China to engage directly in South Asia"
.81
There is a counter-argument based on the fact that China and India share a strong interest in their own economic development and do not wish to jeopardise current growth trajectories, nor undermine their lucrative bilateral trade. China was India's largest trading partner in 2008, and trade between the two countries has risen dramatically from US$1.0 billion in 1994 to US$61 billion in 2010.82 According to this view, the main driver of China - India relations is a mutual interest in economic growth and this will safeguard the region against a confrontation between the two powers. Nevertheless, the unprecedented economic growth of both powers does not yet seem to have had the effect of cementing stability in the political relationship.83 Nepal's role is also related to wider geopolitical dynamics, both within the Asian region and globally. There are many and diverse perspectives on these dynamics. Some contend that the US seeks to strengthen its alliance with India in order to contain China, a goal which underlies its engagement in Pakistan and Afghanistan and also informs US policy towards Nepal.84 Others hold that China is supporting Pakistan to keep India tied down in South Asia, leaving Beijing free to expand its access and influence more broadly across the Asian continent, including in Nepal.85 However, the significance of Nepal for either China or India should not be over-stated. It is question able to what extent Nepal is regarded as a foreign policy priority in New Delhi, while equally it does not feature much in foreign policy debates in China.86 According to one analyst "both countries have bigger fish to fry"
, and more dispassionate analysis suggests that both countries will prioritise their relationship with the other over their relationship with Kathmandu.87 In this regard, it is notable that both China and India are increasingly using multi lateral structures to facilitate bilateral relations. Both have an interest in reforming the international diplomatic architecture, which they consider to be Western-led. Hence the emergence of new configurations of 'rising powers'
, including the China-India-
Russia strategic triangle and the BRICS (Brazil, Russia, India, China and South Africa) grouping. China is also increasingly engaged in the South Asian regional structure SAARC, where India has the main voice, while India has observer status in the Shanghai Cooperation Organisation, which China dominates. These various multi lateral frameworks may provide a framework for strengthening understanding and mutual trust, including in respect of Nepal. What is clear is that Sino-Indian relations have a significant effect upon geopolitics in the South Asia region, and thus upon peace and stability in Nepal. Some degree of competition between the two rising powers seems inevitable; yet historical rivalries have been managed thus far, and the hope is that shared economic interests will out weigh geopolitical rivalry.
## 4.5 Other International Actors
Clearly, the geopolitical drama between China and India is not played out in a vacuum, and a number of other international actors are also engaged in minor roles. Nepal receives relatively high levels of international attention and aid and it has been referred to as the "darling of Western donors"
.88 The major multilateral donors are the Asian Development Bank and the World Bank, while the largest bilateral donors are Japan (US$105 million), the UK (US$101 million) and the US (US$76 million). In March 2011 the UK Department for International Development (DFID) announced that it would increase aid to Nepal from £57 million (US$91 million) in 2010/11 to £103 million (US$165 million) by 2014/15.89 Meanwhile, USAID's spending in Nepal has increased almost fourfold since 2002.90 In comparison, the amount of grant-aid China gives to Nepal is relatively small, amounting to 150 million renminbi (RMB) (approximately US$23 million). The increase in Western spending in Nepal reflects in part an increasing appreciation among Western donors of the connection between security and development and of the need for higher levels of support to be provided in contexts that are fragile and conflict-affected, such as Nepal. A substantial part of Western aid to Nepal is allocated to consolidating the peace process and to helping Nepal transition out of the postconflict phase towards becoming a more stable and democratic state. This includes support for constitutional development, integration, security sector reform, election processes and local governance. Other major areas of support from Western donors to Nepal include health, water and sanitation and climate change adaptation. Western donors are considered to have used the leverage of their aid, and accompany ing conditionalities, to good effect in helping to bring about a negotiated end to Nepal's war in 2006.91 However, there is now a perception that the GoN takes Western aid for granted and judges it unlikely that the tap will really be turned off.92 Western donors have been criticised for "proposing vague conditionalities that will not be followed through";93 whereas Chinese or Indian threats to stop support are taken more seriously, informed *inter alia* by the experience of the Indian petrol blockade. Thus the implicit conditionality of support from Beijing and New Delhi appears to be more effective than the explicit conditionalities of Western donors. These trends relate to criticisms in Nepal of Western donors' methods of operating. Some Nepalis have expressed growing resentment in recent years about the approach taken by Western donors and their perceived proxies, INGOs. There is a perception among some in Kathmandu that much Western aid ends up in the pockets of Western NGOs and consultants, with little benefit or ownership by Nepali people.94 This has led to concerns among Western NGOs in Nepal that such sentiments may culminate in the sort of antipathy towards Western NGOs and donors that is evident in Sri Lanka.95
Meanwhile, according to some donor sources it is becoming harder to spend donor funds efficiently and effectively, while a lack of co-ordination between Western donors and the GoN regarding the deployment of funds has led to a souring of the relation ship between the two.96 It is important to bear in mind that for all international actors, just as for China, aid represents part of the picture of their engagement in Nepal but not the totality. The particular security concerns and strategic interests of India have already been touched upon, but Western actors too have interests in addition to the provision of develop ment assistance through aid. These interests include commercial ties, trade, tourism and military co-operation. The UK Government for instance has a special relationship with Nepal through the Ghurkha soldiers, 3,500 of whom currently serve in the British Army and play a full part in its operational deployments, including in Afghanistan.97 These sorts of interests have a significant bearing on Western engagement in Nepal and potentially also on conflict dynamics.
It is furthermore recognised that for Western governments, as for Beijing, there may be a certain dissonance between stated policies of engagement in Nepal and the actual practice. One could argue that China does in fact impose conditionalities on its support to Nepal as it is effectively contingent on the GoN's support for the One China policy and on co-operation in control of Tibetan activists. But one could equally argue that concerns about human rights abuses expressed by some Western governments are mainly rhetorical, and that policies are rather shaped by realpolitik.98 It is not within the scope of this study to examine the full range of international interests
in Nepal and their implications for conflict and security. However, it does highlight the importance of understanding how the interventions of Western actors too may aggravate or mitigate conflict risks in Nepal. In this regard, it is worth mention
ing a Saferworld/University of Bradford joint project that provides a framework for assessing the conflict prevention impact of external actors. In brief, the project has developed a framework and indicators for measuring the performance of a state in 'contributing to a benign global or regional context'
, which includes indicators relating to trade and aid policies. The aim of the project, which is currently being piloted, is to enhance knowledge and awareness of what states should do to improve conflict prevention performance and co-operation. Although the current project is oriented towards Western donors, the aspiration is to develop a framework that accommodates all states, including China and other rising powers.
## 4.6 Impact On Peace And Conflict
How does China's increasing engagement in Nepal relate to issues of peace and conflict? Clearly, different actors will view this differently, depending upon their underlying assumptions about what causes conflict and builds peace. From a Chinese perspective, the presumption is that economic development leads to peace. The general
opinion is that the root cause of conflict is underdevelopment, and so by providing resources for infrastructure and economic development in Nepal, China's engagement will have a positive long-term impact on peacebuilding and conflict prevention.99 This contrasts with the dominant view among Western donors that, in simple terms, conflicts arise from a variety of sources, including underdevelopment but also encom passing issues to do with identity, inequality and governance. It is based on a model of peacebuilding developed in the post-Cold War period referred to as a 'liberal peace'
.
This model includes an emphasis on political solutions; human security; the rights of minorities to self-determination; the universal importance of human rights; free dom of speech and free and fair elections; and a definition of state sovereignty that, in extreme circumstances, legitimates humanitarian intervention by external actors. As recent events in Libya illustrate, the liberal peace model is far from being universally accepted. In Western discourse around peace and conflict, there is also increasing recognition that any external engagement in a conflict-prone context, such as Nepal, will inevitably
have an impact upon the peace and conflict environment - whether directly or indirectly - and China's engagement is no exception. The consensus from a range of interviews in Kathmandu was that China's primary concern in Nepal is stability so that it can contain the threat from Tibetan dissidents; and that this desire for stability is reinforced by China's economic interests and geopolitical strategy. Based on this view, there is little to suggest that China's increasing engagement will have a directly negative impact upon the conflict drivers and risks identified in the earlier part of the paper. Interlocutors in Nepal did however identify a number of ways in which China's increasing role and influence could potentially affect, or indirectly impact upon, conflict issues and dynamics. In the next section we consider each of these issues in turn and assess to what extent they can be considered significant threats to peace and stability in Nepal.
## Stability And Peace
From a Chinese perspective, the stability of a country is equated with the capacity of its government to control it. Where Nepal is concerned, the primary indicator of stability in Beijing's eyes is that the threat from Tibetan dissidents is extinguished, or at least contained. This entails the GoN affirming its commitment to the One China policy and Nepal's security forces co-operating in the repression of Tibetan dissidents. Beijing has successfully exerted its influence over the Government in Kathmandu to secure its co-operation in both respects, and Tibetan activism in Nepal has reduced as a consequence. In this sense then, China can be seen to have contributed to stability in Nepal. However, this prompted the question among some interlocutors of what 'stability' means? China's understanding of the term may be at odds with that of Nepalis or Western actors. It would be misleading to suggest that there is a single agreed definition
of stability shared by all Western actors, let alone by different branches of the same government. Clearly, stability may be understood differently if a Ministry's mandate is to protect national security rather than to reduce poverty overseas, and hence the term is the subject of much debate. The UK Government in its cross-departmental strategy for 'Building Stability Overseas' (BSOS) articulates a relatively inclusive definition of stability as follows:
"The stability we are seeking to support can be characterised in terms of political systems which are representative and legitimate, capable of managing conflict and change peace fully, and societies in which human rights and rule of law are respected, basic needs are met, security established and opportunities for social and economic development are open to all".100
China's policy towards Tibetans in Nepal, as put into effect by the Nepali Government and security forces, does not reflect the BSOS definition of stability. Freedom of political expression is clearly denied to Tibetans in Nepal and there are credible allegations of human rights violations against Tibetan activists. China's understanding of stability in Nepal is thus at odds with the UK Government's definition of the term. Likewise, China's policy towards Tibetan refugees is not compatible with the concept of 'liberal peace'
, which prevails in Europe and is understood to include the rights of minorities, freedom of speech and the protection of human and political rights. Clearly terms like 'peace' and 'stability' will be understood differently depending upon the norms and assumptions of the state concerned, and they may be interpreted to suit particular interests. But does China's policy towards Tibetans in Nepal have a negative impact upon the conflict environment? In particular, does the denial of the human and political rights of Tibetans threaten to cause violent conflict in Nepal? It seems unlikely as the Tibet issue is largely unrelated to the fundamental drivers of conflict in Nepal, while concern and protest about the treatment of Tibetans tends to be stronger outside the country than within. Nevertheless, from a Western perspective, China's policy towards Tibetans weakens any claims it may make to be supporting an inclusive and sustainable peace in Nepal.
Governance
Another way in which China's engagement may affect peace in Nepal relates to governance. A common criticism in the West of China's engagement in developing countries is that its policy of non-interference undermines good governance and democratisation.101 This is especially the case in China's relations with regimes that are isolated by the West (such as Burma/Myanmar and Zimbabwe), but it also applies in countries going through a post-conflict transition, such as Nepal, where Western donors seek to promote 'progressive' reforms in governance and related areas. China's position on this issue is that "standards, rights and rules … need to be worked out by [national stakeholders] and not imposed by outsiders"
.102 In other words, it is not for China to determine what it regards as the political choices of sovereign states. In the case of Nepal, Beijing wants stability and is pragmatic about the means used to achieve this. As argued above, it appears to have little concern about what the govern ance system that delivers stability looks like, but will back the perceived favourite. Hence Beijing's previous support for Nepal's monarchy, while currently it regards the Maoists as the best bet - or the least worst - for achieving stability. However, some foresee that China will lose patience with the current peace process, predicated on multi-party politics and a democratic model of governance, as it is taking so long to deliver stability.103 A fear was expressed that in this case Beijing may support an alter native, more authoritarian system in Nepal, which would not reflect the governance values (e.g. representation and legitimacy) that are associated with Western concepts of peace and stability.104 This scenario may be possible but it seems unlikely. A return to monarchy, although it has its proponents, is highly improbable; while residual fears that Beijing would automatically favour a Maoist form of authoritarianism have little ground. Despite the apparent ideological kinship with Nepal's Maoists, Beijing has been careful not to be seen to favour one Nepali political party over another. As described above, it has reached out - not always successfully - to political actors on all sides and in 2011 invited
all four of Nepal's major parties to visit Beijing. Thus China has sought to present itself as an impartial and apolitical presence in Nepal. Some consider that Beijing is simply 'hedging its bets' in light of Nepal's chronic political instability and volatility.105 Nevertheless, its repeated exhortations to Nepal's politicians to resolve their differences
through dialogue and to complete the peace and constitutional process seem to reflect a judgement in Beijing that fulfilling the existing peace process currently offers the best prospect for stability in Nepal.
Changing balance of
local power
It is hard to argue with the view from Beijing that the benefits of Chinese aid, such as economic and infrastructural development, will improve standards of living among Nepalis and thus reduce tensions that might otherwise give rise to conflict. At the same time, the benefits of Chinese aid may also increase inequalities and divisions, both between local Nepali communities and between Nepalis and Chinese in-comers. Given the scale of Chinese investments and development in Nepal, there is consider able risk that this sizeable injection of resources will upset the balance of local power and interests, which may lead to violence. In September 2011, there was a bomb attack on a Chinese food factory in the Narsingh district of the Terai. This was reportedly carried out by the Janatantrik Tera-Madhesi Mukti Party, an armed militia battling for the independence of the Terai, which aims to expel Chinese and 'non-indigenous' populations from the region.106 It is the first attack against Chinese industry in the region, but it is feared there may be more to follow given the proliferation of Chinese entrepreneurs in the Terai, especially in the construction, textile and hotel industries. The risk of violence arising from the influx of Chinese companies into Nepal is likely to become a growing concern for peace and security from the perspective of Beijing, as well as from Kathmandu.
## Changing Balance Of Influence With India
Another concern expressed was that China's growing role and influence may provoke India into a response that threatens Nepal's peace. This is based on the assumption that India considers Nepal as being within its sphere of influence and so will regard China's increasing engagement as a threat. According to such views, New Delhi is apprehensive
that China's expansion into Nepal is part of a wider plan to contain and encircle India.107 One Indian analyst reports "a substantial amount of concern among the Indian
establishment. The Chinese are making inroads across South Asia"
.108 According to this analysis, Chinese infrastructural developments in Nepal, combined with the build-up of its military capabilities in Tibet, will enable the PLA to deploy rapidly to India's borders. Various recent events are attributed to Indian concern about China's growing role in Nepal. The petrol shortage in Nepal in early 2011 was seen by some as engineered by New Delhi in reaction to the then Government's proximity to Beijing. India also remains closely involved in Nepal's politics and reportedly it has stepped up its micromanagement of Nepali politicians to counter Chinese influence.109 There was a notorious controversy in late 2010 when a recording was leaked of a man with a Chinese accent offering US$6.9 million to a Maoist party leader to bribe 50 Nepali members of parliament to support a Maoist government. This affair was portrayed in India as evidence of China's meddling in Nepali politics. However, the recording has not been verified, nor the identity of the Chinese speaker, and it is suspected in some quarters that the whole incident was an Indian propaganda exercise.110 Whatever the reality, these incidents indicate increased tensions between the two powers over Nepal. India's concerns about China's proximity to Kathmandu are compounded by its distrust of the Maoists - despite New Delhi's instrumental role in bringing them into the political process in 2005. The fact that the UCPN-M party still debates whether India should be considered as 'national enemy number one' illustrates that the distrust and antagonism between New Delhi and Nepal's Maoists is mutual. That said, different
factions within the Maoist party are perceived to have different views about Nepal's neighbours. Thus Prachanda is regarded as being relatively pro-Beijing, while Baburam
Bhattarai is considered to be more sympathetic to New Delhi. The appointment of Bhattarai as Nepal's Prime Minister in August 2011 was thus viewed in India as a reassuring development. Furthermore, the fact that Bhattarai made his first official visit to New Delhi rather than to Beijing, unlike his predecessor, may presage a swing back towards the traditional balance of power.111 Another cause for concern in New Delhi has been that the Maoist regime in Nepal could lend support to Maoist rebels in India, the Naxalites.112 There have been rumours of Naxalites receiving military training from Nepal's Maoists, and in 2010 the Indian Ambassador lodged a protest with the GoN over "organised training" of Naxalites in Maoist camps in Nepal.113 However, no evidence has been provided to substantiate this allegation, and most analysts consider a connection between Nepal's Maoists and India's Naxalites to be far-fetched.114 China and India are seen to have adopted different approaches to Nepal: Beijing play ing a strategic 'long-game'
, whereas India's approach is regarded as more tactical and short-term.115 India's tactics include alleged attempts to obstruct and undermine key aspects of the CPA, including the constitution and integration processes.116 Certainly there are suggestions that Indian manoeuvring has undermined Western attempts to support the peace process.117 The alleged obstructionism reflects Indian concern that the integration of Maoist combatants will weaken its special relationship with the Nepalese Army. There is a risk that such tactics - or at least the perception of them - will increase disillusionment with Nepal's peace process and may lead to its ultimate collapse. If China's growing role provokes India to intensify its involvement in Nepal's politics, this risks aggravating divisions among Nepali political leaders, destabilising the political situation and further delaying the implementation of the CPA.
Indian concerns about China's expansion into its sphere of influence, allied to its distrust of the Maoists, have the potential to provoke a response that could disrupt the peace process and destabilise Nepal. However, Beijing appears well aware of India's sensitivity given the historic privileged relationship between Delhi and Kathmandu. Thus far, it has been careful not to over-play its hand; indeed it has on occasion urged the Nepali Government to work at restoring its relationship with New Delhi. Further more, the preceding analysis suggests that China's increased engagement in Nepal, and the shift in the relative influence of the two powers, may lead to a net gain in terms of peace and stability. If India is seen to have a destabilising influence on Nepal's peace process while China has a broadly stabilising influence, then China's increasing engagement should have a positive effect in terms of peace and stability.
## Changing Balance Of Influence With The West
China's growing role in Nepal does not just shift the balance of power and influence vis-à-vis India, it also affects the role and influence of Western powers, including their ability to influence the peace process. In Nepal, as in other developing countries, China's increased support for the government means that it becomes less dependent upon Western aid. This may diminish Western leverage to persuade the Nepali Government to address some of the more difficult aspects of the conflict, which Western analysts believe must be addressed for peace to be sustainable. Such aspects include the human rights abuses carried out by all sides during the war. These are due to be addressed by a Truth and Reconciliation Commission, but this commission has yet to be set up.118 If human rights abuses are not dealt with, then impunity will become entrenched; and impunity is often an underlying driver of conflict. Western policy makers need to be aware of this changing international context and of the implications for their own strategies for peace and development in Nepal. If the approach of Western donors is perceived to be overly prescriptive and/or conditional - as some contend with regard to issues like integration and security sector reform - this may push the Nepali Government to seek support from other sources.119 The likeli hood is that the Government will turn to states like China that generally provide what the Government requests - often hardware rather than 'software' - and provide it with no strings attached. This may affect the democratic quality of the systems that emerge, and it is a particular concern in areas like the security and justice sectors, where weak governance can lead to violence and insecurity.
The implication in this case is that China's growing role in Nepal is freeing the GoN from pressure to comply with Western standards of good governance and human rights. China's increased aid to the Nepali Government means that the 'donor market place' is expanding. By offering an alternative model of support to the traditional Western donors, China (and India) are introducing more competition into this marketplace. This weakens the bargaining position of Western donors since it means that the Nepali Government has more options regarding from whom it would like to receive development assistance and with what, if any, strings attached.120 It is hard to predict what will be the implications for peace and conflict of an expanded donor marketplace in Nepal. It would be naïve to suggest that the agendas of Western donors are wholly benign in contrast to those of China or India. All external actors that engage in Nepal, as in other developing countries, do so based on a calculus of different interests: economic, security, developmental and geostrategic. So it does not automatically follow that a decline in the influence of Western donors will increase the prospect of conflict in Nepal.
It is also important to keep in mind the fundamental role and agency of Nepalis them selves. The focus of this study is upon external actors, notably China, and how their engagement affects peace and conflict in Nepal. The role of foreign powers in Nepal is highly significant, as this report demonstrates, especially in light of shifting balances of power and influence *vis-à-vis* the government in Kathmandu. However, ultimately it is the Nepali people who will determine whether there is a return to widespread violent conflict or if sustainable peace can be secured. What the research findings and analysis contained in this report do suggest is that policy makers in the West, in China and in Kathmandu need to engage proactively with the changing realities; and they need to consider what it means for their policies and practice in support of peace and stability. For Western actors, the expansion of the donor marketplace means that the tools of conditionality they have used in the past to support peacebuilding will become less effective. This suggests that not just new tools, but new multi-lateral approaches, will be required if Western donors are to support peace in Nepal and in other conflict-affected states. In the final section of the report we consider what such tools and approaches might include.
## 4.7 Policy
What are the implications for policy makers of China's increasing engagement in Nepal, especially those concerned with issues of peacebuilding and conflict prevention?
## Implications Current Situation
While there is now broad acceptance and appreciation of the scale and significance of China's engagement in the developing world, analysts and policy makers in the West are still getting to grips with the implications of this shift in the context. In particular, little attention has been paid thus far to the implications for conflict-affected and fragile states, such as Nepal. How will China's rise affect conflict drivers and dynamics? And what opportunities may it offer to consolidate peace and stability? These are questions that policy makers should ask as they consider how to respond to the threats and the opportunities resulting from China's rise. The final section of this report assesses the current state of play and offers some suggestions for harnessing this change positively in order to support peace and stability in Nepal. We focus primarily on the implications and options for Western governments. We pay special attention to the UK, as it is set to become the largest bilateral donor to Nepal; thus its response to China's rise will be particularly significant and may influence the approaches of other actors. The following implications are therefore relevant for all governments engaged in Nepal, insofar as they share similar interests and concerns to the UK Government.
Donor representatives in Kathmandu suggested that Nepal illustrates a relatively good example of co-ordination and coherence among Western donors,121 and this view is corroborated by the findings of a recent European Union assessment.122 There are reportedly high levels of informal knowledge-sharing among donors, although formal structures and mechanisms for inter-donor co-ordination are limited. There are periodic Head of Mission-level meetings for aid co-ordination, while the United Nations convenes bi-weekly integration and rehabilitation meetings. However, there is no co-ordination structure specifically relating to conflict issues, akin to the Donor Peace Support Groups that have been established in some other countries. It appears that Chinese officials do not generally engage in the various donor coordination forums in Kathmandu; one official from a major Western embassy said he had never seen Chinese representatives in any donor forum.123 It was not possible within the limited scope of this research to clarify whether Chinese representatives are invited to such forums, although apparently Indian representatives are invited to some of them. There used to be a degree of engagement between Western and Chinese diplomats in meetings of representatives of the permanent five members of the UN Security Council regarding the UN Mission in Nepal (UNMIN), but this has ceased since the exit of UNMIN in January 2011. In part, China's absence from the various donor co-ordination forums in Kathmandu reflects the very different norms and principles that underpin Chinese aid generally, and its engagement in Nepal in particular. Beijing does not regard itself as part of the Western donors' 'club' and prefers to deal directly with the Nepali Government rather than through multi-donor structures. However, what was notable from interviews in Kathmandu is the apparent disconnect between most of the Western donor/diplomatic community in Kathmandu and Chinese officials. This disconnect reflects in part the view expressed that it is not worth engaging with Chinese officials in Kathmandu since strategy and policy decisions are made in Beijing.124 However, this seemed to be compounded by the sense of a longstanding cultural divide between Western and Chinese officials, with reference made by Western diplomats to a 'Chinese Wall'
, which blocks substantive exchange regarding issues of aid, development, governance or security.
## Room For Improvement
The UK Government's aid review published in March 2011 makes clear that Nepal is one of a reduced number of priority countries to qualify for UK development support. Indeed, the UK is set to become the largest bilateral donor to Nepal over the next few years. Furthermore, the UK is one of the lead donors supporting critical aspects of peace and stability in Nepal, such as the Rule of Law. In light of the foregoing analysis of China's increasingly significant role in Nepal's development, it seems essential that there be some minimum level of dialogue between UK Government representatives and their Chinese counterparts. And this dialogue should be based on a solid under standing of each country's interests in Nepal, as well as the range and nature of its engagements. No doubt Western donors are well aware of the changes in the global landscape and of China's rise, but it is not apparent that the consequences of this for Nepal have been fully analysed and factored into the development of aid strategies. DFID's Operational Plan for Nepal 2011–15 notes that "Nepal is of strategic importance to the UK as a fragile state in its own right and as a building block for stability in the region, positioned between China and India"
.125 However, this awareness of the regional interactions does not appear to have informed UK policy priorities. Given the major investment by Western donors in Nepal's peace process, and the country's continuing fragility, it is particularly important to understand how China's increased engagement impacts upon the peace and conflict environment in Nepal.
It is acknowledged that opportunities and entry points to influence Chinese officials in Kathmandu may be limited. Furthermore, the Chinese Embassy may indeed have limited independent agency to affect Beijing's policy towards Nepal. However, the impression gained from interviews in Kathmandu is that there is scope for Western donors and diplomats to engage more proactively and systematically with their Chinese counterparts, be that bilaterally or through multi-donor co-ordination forums. Nor is this restricted to officials in Kathmandu; it may be that there is scope for improving information exchange and co-ordination between Western embassies in Beijing and Kathmandu, as well as with their respective foreign ministries. As China's engagement and influence in Nepal grows, this should become a priority for Western diplomats and policy makers. The risk is that unless steps are taken soon to overcome the perceived Chinese Wall, the UK and other Western actors will find themselves responding to China's rise as a threat rather than as an opportunity. This relates to the risk that if Western donors are perceived by the Nepali Government to be too prescriptive or conditional regarding their support, then this may reinforce Nepali resentment about Western interference and ultimately push them further into the arms of China.
Potential entry points
In July 2011, the UK Government launched its new strategy for BSOS. In this strategy the Government affirms its intention to "incorporate [the stability] agenda into our developing relationships with the emerging powers"
. Obviously the UK Government does not have a monopoly on concern with stability. Other external actors have their own stability agendas, which are likely to diverge from the UK's. This may present some challenges, but could also be an opportunity for collaboration. As described above, China has its own clear and predominant stability agenda in Nepal, based on its security concerns *vis-à-vis* Tibet, its economic expansion and its geopolitical strategy.
In order to incorporate the UK's stability agenda into its developing relationship with China, the UK Government will need to deepen its understanding of China's interests in conflict-affected states like Nepal. In certain respects, notably Beijing's policy towards Tibetan activists in Nepal, China's stability agenda clearly diverges from the stability agenda of the UK and other Western governments. However, in other respects there is apparent common ground between the stability agendas of Western states and of China - for instance, the shared concern to see Nepal's peace process through to its conclusion. Therefore as a first step it is suggested that further analysis be undertaken of points of convergence and divergence with regard to Western and Chinese stability agendas. This could serve as the basis for constructive dialogue between Western and Chinese policy makers on issues to do with peace and stability in Nepal. Where there is a shared interest in commonly agreed aspects of stability (whatever the differing norms or motivations behind it), this could be a basis for developing common policy objectives and even practical co-operation. Where there is a difference of perspective or principle - for instance regarding the Tibetan issue - this should be identified, and attempts made on both sides to appreciate the values and interests that underpin the different policy approaches. Clearly such an approach would require a degree of receptiveness from the Chinese side. It would be a mistake to assume that the Chinese are oblivious to Western concerns
about human rights or unaware of the different norms of foreign policy. A senior Chinese analyst at an influential think tank affiliated to the Ministry of Foreign Affairs expressed the "hope that China and the West can work together much more closely on economic aid. But the obstacle is Western suspicion of China, and accusations that China's non-interference policy means that China lacks any sense of morality in its foreign policy"
.126 However, he went on to note that there is increasing public debate within China about the policy of non-interference; and this may open space for dialogue between policy communities in China and the West about how to promote peace and stability in conflict-affected states. The UK BSOS strategy goes on to state that the Government "will invest greater diplomatic efforts in new 'prevention partnerships' with these countries"
. This demonstrates awareness of the growing role that China and other rising powers play in countries at risk of conflict and instability, such as Nepal. It is hoped that the findings of this research project may help to inform the development of a 'prevention partner ship' with China based on shared objectives of peace and stability; although it is recognised that deeper and more comprehensive research will be required to establish a firm knowledge-base for such a partnership. At a minimum, this project should assist Western policy makers to appreciate the challenges and limitations to their efforts to promote peace and stability in Nepal, and thereby help ensure that policies are not counterproductive. Looking beyond the bilateral relationship between the UK and China in respect of Nepal, it is recommended that broader international dialogue about peace and stability in Nepal should seek proactively to engage Beijing as well as New Delhi. While support for Nepal's peace process appears relatively coherent and co-ordinated among Western donors, they should also be looking to connect with Chinese as well as Indian perspectives. This will require a more systematic attempt to build relations with Chinese officials in Kathmandu - as well as with the relevant policy makers in Beijing - and progressively to incorporate China into an inclusive dialogue. A further area for Western policy makers to consider, and a possible entry point, relates to the notion of 'conflict sensitivity'
. This is based on the understanding that any intervention from outside - developmental, commercial or otherwise - will affect the distribution of power and resources in the local community. Interventions that do not take existing relations and dynamics into account may inadvertently provoke or sustain conflict, and end up doing more harm than good. As noted above, there is a risk that the sizeable injection of Chinese resources into Nepal will upset local interests and power balances, leading to the sort of violent attack against Chinese targets witnessed in the Terai in September 2011. This indicates the value to Chinese companies of adopting a conflict-sensitive approach. The principle of conflict sensitivity is not new to Nepal. It is recognised that in the past "development programmes have sometimes reinforced the social and political inequalities that are at the root of the violent, armed conflict"
.127 Conflict-sensitive approaches have been adopted in a number of development sectors in Nepal, notably in the forestry sector. The UK Government has promoted and supported conflictsensitive approaches both internationally and in Nepal. In its response to the multi lateral aid review for instance, DFID recommends that "multilateral organisations need to improve their performance in fragile contexts… [and they] need to take a more systematic approach to developing conflict-sensitive programming"
.128
While not underestimating the challenges of making Chinese engagement in Nepal more conflict-sensitive, this may be an area where the West can collaborate with China. There are clear cost and security benefits to Chinese businesses of a conflictsensitive approach, while it is also in the interests of Western governments, Beijing and all others concerned with stability in Nepal. Western actors could support this by raising awareness of what it means to be conflict-sensitive, and by sharing ideas and information with Chinese companies investing and operating in Nepal about ways of putting conflict-sensitivity into practice. More broadly, this study suggests that the UK and other Western governments would do well to consider what the implications are when they no longer 'own' the donor marketplace. While the engagement of non-Western powers in Nepal is not a new phenomenon (especially where India is concerned), the growing role of China, and the consequent shifting boundaries of what constitutes aid, are fast changing the context in which Western donors try to support development and peacebuilding in Nepal. China is not overtly attempting to supplant the traditional donors to Nepal. However, by offering alternative options to the GoN they are weakening the bargaining position of traditional donors, with the consequence that the Western practice of linking aid to conditionalities around governance or human rights will be less effective. We should not overestimate the effectiveness of these conditionalities: some of the concern about emerging powers "overestimates the extent to which [good governance, etc.] have been furthered by direct conditionalities imposed by [Western] donors"
.129 Nevertheless, conditionalities will now be less effective than they were before, so if the UK and others
wish to continue to exert a positive influence upon processes of development and peacebuilding, they will need to engage proactively and imaginatively with the new reality of a multi-polar donor context. In conclusion, this report suggests a number of ways in which Western policy makers could strengthen their engagement with China on issues of peace and stability in Nepal. This is on the basis of a preliminary and light-touch research exercise. It was not possible within the limited scope of this project to explore fully the various forms of Chinese engagement in Nepal or how they interact with conflict drivers; nor has there been a thorough analysis of all international actors. We recommend undertaking more in-depth and systematic research in some of the areas identified above, in order to generate a comprehensive evidence-base and to develop more targeted policy recom mendations. However, this report has highlighted a number of key issues to consider, and we hope it will stimulate policy debate as well as practical action in response to the significant changes identified.
Saferworld works to prevent and reduce violent conflict and promote co-operative approaches to security. We work with governments, international organisations and civil society to encourage and support effective policies and practices through advocacy, research and policy development and through supporting the actions of others. cover **photo**: Sindhulpalchok, Nepal - A view of the China-Nepal Friendship Bridge, spanning the Koshi river to link Nepal and Tibet, March 2010
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## The Office Of Rail And Road 173Rd Board Meeting 28 July 2020, 09:00 - 13:00 By Ms Teams
Non-executive members: Declan Collier (Chair), Stephen Glaister, Madeleine Hallward, Anne
Heal, Bob Holland, Michael Luger, Justin McCracken, Graham Mather
Executive members: John Larkinson (Chief Executive), Graham Richards (Director, Planning and
Performance); Ian Prosser (Director, Railway Safety).
In attendance: Dan Brown (Director, Economics, Markets and Strategy), Russell Grossman
(Director of Communications), Freya Guinness (Director, Corporate Operations), Juliet
Lazarus (General Counsel), Tess Sanford (Board Secretary)
Other ORR staff in attendance are shown in the text.
Item 1 WELCOME AND APOLOGIES FOR ABSENCE
1.
The chair welcomed everyone to this fifth video-conference meeting of the
ORR Board.
## Item 2 Declarations Of Interest 2. Anne Heal Reminded The Board Of Her Previously Declared Interest As The Chair Of Volunteering Matters.
3.
Stephen Glaister reported that, with the agreement of the Chair, he had joined a small advisory panel for the Mayor of London on options for the finance and governance of London Transport.
## Item 3 Approval Of Previous Minutes And Matters Arising 4. The Minutes Of The June Meeting Were Agreed.
5.
The board noted the updated action list.
6.
Anne Heal reported that the consumer expert panel had heard about significant changes to the NRPS that were proposed by Transport Focus at their June meeting. This action could be closed.
7.
The board agreed that the concerns around the level of SPADs continued and the completion of the specific action listed from June did not mean that this concern had reduced. The action should be retained to ensure reporting of progress on technological and other mitigations.
## Item 4 Covid-19 Update
8.
John Larkinson reported on timetabling issues and an increase in service levels which was due in September: current projections included about 90% of
pre-covid services from September. There would also be some changes permitted to the main timetable in December. The industry programme was called 'build back better' indicating an ambition to keep good levels of performance while returning to higher levels of activity. DfT would ultimately determine the balance of priorities between performance and capacity.
ORR's role in the process was to maintain oversight and assurance in relation to the operation of the PMO.
## Item 5 Chief Inspector'S Quarterly Report
9.
Ian Prosser reported on progress on the safe resumption of driver training for
traction conversion and new drivers. The final piece was route learning, proposals for which he expected would be accepted by Aslef later that day.
Overall this would enable companies to reduce the risk to the timetable of a shortage of drivers later in the year. The board welcomed the news that the unions had engaged positively in this difficult challenge and congratulated Ian and the team for their work in delivering the guidance.
10.
Ian noted the report of a serious SPAD which was being investigated. Work
on in-cab vigilance devices was progressing with trade union support. The
board asked whether enough was being done to make individual drivers
aware of the issue and to encourage them to increase their own vigilance. Ian Prosser assured the board that train operators and unions would already be highlighting this risk for individuals. There was no evidence that there was a lack of training or general awareness for drivers. The board noted that good driver management was an important part of mitigating SPAD risk and suggested that RSSB could be asked to do more to promote the sharing of good practice in this area by operators.
11.
The board noted the oral update on Eleclink where the decision on its risk assessment had now been delayed to October.
12.
The board asked about specific incidents in the report and the safety issues of ageing infrastructure on some London Underground lines.
13.
The board noted the receipt of a letter from a Coroner in relation to a fatality
on the DLR and asked to see the response **[Action]**.
14.
The board noted that the report seemed incorrect on enforcements numbers
and Ian undertook to update and circulate the figures. **[Action]**. Overall, he
thought enforcement numbers were as expected in the current year.
## Item 6 Chief Executive'S Report And Board Information Pack
15.
John Larkinson updated the board on several items including an overview of
the external environment and rail reform, the forward agenda for the board, internal issues including plans for a partial return to office working and a cluster of legal challenges.
Paragraphs 16 - 17 have been redacted as relating to current policy development.
18.
John also mentioned plans to make our offices Covid-secure by the end of
August to allow staff to return to the office as they needed to. Desk capacity would be significantly reduced - to around 80 staff across the offices. It had
become apparent that some staff's wellbeing had been significantly reduced by the extended period of homeworking and it was important that they were offered the opportunity to work from an office as soon as it was possible.
19.
ORR had received notice of the forthcoming central spending review, but not yet received detailed guidance. The deadline for a response was in September and the board would be consulted on our submission.
20.
Juliet Lazarus reported that, following the receipt of another letter before action, she had instigated a review with colleagues to check whether there
was any suggestion that ORR's processes or approach were leaving it open to legal challenge. At this stage there was no evidence of this but she would be working with key teams to be raise awareness of potential triggers.
21.
The board noted that DfT had sought ORR's advice on aspects of consumer law which was pleasing recognition of ORR's expertise.
22.
The board welcomed the appointment of the new chair of Highways England. ORR's Chair was seeking an introductory meeting.
23.
The board considered the board information pack. Performance during Covid had been very good overall but there were some operators with poorer results and the team were working to identify any underlying issues. The build back
better programme would be supported by analysis of performance information
during the pandemic compared with previous data.
24.
There were some areas where given the reduced congestion on the network
one might intuitively anticipate better performance eg around punctuality, cancellations and planning and delivery of maintenance and improvements. ORR should seek views from TOCs on the performance of NR during the
period to help identify any non-timetable issues. It would be important to recognise and celebrate positive improvements as well as any areas for further work.
25.
The board noted that data for 2020-21 would need to be contextualised in
future years to ensure that any comparisons and reference points were sensible and meaningful.
## Item 7 Highways
26.
Graham Richards introduced this new line item on the agenda which combined the regular reporting on HE from the board information pack with a short narrative piece on recent activity.
27.
This had been a busy month - the annual assessment of HE performance had been published and been well received. The HE delivery plan had not yet been published - this was with DfT. At the request of HSRC the team had reviewed
HE's risk assessment for the increase in speed limits through roadworks from 50mph to 60mph and were able to note that the assessment had been done well.
28.
The board discussed the items on the escalator in the report.
## Item 8 Quarterly Business Review
29.
Freya Guinness introduced the report. ORR was 9% underspent at the end of Q1, most of which was related to the underspend on travel and subsistence as a result of the lockdown. A re-budgeting exercise in June had identified additional activity that would support or enhance existing programmes of work and were in line with ORR and Government's spending priorities.
30.
8/10 of service standards had been met. The missed standards were as a result of the disruption caused by the sudden shift to homeworking while paper systems were still in use, and the pause in processes necessary to implement the new
finance system.
31.
The board noted the report.
## Item 9 Consumers - Atp Next Steps
Stephanie Tobyn, Marcus Clements and David Kimball joined the meeting for this item
32.
David Kimball described the responses received to the consultation and the
approach now recommended which was the best that could be found given the
complex picture of duties and legal powers. The new guidance required TOCs to use PSVAR compliant vehicles wherever possible as ORR recognised there was
an insufficient supply of compliant vehicles to cover all rail replacement services, and ORR had no locus to drive change in supply. A new MOU with the DVSA should enable clear demarcation between our respective responsibilities. Should breaches be found by ORR they would be referred to DVSA. Staff understood that DVSA had increased their own resources in this area and reported that they had
engaged constructively with the issue.
33.
The board discussed the responses from different consultees and noted that the consultation process had been productive. All the various considerations had been balanced by the team and the proposal was pragmatic. Overall the approach
seemed to be the best available and the board agreed to the publication of the guidance. It was noted that some consultees might still be disappointed with the final outcome.
34.
The board discussed how the coach industry might be supported to modify existing fleets to make them fully accessible but noted the lack of financial incentives and that operators were also under pressure to reduce emissions. This issue should be mentioned in the letter to the Rail Minister which would accompany publication of the guidance.
## Item 10 Governance - Hsrc Terms Of Reference
35.
The Health and Safety Regulatory Committee had reviewed its terms of reference and proposed some minor changes.
36.
The board adopted the proposed changes which would be embedded in the board procedures [Action].
Item 11
HS1 - ANNUAL REPORT ON PERFORMANCE
Matt Wikeley and Debbie Daniels joined the meeting for this item
37.
The report set out how HS1 had delivered a good year, well within the standards of the concession agreement. The report was on 2019-20 and was encouraging,
although it was recognised that there were considerably greater operational challenges in 2020-21.
## 38. The Board Approved The Report For Issue. Item 12 Nr - Pr 18 - Fixed Track Access Charges
Carl Hetherington, Will Holman, Pedro Abrantes and Jake Brown joined for this item
39.
Pedro Abrantes summarised the paper. The introduction of fixed track access charges which were rooted in predicted volumes had become irrelevant for CP6 given the current situation.
40.
The board discussed whether this was the right time to make a decision for the whole of the current control period or whether keeping the option open for another
year would offer more flexibility. On balance the team did not expect the situation to change enough within a year to lead them to a different recommendation. Acting now would bring clarity for the industry and would be a credible and sensible approach.
41.
The board noted that the FTAC remained a potentially useful mechanism in the
regulatory toolkit and anticipated that it could be a useful part of the next settlement. Any announcement should make this clear.
42.
The board supported the proposal and noted the importance of engagement with all stakeholders in explaining the decision.
## Item 13 Pr23 Programme Introduction
Catherine Williams, Rob Cook, Siobhan Carty and Martin Leggett joined for this item.
43.
Dan Brown described the regulatory strategy team, established in April this year. The team had worked on both the Williams Review and the evolving regulation programme (now PR23) so that they could pivot between the two as the policy environment developed. Both DfT and NR were interested in how PR23 might be used to deliver change in the industry.
Paragraphs 44-49 have been redacted from the published minutes as policy under
development. Item 14
ORAL UPDATES FROM ADVISORY PANELS, AND FEEDBACK
FROM BOARD COMMITTEES
50.
Bob Holland reported on the Audit and Risk Committee.
51.
A difference of technical opinion between HMT and NAO had resulted in considerable delay to the signing of last year's accounts, but these had now been done.
52.
An option to extend the internal audit contract by a year had been approved.
53.
There had been a good discussion on risk, with no notable worsening of the
position.
54.
A presentation on ORR's cyber security had included a new dashboard on our current risk level including major threats. The advisor had been complimentary about how the IS team have managed ORR's systems through the shift to remote working.
55.
Anne Heal reported on the Consumer Panel which had looked at the ATP
guidance, and the new activity around Eurotunnel's communications with passengers. It had also discussed ideas to help ORR improve its intelligence around safety concerns raised by the public.
Item 17
ANY OTHER BUSINESS
56.
The board noted the three items below the line.
57.
The chair mentioned his recent meetings including Keith Williams, Roger Lowe, Peter Hendy, Andrew Haines, Bernadette Kelly and Ian Watmore.
58.
There was no other business.
59.
The next meeting would be 22nd September 2020. It was hoped that new board
software would be implemented by that meeting. Plans for a face to face meeting of the board were being considered for October. Members were asked to let the Chair know their views. Item 18
NON EXECUTIVE DISCUSSION
60.
The non-executive members met privately to review the meeting. Approved by the board on 22 September 2020 | en |
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##
Natural Resources Wales permitting decisions
Variation of a bespoke Permit. We have decided to issue the variation for Aberthaw Power Station operated by RWE Generation UK plc. The variation number is EPR/RP3133LD/V014. We consider in reaching that decision we have taken into account all relevant considerations and legal requirements and that the permit will ensure that the appropriate level of environmental protection is provided.
## Purpose Of This Document This Decision Document:
explains how the application has been determined provides a record of the decision-making process shows how all relevant factors have been taken into account justifies the specific conditions in the permit other than those in our
generic permit template.
Unless the decision document specifies otherwise we have accepted the applicant's proposals.
Key issues of the decision
Introduction
Natural Resources Wales has received an application from RWE Generation UK plc to vary the environmental permit for Aberthaw Power Station. The application follows the recent Natural Resources Wales (NRW) led variation EPR/RP3133LD/V013 which reduced oxides of nitrogen (NO and NO2 expressed as NO2) (NOx) emission limit values (ELVs) in line with the Court of Justice of the European Union (CJEU) judgement on 21st September 2016. The current variation application from the operator is for plant modifications which are necessary to allow the installation to burn Higher Volatile Matter Coals (HVMC) in order to comply with the tightened NOx emission limits in the permit. As such the focus of our assessment is based on the proposed fuel diet change (from Low Volatile Matter Coals to HVMC) and the Best Available Techniques (BAT) case associated with the plant changes and proposed operating techniques. There is no change in risk to human health or ecological receptors as a result of this variation.
##
Our consultation position We do not routinely consult with external organisations for normal permit variation applications. We consider that there is no change in risk to human health associated with this normal variation application. On this basis, Natural Resources Wales considers that paragraph 6 of Schedule 5 of the Environmental Permitting (England and Wales) Regulations 2016 does not apply and therefore formal consultation with Public Health Wales and Cardiff and Vale University Health Board is not required. However, based on the high level of interest in this application, we took the decision to write to Public Health Wales (PHW) and Cardiff and Vale University Health Board (CVUHB) to formally explain this position and seek agreement to our approach.
Individual letters were sent to PHW and CVUHB on 10 May 2017. A joint response from the two organisations was received on 16 May 2017. The response agrees with NRW's position that there is no need to formally consult with PHW & CVUHB on this permit variation given that there is no anticipated change in process emissions and reiterates that the changes made to the permit to reduce emissions from the installation are welcomed.
Applicable Directives All applicable European directives have been considered in the determination of the application. Furthermore, a new ELV has been added to the permit to demonstrate equivalence of the current daily 95%ile ELV to the requirement to at least maintain the Large Combustion Plant Directive (LCPD) minimum standards during the Transitional National Plan (TNP) period. See Emission Limits section below. Operating Techniques We have reviewed the techniques used by the operator and compared these with the relevant guidance notes. During the determination of this variation application, the European Commission published the Best Available Techniques Reference Document (BAT BREF) BAT conclusions for large combustion plant (referred to further here as the LCP BREF). This was published on the 17 August 2017. As such, this becomes a formally recognised document for the assessment of BAT for plant within scope of the LCP BREF. The LCP BREF sets out BAT Associated Emission Levels (BAT-AELs). Under Article 21(3) of the Industrial Emissions Directive (IED) regulators must ensure that permit conditions are reconsidered and if necessary updated within 4 years of the publication of the LCP BREF. Article 15(3) of the IED requires regulators to set emission limit values that, under normal operating conditions, do not exceed the BAT-AELs, unless by derogation under Article 15(4). The European Commission also provide a set of Frequently Asked Questions (FAQ) in relation to IED, which provides the following guidance in relation to plant subject to specific derogations under IED Chapter III. The FAQ is set out below:
##
IED.III.8: What is the relationship between IED Chapters II and III, in
particular between the provisions of Article 15(4) providing for a
general derogation from BAT conclusions, and the specific
derogations applicable to large combustion plants?
For combustion plants benefitting from the time-limited and specific
derogation provisions of Articles 32 to 35, Article 15(3) does not apply for
certain air pollutants and these plants are not required, for those air
pollutants, to comply in addition with the conditions for the derogation set out
in Article 15(4);
Combustion plants which do not benefit from time-limited and specific
derogations pursuant to the Articles 32 to 35 are obliged to meet the
requirements as set out in compliance with Article 15(3). However the
national authorities may in certain cases and if all conditions set out there
are met grant a derogation according to Article 15(4);
Article 18 is applicable under all derogation regimes.
Therefore, plants that are subject to Article 32 to 35, which includes the Transitional National Plan (TNP) - Article 32 - are not subject to the requirements of Article 15(3) and thus Article 15(4), whilst subject to such derogation provisions in Articles 32 to 35. Aberthaw Power Station is subject to Article 32, and thus the European Commission FAQ is relevant here, although this does not remove the requirement to apply BAT. We have therefore required the applicant to submit a BAT assessment for the control of NOx emissions, and for this BAT assessment to consider the recently published LCP BREF. The applicant has provided in their BAT assessment, consideration of the damage costs of the NOx emissions in a similar approach that would be required if an applicant sought to apply for an Article 15(4) derogation. This has been considered for scenarios up to operation through to
2028, although it remains the proposal of UK Government that all UK coal fired power stations cease operation by 2025. It should be noted that no such derogation is required prior to exit of the TNP, however this does provide additional information to inform BAT and its associated emission limits prior to the power station's exit from the TNP. RWE have provided a cost benefit analysis for each abatement option. NRW is satisfied that all appropriate abatement options have been included in the submission. The cost benefit analysis includes a range of values for NOx including the most extreme value assigned by the European Environment Agency for this type of emission and a more valid site specific value derived from a tool developed by the UK regulators to properly reflect the impact on the surrounding population. We have assessed the cost benefit analysis against a number of criteria including those set out in Article 15(4) of IED and used the bold text headings below to demonstrate BAT compliance in this regard:
## Are There Geographical, Local Environmental Or Technical Reasons For Allowing A Less Strict Emission Value Than That Stated In The Bref?
There are no local environmental or geographical reasons that make this installation different from others in the UK or Europe, the initial design to use locally sourced coal does have an impact but this is considered as a technical reason. Aberthaw is the only plant of this design in the UK and rare throughout Europe. The plant was originally designed to use locally sourced coal of low volatility. This design means that the boilers operate at higher temperatures and have longer combustion residence times resulting in higher NOx levels in the emissions than plant of a more conventional design. The plant is only expected to operate until 2025 and only for part of the year reducing the viability of any possible abatement. NRW consider the design of the plant to be a technical reason that enables consideration of a NOx ELV that is higher than that set out on the LCP Bref document, in BAT conclusion 20, Table 3 (including footnotes).
## If A Less Strict Limit Is Set, Will There Be A Breach Of Environmental Quality Standard?
Air dispersion modelling has shown that NOx emissions result in local ground level concentrations lower than air quality standards. The models have used historic emission levels that are higher than current and proposed levels. The results of the modelling are conservative and therefore there will be no breach of an environmental quality standard because of this emission.
Will the limit set breach any applicable limit in the Annexes to the Directive?
NRW will ensure that the limits set in the permit at the end of the TNP period comply with Annex V of the Industrial Emissions Directive. The proposed limit that will be achieved following optimisation of the boilers, (and completion of improvement condition IC41), during the TNP, matches the 450 mg NOx/Nm3 limit listed in paragraph 4 of Part 1 of Annex V of IED for plants that do not operate more than 1500 hours per year as a rolling average over 5 years. The ELV set in the permit is also considered to represent current site specific BAT for NOx emissions from the station, subject to a review of performance during optimisation in accordance with improvement condition IC41
(see Improvement Conditions section below) to be completed before the end of the TNP.
Will the ELV result in any significant pollution and is there a high level of protection? The limits in the permit have been set to be protective of the environment based on air quality modelling. There has also been monitoring of ambient air quality in areas likely to be affected by Aberthaw Power Station. Since monitoring began in 2002 the NOx concentrations have been consistently below air quality standards which are set to be protective of human health, the reduced operating time and reduced emissions from Aberthaw will ensure this reduces further.
## Does The Cost Benefit Analysis Use Recognised Figures For Harm Where They Exist?
The cost benefit submitted with the BAT assessment uses recognised figures of harm per tonne of NOx, RWE have also included site specific costs that are the most appropriate to the specific emissions from Aberthaw.
## Does The Cost Benefit Analysis Use Costs That Can Be Verified?
The costs of the abatement provided by RWE are comparable with costs of similar plant in the electricity supply sector and other industries. In addition, the actual costs of installing low NOx technology on Unit 9 has been used and is indicative of the costs likely to be incurred at Aberthaw.
## Are The Costs Disproportionate To The Environmental Benefits That Could Be Achieved?
RWE have submitted a robust set of data and a cost benefit analysis that shows that the installation of Windbox technology onto units 7 and 8 is cost effective and will meet the requirements of Annex V of the IED. The cost benefit analysis submitted shows that reductions to meet the BAT AELs post the TNP will be disproportionate to benefits that could be achieved. Using the criteria set out in Article 15(4) of IED, NRW is satisfied that BAT is represented by a limit of 450 mg/Nm3 or lower if this can be achieved through optimisation and that further abatement to reduce this limit, results in disproportionate cost compared to the benefits that could be achieved. Following the submission of additional data on cost benefit analysis sensitivity to the current operational baseline, we have concluded the following:
The costs of all viable techniques outweigh the benefits significantly, with
the exception of the proposed HVMC fuel conversion in combination with existing mixed primary NOx controls;
The cost-benefit assessment (CBA) uses an appropriate methodology
and conservative assumptions; and
Sensitivity analysis of the CBA assumptions to baseline date, closure
date, abatement costs, achieved abatement level and damage costs does not alter the disproportionality of the costs compared to the environmental benefits.
In order to assess BAT in terms of the future of Aberthaw we have used the criteria set out in the Industrial Emissions Directive to evaluate the potential abatement options. The criteria listed in Article 15(4) have been used to evaluate the validity of the emission limit set in the permit against the limits laid out in the recently published BREF note. The Bref limits will not apply to the power station until at least the TNP has ended and the power station is no longer subject to derogation under Article 32. A further assessment may be required if the parameters used in the assessment have changed.
The Environment Agency and Natural Resources Wales IED BAT ESI review paper "BAT Review for the period 1 January 2016 until implementation of new BAT conclusions, or end of the TNP/LLD (as appropriate) E&W" (28th October 2014), set out site specific BAT for the installation when firing on Low Volatile Matter Coal. However, this has now been superseded by the BAT
assessment submitted as part of this variation application. A further review against the LCP Bref BAT conclusions will be undertaken during 2018 allowing further operating performance to be considered when setting BAT ELVs for the post-TNP period. We consider that the emission limits included in the permit reflect the BAT for the installation. We also consider that the operating techniques represent appropriate techniques for the facility.
Start-up / Shut down load threshold. The Operator originally applied to change the minimum start up and shut down load (MSUL/MSDL) thresholds in Table S1.5 from 395 MWe (74%) to 385 MWe (72%) as part of this variation. This change was requested to account for variations in works power taking sent out generation below the Stable Export Limit (SEL) which is equal to 395 MWe. However, since the variation application was submitted, the Operator has confirmed that they wish to withdraw this particular change request from the application, as their preference is for the information in the permit to match the SEL which remains at 395 MWe. However, from an environmental perspective, the operator has confirmed that the data capture for emissions reporting in MERS the (Continuous Emissions Monitoring (CEMs) system), will be triggered at the lower value of 385 MWe, which means that more emissions data will be captured when the station is running at lower loads.
## Raw Materials
We have specified limits and controls on the use of raw materials and fuels. More specifically we have updated Table S2.1 of the permit to reflect the fact that the installation will now be fired on higher volatile matter coal as well as low volatile content coal. As such, we have identified a volatile matter content range for the coal typically from 9% to >33% as received.
## Improvement Conditions
Based on the information on the application, we consider that we need to impose improvement conditions.
Improvement Condition IC41 requires that:
Following the commissioning of Units 7, 8 and 9 and a period of 6 months
operation on HVMC, the Operator shall submit a written post-commissioning report to Natural Resources Wales for approval. The report shall confirm the commissioning completion date for each unit conversion to bituminous coal firing. The report shall also state the emission reductions achieved and relevant performance parameters under the full range of operating scenarios, including, but not limited to:
noise levels associated with commissioning activities and routine start up and operation
fugitive dust emissions associated with coal stocking and handling
ash quality (and identification of the need for PFA landfill design review)
carbon in ash levels
tube failure rates
start up, shut down thresholds and boiler stability
slagging
thermal performance
CEMs performance
electrostatic precipitator performance
FGD performance
NOx emissions, including NO:NO2 ratio
CO emissions
The report shall include a justification of the Best Available Techniques Emission Limit Values (BAT ELVs) to be adopted upon full optimisation of all units, including a date by which the BAT ELVs will be achieved.
Recognising that Aberthaw Power Station will no longer be subject to Article 32 from 1 July 2020, we have included this improvement condition to confirm the performance of the plant modifications which will further inform the full LCP BREF review to be conducted for Aberthaw Power Station and the emission limit values for NOx.
The Operator's response to improvement condition IC41 is required to be submitted by 31st May 2018. Improvement Condition IC42 requires that:
The operator shall carry out a review of the Accident Management Plan to take account of each unit conversion to bituminous coal.
The reviewed plan shall be submitted to Natural Resources Wales for approval, and any additional measures and controls identified in the approved plan shall be implemented within 12 months of the written approval of the report by Natural Resources Wales.
NRW has already assessed the proposed measures for fire management and control as part of the variation application. However this improvement condition enables the operator to demonstrate that these control measures have been incorporated into the installation's Accident Management Plan and to ensure that the plan is reflective of operating experience using HVMC.
The Operator's response to improvement condition IC42 is required to be submitted by 31st May 2018.
Incorporating the Application We have specified that the applicant must operate the permit in accordance with descriptions in the application, including all additional information received as part of the determination process. These descriptions are specified in Table S1.2 "Operating Techniques" in the permit.
Emission Limits For combustion plant in the TNP, Article 32(2) requires that plant shall at least maintain the emission limit values for sulphur dioxide, nitrogen oxides and dust under the requirements of the Large Combustion Plant Directive (now repealed but still relevant for setting minimum standards during the TNP). The current 95% of validated daily means within a calendar year was considered to provide an appropriate equivalent for the 95% of validated 48 hourly means set out in the LCPD. However, to ensure that this is the case, this specific provision is also now included in the permit for the duration of the TNP, delivering the requirements of Article 32(2). A 550 mg/m3 48-hourly annual 95%ile Emission Limit Value (ELV) for NOx has been added to the permit as part of this variation. This new ELV will take effect from 1st November 2017. The purpose of the new ELV is to demonstrate equivalence of the current daily 95%ile ELV to the requirement to at least maintain the Large Combustion Plant Directive (LCPD) minimum standards during the Transitional National Plan (TNP) period. As there is currently very limited operational emissions data from the station using bituminous coal, it has not been possible to derive a daily 95%ile ELV for NOx with clearly demonstrable equivalence to the LCPD 550 mg/m3 48-hourly annual 95%ile ELV for NOx. The current daily 95%ile NOx ELV of 605 mg/m3 will be retained until the end of the TNP for transition to Industrial Emissions Directive (IED) Annex V ELV purposes. As a result of the BAT assessment, we consider the following emission limit values as site specific BAT for NOx emissions whilst Aberthaw power station is subject to the Article 32 TNP derogation provisions in IED Chapter III: Monthly average 450-500 mg/Nm3. 500mg/Nm3 applies immediately with 450 mg/Nm3 or less to apply following completion of unit optimisation and approval of the date specified in the response to improvement condition IC41. Annual 95th percentile of daily averages 550-605 mg/Nm3. 605mg/Nm3 applies immediately with 550 mg/Nm3 or less to apply following completion of unit
optimisation and approval of the date specified in the response to improvement condition IC41). Annual 95th percentile of 48 hourly averages 550 mg/Nm3, representing the 110% of the monthly average ELV as set out in Article 14(1)(b)(ii) of the LCPD.
Monitoring We have decided that monitoring should be carried out for the new 550 mg/m3 48-hourly annual 95%ile ELV for NOx using the methods detailed in Table S3.1 of the permit and to the frequencies specified therein. Condition 3.6.7(a) has been updated to reflect the fact that the new emission limit will be measured using Continuous Emissions Monitors (CEMS) and therefore all monitoring is subject to the permit requirements and confidence intervals associated with the use of CEMs.
Reporting Reporting of NOx emissions from emission point A1 continues to be required every three months. This reporting requirement also applies to the new 48- hourly annual 95%ile ELV of 550 mg/m3
Administrative Change The text "designed to operate on low volatile content coal" has been removed from Table S3.1 (under source: coal fired boiler plant). This is based on the fact that although this statement remains accurate, the installation's coal fired boiler plant will now be operating on Hard Coal which includes HVMC. | en |
2657-pdf |
## Good Hygiene Is Good For Your Business
A GUIDE FOR BUSINESSES
A good food hygiene
rating can help you
keep your customers
food.gov.uk/ratings
## Get A Good Rating, Get Recognised
The Food Hygiene Rating Scheme makes it easier for consumers to choose places with good hygiene standards when they're eating out or shopping for food. The food hygiene rating tells them about the hygiene standards in restaurants, pubs, cafés, takeaways, hotels, supermarkets and other places they go to for food. The scheme is run by local authorities in England, Wales and Northern Ireland in partnership with the Food Standards Agency You can also look up food hygiene ratings online at food.gov.uk/ratings
## Your Hygiene Rating
Your business will be given a hygiene rating following a planned inspection by a food safety officer from your local authority. Your hygiene rating depends on the standards of hygiene found at the time of the inspection.
Your business can be given one of six ratings. These are on a scale from '0' at the bottom, which means that urgent improvement is necessary, to '5' at the top, which means that the business was found to have 'very good' hygiene standards.
## Calculating Your Rating
The rating you are given will depend on:
## Advertising Good Hygiene To Your Customers
n How hygienically the food is handled including preparation,
cooking, re-heating, cooling and storage
It's a good idea to tell consumers how good your hygiene standards are by putting your rating sticker in the window or on the door - you will be given this by your local authority.
This means that your consumers can easily see your food hygiene rating when they visit your business.
n The cleanliness and condition of facilities and building
(including having appropriate layout, ventilation, hand
washing facilities and pest control) to enable good food hygiene
Your customers will also be able to look up your hygiene rating online at **food.gov.uk/ratings** which will include additional information on the 'ratings breakdown' for your business.
n How food safety within the business is managed including
a system or checks in place to ensure that food sold or served is safe to eat, evidence that staff know about food safety, and the food safety officer has confidence that standards will be maintained in future.
The food safety officer will explain to you if there are any improvements needed, what they are and how you can achieve a higher rating. Any business should be able to reach a top rating. The food hygiene rating is not a guide to food quality.
## Making Sure The Scheme Is Fair Find Out About Your Competitors
Each business is given a hygiene rating following its inspection by a food safety officer from the local authority. Is there a food business near you with better hygiene standards?
Find out at food.gov.uk/ratings You can ask for another visit to get a new rating if you make the improvements to hygiene standards that the local authority food safety officer told you about at your last planned inspection. You'll need to do this in writing and supply evidence of the improvements made. The food safety officer will re-assess hygiene standards and give you a new rating - this could go up but it could stay the same or it could go down. You have a 'right to reply' if you've improved hygiene standards since your inspection, or if there were unusual circumstances at the time of the inspection, and you want to explain this to your customers. You should submit this to your local authority and it will be published with your hygiene rating at food.gov.uk/ratings Y**ou can appeal** if you think your hygiene rating is wrong or unfair - in other words it does not fairly reflect the hygiene standards found at the time of your inspection. You must lodge an appeal with your local authority within 21 days of being told what your hygiene rating is. You can find out more about these safeguards at food.gov.uk/ratings Published by the Food Standards Agency March 2018. © Crown copyright 2018. | en |
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| SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|------------------------------------|--------------------------------|-------------------------------|--------------------------------|--------------|-----------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| BLABY AND DISTRICT SOCIAL CENTRE | H Improv, Leisure & Regulatory | Corporate Health Improvement | Hired Services | 06/09/2018 | 258.00 |
| BLABY MIND MATTERS | Planning, Housing, Econ & Comm | Grant Aid & Access Activities | Grants - Community | 06/09/2018 | 750.00 |
| BRAUNSTONE TOWN COMMUNITY MINI BUS | Other | General Fund Balance Sheet | In Year Capital Additions | 06/09/2018 | 3,000.00 |
| BROOK STREET UK LIMITED | Corporate Serv & Neighbourhood | Refuse & Recycling Options | Project/Initiatives Fees | 27/09/2018 | 433.35 |
| BROOK STREET UK LIMITED | Corporate Serv & Neighbourhood | Refuse & Recycling Options | Project/Initiatives Fees | 27/09/2018 | 433.35 |
| BROOK STREET UK LIMITED | Corporate Serv & Neighbourhood | Refuse & Recycling Options | Project/Initiatives Fees | 27/09/2018 | 543.53 |
| BROOK STREET UK LIMITED | Corporate Serv & Neighbourhood | Refuse & Recycling Options | Project/Initiatives Fees | 27/09/2018 | 543.53 |
| BROOK STREET UK LIMITED | Corporate Serv & Neighbourhood | Refuse & Recycling Options | Project/Initiatives Fees | 27/09/2018 | 503.13 |
| BROOK STREET UK LIMITED | Corporate Serv & Neighbourhood | Refuse & Recycling Options | Project/Initiatives Fees | 27/09/2018 | 543.53 |
| BROOK STREET UK LIMITED | Corporate Serv & Neighbourhood | Refuse & Recycling Options | Project/Initiatives Fees | 27/09/2018 | 488.44 |
| BROOK STREET UK LIMITED | Corporate Serv & Neighbourhood | Refuse & Recycling Options | Project/Initiatives Fees | 27/09/2018 | 543.53 |
| BURDENS GROUP | Other | General Fund Balance Sheet | In Year Capital Additions | 20/09/2018 | 55,842.32 |
| BURDENS GROUP | Other | General Fund Balance Sheet | In Year Capital Additions | 26/09/2018 | 56,357.32 |
| C P SOLUTIONS | Planning, Housing, Econ & Comm | Local Development Framework | Consultant'S Fees | 20/09/2018 | 882.00 |
| CAPITA BUSINESS SERVICES LIMITED | Finance, Efficiency & Assets | Banking Charges | Transaction Costs - Cards | 13/09/2018 | 2,965.54 |
| CCS MEDIA LTD | Leader | Performance Management | Sundry It Purchases | 13/09/2018 | 493.64 |
| CHARNWOOD BOROUGH COUNCIL | Community Services | Light Bulb Project | Professional Services | 06/09/2018 | 47,541.00 |
| CHARNWOOD BOROUGH COUNCIL | Community Services | Light Bulb Project | County Council Grants | 06/09/2018 | 23,770.50 |
| CHARNWOOD BOROUGH COUNCIL | Other | General Fund Balance Sheet | Deductions - Attach Of Earn. | 06/09/2018 | 314.62 |
| CIRRUS RESEARCH PLC | H Improv, Leisure & Regulatory | Noise Pollution | Equipment R & M | 27/09/2018 | 437.00 |
| CLOCKWISE | Other | General Fund Balance Sheet | Deductions - Clockwise | 26/09/2018 | 455.00 |
| COLLEGE GARTH LTD | H Improv, Leisure & Regulatory | Control Of Dogs | Small Misc Contracts | 20/09/2018 | 1,819.65 |
| COUNTESTHORPE PARISH COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 06/09/2018 | 13,360.00 |
| CRAEMER UK LTD | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Bins - Domestic | 26/09/2018 | 600.00 |
| CRAEMER UK LTD | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Bins - Domestic | 26/09/2018 | 600.00 |
| CRAEMER UK LTD | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Bins - Domestic | 26/09/2018 | 900.00 |
| CRAEMER UK LTD | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Bins - Domestic | 26/09/2018 | 4,750.00 |
| CREATIVE SUPPORT | Other | General Fund Balance Sheet | Creditors Suspense | 06/09/2018 | 465.38 |
| CROFT HAPPY CIRCLE | Planning, Housing, Econ & Comm | Grant Aid & Access Activities | Grants - Community | 06/09/2018 | 500.00 |
| CURRYS PC WORLD MEGASTORE | Community Services | Hospital Discharge Project | Telephones (Mobile/Pagers) | 06/09/2018 | 2,079.03 |
| D H PEPPER & SON | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Composting Fees | 26/09/2018 | 5,244.76 |
| DAISY COMMUNICATIONS LIMITED | Corporate Serv & Neighbourhood | Ict Services | Telecoms - Calls | 26/09/2018 | 1,521.91 |
| DETECTOR ALARMS LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Cyc: Fire Detection & Alarms | 27/09/2018 | 400.00 |
| DETECTOR ALARMS LIMITED | Finance, Efficiency & Assets | Whetstone Depot | Cyc: Fire Detection & Alarms | 26/09/2018 | 520.00 |
| DETECTOR ALARMS LIMITED | Finance, Efficiency & Assets | Whetstone Depot | Cyc: Fire Detection & Alarms | 26/09/2018 | 520.00 |
| DETECTOR ALARMS LIMITED | Finance, Efficiency & Assets | Whetstone Depot | Cyc: Intruder/Panic Alarm Serv | 26/09/2018 | 700.00 |
| DETECTOR ALARMS LIMITED | Finance, Efficiency & Assets | Whetstone Depot | Cyc: Intruder/Panic Alarm Serv | 26/09/2018 | 700.00 |
| DISABILITY ADAPTATION SERVICES | Other | General Fund Balance Sheet | In Year Capital Additions | 13/09/2018 | 2,217.63 |
| DISABILITY ADAPTATION SERVICES | Other | General Fund Balance Sheet | In Year Capital Additions | 27/09/2018 | 4,085.00 |
| DISABILITY ADAPTATION SERVICES | Other | General Fund Balance Sheet | In Year Capital Additions | 27/09/2018 | 580.00 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|-----------------------------------------|--------------------------------|--------------------------------|-------------------------------|--------------|-----------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| DR STEPHANIE SNAPE | Corporate Serv & Neighbourhood | Members Expenses/Allowances | Seminars & Short Training | 26/09/2018 | 472.00 |
| DTM GARDENS & LANDSCAPES LIMITED | Corporate Serv & Neighbourhood | Parks And Open Spaces | Open Space Development | 24/09/2018 | 1,324.00 |
| DTM GARDENS & LANDSCAPES LIMITED | Corporate Serv & Neighbourhood | Parks And Open Spaces | Open Space Development | 24/09/2018 | 1,765.00 |
| DTM GARDENS & LANDSCAPES LIMITED | Corporate Serv & Neighbourhood | Parks And Open Spaces | Open Space Development | 24/09/2018 | 1,225.00 |
| DTM GARDENS & LANDSCAPES LIMITED | Corporate Serv & Neighbourhood | Parks And Open Spaces | Countryside Areas Maintenance | 20/09/2018 | 1,976.00 |
| DTM GARDENS & LANDSCAPES LIMITED | Corporate Serv & Neighbourhood | Parks And Open Spaces | Countryside Areas Maintenance | 24/09/2018 | 3,268.00 |
| DTM GARDENS & LANDSCAPES LIMITED | Corporate Serv & Neighbourhood | Parks And Open Spaces | Countryside Areas Maintenance | 24/09/2018 | 3,782.00 |
| DTM GARDENS & LANDSCAPES LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 24/09/2018 | 3,653.00 |
| DTM GARDENS & LANDSCAPES LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 24/09/2018 | 1,500.00 |
| DTM GARDENS & LANDSCAPES LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 24/09/2018 | 4,760.00 |
| EDEN BROWN SYNERGY LIMITED | Community Services | Benefits Section | Temporary/Casual Staff | 13/09/2018 | 462.08 |
| ENDERBY DANEMILL PRIMARY | Other | General Fund Balance Sheet | In Year Capital Additions | 06/09/2018 | 3,000.00 |
| ESPO | Finance, Efficiency & Assets | The Pavillion - Land And Build | Pla: Redecoration - External | 26/09/2018 | 525.00 |
| EXTRAVAGANZA | Planning, Housing, Econ & Comm | Grant Aid & Access Activities | Other Local Authorities | 20/09/2018 | 278.00 |
| FORD & SLATER | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 13/09/2018 | 1,170.31 |
| FREETH CARTWRIGHT LLP | Finance, Efficiency & Assets | Central Stationery | Legal Fees | 13/09/2018 | 3,950.00 |
| FREIGHT TRANSPORT ASSOCIATION | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Seminars & Short Training | 26/09/2018 | 1,177.00 |
| FREIGHT TRANSPORT ASSOCIATION | Corporate Serv & Neighbourhood | Non-Kerbside Recycling Prom. | Seminars & Short Training | 26/09/2018 | 575.00 |
| GAP PROPERTY SERVICES LEICESTER LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 06/09/2018 | 4,645.00 |
| GLADSTONE MRM | Finance, Efficiency & Assets | The Pavillion - Land And Build | Licences | 20/09/2018 | 5,636.00 |
| HAYLEY SHAW | H Improv, Leisure & Regulatory | The Pavilion | Hired Services | 26/09/2018 | 300.00 |
| HEADLAND MULTIMEDIA LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 13/09/2018 | 5,390.00 |
| HEALTH MANAGEMENT LIMITED | Leader | Human Res. Train & Development | Occupational Health | 20/09/2018 | 713.40 |
| HINCKLEY & BOSWORTH COUNCIL | Community Services | Housing Services | Hired Services | 20/09/2018 | 4,200.00 |
| HINCKLEY & BOSWORTH COUNCIL | Corporate Serv & Neighbourhood | Ict Services | Applications - Corporate | 26/09/2018 | 3,821.20 |
| HINCKLEY & BOSWORTH COUNCIL | Corporate Serv & Neighbourhood | Communications | Hbbc: Ict Services Provision | 26/09/2018 | 30,663.36 |
| HINCKLEY & BOSWORTH COUNCIL | Corporate Serv & Neighbourhood | Ict Services | Hbbc: Ict Services Provision | 26/09/2018 | 322.50 |
| HOWKINS AND HARRISON | Finance, Efficiency & Assets | Assets Management | Valuation Fees | 27/09/2018 | 450.00 |
| HYDRO-X WATER TREATMENT LIMITED | Finance, Efficiency & Assets | The Pavillion - Land And Build | Cyc: Legionella Testing | 26/09/2018 | 770.00 |
| IDOX SOFTWARE LIMITED | H Improv, Leisure & Regulatory | Licencing Act 2003 | Software Maintenance | 26/09/2018 | 7,089.49 |
| IDOX SOFTWARE LIMITED | Planning, Housing, Econ & Comm | Planning Administration | Software Maintenance | 20/09/2018 | 600.00 |
| IDOX SOFTWARE LIMITED | Leader | Performance Management | Computer Infrastructure | 06/09/2018 | 1,900.00 |
| INFORM CPI LIMITED | Community Services | Nndr Billing & Coll Costs | Professional Fees | 13/09/2018 | 615.00 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Parks And Open Spaces | Temporary/Casual Staff | 20/09/2018 | 781.32 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Parks And Open Spaces | Temporary/Casual Staff | 20/09/2018 | 976.65 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Parks And Open Spaces | Temporary/Casual Staff | 26/09/2018 | 976.65 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Parks And Open Spaces | Temporary/Casual Staff | 26/09/2018 | 976.65 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Environmental Maintenance | Temporary/Casual Staff | 20/09/2018 | 622.45 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Environmental Maintenance | Temporary/Casual Staff | 26/09/2018 | 780.70 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Environmental Maintenance | Temporary/Casual Staff | 26/09/2018 | 780.70 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|------------------------------------------|--------------------------------|--------------------------------|------------------------------|--------------|-----------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Environmental Maintenance | Temporary/Casual Staff | 26/09/2018 | 780.70 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 26/09/2018 | 775.43 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 26/09/2018 | 933.68 |
| KILBY PARISH COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 27/09/2018 | 4,400.21 |
| KINGS ARMOURED SECURITY SERVICES LIMITED | H Improv, Leisure & Regulatory | Car Parks | Security Services | 06/09/2018 | 380.92 |
| KINGSWAY SURGERY | H Improv, Leisure & Regulatory | Corporate Health Improvement | Grants - Other Small Grants | 20/09/2018 | 10,000.00 |
| LAND DATA | Corporate Serv & Neighbourhood | Information Management | Seminars & Short Training | 26/09/2018 | 300.00 |
| LEICESTER CITY COUNCIL | Community Services | Hospital Discharge Project | Professional Fees | 20/09/2018 | 5,938.50 |
| LEICESTER CITY COUNCIL | Other | General Fund Balance Sheet | Deductions - Attach Of Earn. | 06/09/2018 | 270.74 |
| LEICESTERSHIRE COUNTY COUNCIL | Finance, Efficiency & Assets | Whetstone Depot | Rent Payments | 20/09/2018 | 4,875.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Corporate Serv & Neighbourhood | Local Land Charges | Lcc Fees | 26/09/2018 | 2,969.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Corporate Serv & Neighbourhood | Local Land Charges | Lcc Fees | 26/09/2018 | 3,445.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Corporate Serv & Neighbourhood | Local Land Charges | Lcc Fees | 26/09/2018 | 1,929.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 20/09/2018 | 4,375.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 26/09/2018 | 2,490.00 |
| LINK ASSET SERVICES | Finance, Efficiency & Assets | Interest On Investments | Hired Services | 13/09/2018 | 4,000.00 |
| LODGE TYRES CO LTD | Corporate Serv & Neighbourhood | Vehicle Maintenance | Tyres | 27/09/2018 | 751.44 |
| MAPLE FLEET SERVICES | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 26/09/2018 | 280.00 |
| MAPLE FLEET SERVICES | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 26/09/2018 | 280.00 |
| MAPLE FLEET SERVICES | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 26/09/2018 | 280.00 |
| MAPLE FLEET SERVICES | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 26/09/2018 | 280.00 |
| MAPLE FLEET SERVICES | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 26/09/2018 | 280.00 |
| MAPLE FLEET SERVICES | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 26/09/2018 | 280.00 |
| MAPLE FLEET SERVICES | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 26/09/2018 | 280.00 |
| MAX CLEANERS & MAINTENANCE LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Cleaning | 26/09/2018 | 3,965.00 |
| MILNER PROPERTY SERVICES | Other | General Fund Balance Sheet | In Year Capital Additions | 26/09/2018 | 5,886.05 |
| MOLYNEUX ROSE LTD | Finance, Efficiency & Assets | Trad Services - Whet Ind Est | Head Lease | 20/09/2018 | 49,875.00 |
| MORGAN HUNT DO NOT USE SEE 119308 | Finance, Efficiency & Assets | Recovery Team | Temporary/Casual Staff | 20/09/2018 | 924.00 |
| MORGAN HUNT PUBLIC SECTOR LIMITED | Community Services | Benefits Section | Temporary/Casual Staff | 26/09/2018 | 2,125.00 |
| MORGAN HUNT PUBLIC SECTOR LIMITED | Community Services | Benefits Section | Temporary/Casual Staff | 26/09/2018 | 2,125.00 |
| NAGELS UK LIMITED | H Improv, Leisure & Regulatory | Car Parks | Computer Stationery | 13/09/2018 | 947.52 |
| OLD NEWTONIANS RFC | Planning, Housing, Econ & Comm | Grant Aid & Access Activities | Grants - Other Small Grants | 06/09/2018 | 500.00 |
| ONLINE ERGONOMICS | Leader | Human Res. Train & Development | Occupational Health | 26/09/2018 | 315.40 |
| ONLINE ERGONOMICS | Leader | Human Res. Train & Development | Occupational Health | 26/09/2018 | 370.40 |
| PACE FUELCARE | Other | General Fund Balance Sheet | Fuel | 13/09/2018 | 29,417.50 |
| PARK AVENUE RECRUITMENT | Planning, Housing, Econ & Comm | Planning Delivery | Temporary/Casual Staff | 27/09/2018 | 1,995.00 |
| PARK AVENUE RECRUITMENT | Planning, Housing, Econ & Comm | Planning Delivery | Temporary/Casual Staff | 27/09/2018 | 1,985.50 |
| PEST FORCE | Finance, Efficiency & Assets | Whetstone Depot | Pest Control Services | 26/09/2018 | 300.00 |
| PIF PAF THEATRE LIMITED | H Improv, Leisure & Regulatory | Leisure Dev. - Arts & Heritage | Project/Initiatives Fees | 20/09/2018 | 850.00 |
| PLATTS HARRIS LIMITED | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 06/09/2018 | 260.50 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|----------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| POLYCOPY | Corporate Serv & Neighbourhood | Reprographics | Print Mats (Int. Print Room) | 26/09/2018 | 436.00 |
| PRATT & CHESTERTON ELECTRICAL | Finance, Efficiency & Assets | Council Offices & Land | Outside Printing | 13/09/2018 | 440.00 |
| PREMIER WASTE & RECYCLING | H Improv, Leisure & Regulatory | Con Of Other Pub. Health Risks | Works In Default | 13/09/2018 | 1,099.15 |
| PREMIER WASTE & RECYCLING | H Improv, Leisure & Regulatory | Private Housing Standards | Works In Default | 20/09/2018 | 500.65 |
| PREMIER WASTE & RECYCLING | H Improv, Leisure & Regulatory | Private Housing Standards | Works In Default | 20/09/2018 | 985.15 |
| PRINT UK | Leader | Register Of Electors | Hired Services | 13/09/2018 | 1,504.23 |
| PTTP PLANNING SERVICES | Planning, Housing, Econ & Comm | Development Strategy | Consultant'S Fees | 06/09/2018 | 2,100.00 |
| REACH PUBLISHING SERVICES LIMITED | Planning, Housing, Econ & Comm | Planning Delivery | Advertising - Notices | 06/09/2018 | 432.22 |
| REACH PUBLISHING SERVICES LIMITED | Planning, Housing, Econ & Comm | Planning Delivery | Advertising - Notices | 27/09/2018 | 360.19 |
| REACH PUBLISHING SERVICES LIMITED | Planning, Housing, Econ & Comm | Planning Delivery | Advertising - Notices | 27/09/2018 | 360.19 |
| REACH PUBLISHING SERVICES LIMITED | Planning, Housing, Econ & Comm | Local Development Framework | Public Consultation | 26/09/2018 | 528.27 |
| REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Security Services | 06/09/2018 | 619.70 |
| REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Security Services | 06/09/2018 | 619.70 |
| REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Security Services | 13/09/2018 | 619.70 |
| REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Whetstone Depot | Security Services | 06/09/2018 | 380.87 |
| REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Whetstone Depot | Security Services | 06/09/2018 | 380.87 |
| REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Whetstone Depot | Security Services | 06/09/2018 | 380.87 |
| REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Whetstone Depot | Security Services | 26/09/2018 | 380.87 |
| ROYAL MAIL GROUP LIMITED | Leader | Register Of Electors | Postages | 06/09/2018 | 4,672.72 |
| ROYAL MAIL GROUP LIMITED | Leader | Register Of Electors | Postages | 20/09/2018 | 1,109.50 |
| SCOTT HUGHES DESIGN | Planning, Housing, Econ & Comm | Local Development Framework | Consultant'S Fees | 20/09/2018 | 480.00 |
| SELLICK PARTNERSHIP | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 13/09/2018 | 679.50 |
| SELLICK PARTNERSHIP | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 13/09/2018 | 706.95 |
| SKY BUSINESS | Finance, Efficiency & Assets | The Pavillion - Land And Build | Licences | 20/09/2018 | 491.00 |
| SODEXO MOTIVATION - DIRECT DEBIT ONLY | Other | General Fund Balance Sheet | Deductions - Childcare Voucher | 20/09/2018 | 3,444.00 |
| SOLOPROTECT LIMITED | Other | General Fund Balance Sheet | Control A/C - Solo Protect | 26/09/2018 | 583.00 |
| T.S CUTLASS | Planning, Housing, Econ & Comm | Youth Council | Grants - Other Small Grants | 20/09/2018 | 1,000.00 |
| THE PRUDENTIAL ASSURANCE COMPANY LIMITED | Other | General Fund Balance Sheet | Deductions - Avc | 26/09/2018 | 1,405.12 |
| THE SECONDHAND WAREHOUSE LTD | Community Services | Hospital Discharge Project | Project/Initiatives Fees | 13/09/2018 | 470.83 |
| THOMAS INTERNATIONAL UK LTD | Leader | Staff Training And Development | Hired Services | 27/09/2018 | 1,500.00 |
| TOTAL GAS & POWER LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Electricity | 20/09/2018 | 2,538.53 |
| TRAPEZE GROUP LIMITED | Corporate Serv & Neighbourhood | Fleet Management | Software Maintenance | 06/09/2018 | 4,309.73 |
| TREVOR ROBERTS ASSOCIATES LIMITED | Planning, Housing, Econ & Comm | Strategic Growth Team | Seminars & Short Training | 20/09/2018 | 290.00 |
| UNISON | Other | General Fund Balance Sheet | Deductions - Unison | 06/09/2018 | 285.25 |
| VENN GROUP LTD | Community Services | C.Tax Billing, Coll & Recovery | Temporary/Casual Staff | 27/09/2018 | 793.75 |
| VODAFONE LIMITED | Corporate Serv & Neighbourhood | Ict Services | Telecoms - External | 06/09/2018 | 2,868.75 |
| WATER PLUS GROUP LIMITED | Finance, Efficiency & Assets | The Pavillion - Land And Build | Water Charges | 26/09/2018 | 544.56 |
| WATER PLUS GROUP LIMITED | Finance, Efficiency & Assets | Public Conveniences | Water Charges | 20/09/2018 | 264.11 |
| WHETSTONE CLCGB | Planning, Housing, Econ & Comm | Grant Aid & Access Activities | Grants - Other Small Grants | 06/09/2018 | 1,250.00 |
| WHETSTONE CLCGB | Other | General Fund Balance Sheet | In Year Capital Additions | 06/09/2018 | 642.00 |
| SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|--------------------------|--------------------|----------------------------|----------------------------|--------------|----------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| WHETSTONE PARISH COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 06/09/2018 | 4,800.00 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 06/09/2018 | 448.38 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 13/09/2018 | 599.65 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 20/09/2018 | 1,117.77 |
| en |
4970-pdf | Director, Rail Policy Telephone 020 7282 2031
E-mail [email protected]
29 January 2013
To holders of GB passenger train licences and SNRPs listed in schedule 1 Dear licence holder
## Notice Of Modifications To Passenger Train Licences And Snrps
The companies listed in schedule 1 to this notice have been granted licences and statements of national regulatory provisions (SNRPs) to operate railway assets under section 8 of the Railways Act 1993 (the Act) or regulation 10 and schedule 4 of the Railway (Licensing of Railway Undertakings) Regulations 2005 (the Regulations).
In accordance with section 12(2) of the Act and regulation 13(2) of the Regulations on 16
October 2012 I gave notice of our intention to modify certain licences and SNRPs.1
The Office of Rail Regulation's (ORR's) notice set out the reasons for the modification and its effect. I required any representations or objections to be made on or before 13 November 2012. On 9 November 2012 this deadline was extended until 23 November 2012. ORR has considered the representations and objections which were received during the consultation period and which were not withdrawn. The only issue raised of note, which has resulted in an amendment to the Rail Delivery Group articles of association, was explained in my letter dated 18 January 2013.2 As a result no changes are proposed to the licence modification consulted on and to which the licence and SNRP holders listed in schedule 1 to this notice have consented.3 Under section 12(1) of the Act and regulation 13(1) of the Regulations I therefore modify the licences and SNRPs listed in schedule one to this notice by adding new condition 28
'the Rail Delivery Group' as set out in schedule 2.
I will place a copy of this letter on our website and public register. We will also update all the relevant licences and SNRPs on our website. Yours sincerely Michael Beswick
## Schedule 1: Passenger Licences And Snrps
The licences and statements of national regulatory provisions (SNRPs) subject to this notice, with their reference numbers are:
Operator licence or SNRP
Reference number
Abellio Greater Anglia Ltd - GB passenger SNRP UK 02 2012 0001
Arriva Trains Wales Ltd - GB passenger SNRP - GB freight SNRP UK 02 2005 0011 UK 02 2005 0013
c2c rail ltd - GB passenger SNRP UK 02 2005 0015 UK 02 2005 0019
UK 02 2005 0021
The Chiltern Railway Company Ltd - GB passenger SNRP - GB freight SNRP Colas Rail Ltd - GB freight SNRP UK 02 2012 0002
DB Regio Tyne and Wear Ltd - Passenger train licence UK 03 2010 0001
DB Schenker Rail (UK) Ltd - GB freight SNRP UK 02 2005 0029
Devon and Cornwall Railways Ltd - GB freight SNRP UK 02 2010 0001
Direct Rail Services Ltd - GB freight SNRP - GB passenger SNRP UK 02 2005 0026 UK 02 2005 0024
East Coast Main Line Company Ltd - GB passenger SNRP UK 02 2006 0006
East Midlands Trains Ltd - GB passenger SNRP UK 02 2007 0009 UK 02 2005 0031
UK 02 2005 0033
English Welsh & Scottish Railway International Ltd
- GB freight SNRP
- GB freight SNRP
(international services)
UK 02 2011 0001
Europorte Channel - GB freight SNRP
Operator licence or SNRP
Reference number
First Capital Connect Ltd - GB passenger SNRP UK 02 2006 0004
First Greater Western
Ltd - GB passenger SNRP UK 02 2006 0002
First Scotrail Ltd - GB passenger SNRP - GB freight SNRP UK 02 2005 0035 UK 02 2005 0037
First/Keolis Transpennine Ltd - GB passenger SNRP - GB freight SNRP UK 02 2005 0039 UK 02 2005 0041
Freightliner Heavy Haul Ltd - GB freight SNRP UK 02 2005 0043
Freightliner Ltd - GB freight SNRP UK 02 2005 0045
GB Railfreight Ltd - GB passenger SNRP - GB freight SNRP UK 02 2009 0001 UK 02 2005 0049
Grand Central Railway Company Ltd - GB passenger SNRP UK 02 2007 0003
Heathrow Express Operating Co Ltd - Passenger train licence UK 03 1997 0001
Hull Trains Company Ltd - GB passenger SNRP UK 02 2005 0055
London and Birmingham Railway Ltd - GB passenger SNRP UK 02 2007 0011
London and South Eastern Railway Ltd - GB passenger SNRP UK 02 2006 0003
London Overground Rail Operations Ltd - GB passenger SNRP UK 02 2007 0012
Operator licence or
SNRP
Reference
number
London Underground Ltd - Passenger licence UK 03 2004 0008
Merseyrail Electrics 2002 Ltd - Passenger train licence UK 03 2003 0011
North Yorkshire Moors Railway Enterprises plc - Passenger train licence UK 03 2007 0002
Northern Rail Ltd - GB passenger SNRP - GB freight SNRP UK 02 2005 0067
UK 02 2005 0069
Pre Metro Operations Ltd - Passenger train licence UK 03 2003 0004
Rail Express Systems Ltd - GB passenger SNRP - GB freight SNRP UK 02 2005 0071 UK 02 2005 0073
Operator licence or
SNRP
Reference
number
Southern Railway Limited - GB passenger SNRP UK 02 2009 0002
Stagecoach South Western Trains Ltd - GB passenger SNRP UK 02 2007 0001
West Coast Main Line Company Limited - GB passenger SNRP UK 02 2006 0007
West Coast Railway Company Ltd - GB passenger SNRP - GB freight SNRP UK 02 2005 0079 UK 02 2005 0081
West Coast Trains Ltd (Virgin) - GB passenger SNRP - GB freight SNRP UK 02 2005 0083 UK 02 2005 0085
XC Trains Limited - GB passenger SNRP UK 02 2007 0010
## Schedule 2 For Licences Insert New Condition 28: Condition 28: Rail Delivery Group
1. The licence holder shall:
(a) become and thereafter remain a Licensed Member of RDG;
(b) comply with its obligations under the RDG Articles; and
(c) procure that any member of its Group that is entitled under the RDG Articles to
become a Member of RDG:
(i)
becomes and thereafter remains a Member of RDG; and
(ii)
complies with its obligations under the RDG Articles.
2. In this condition:
"Group" has the meaning ascribed to it in the RDG Articles;
"Licensed Member" has the meaning ascribed to it in the RDG Articles; "Member" has the meaning ascribed to it in the RDG Articles;
"RDG" means the Rail Delivery Group (a company limited by guarantee and registered in England and Wales under number 08176197); and "RDG Articles" means the articles of association of RDG.
## For Snrps Insert New Condition 28: Condition 28: Rail Delivery Group
1. The SNRP holder shall:
(a) become and thereafter remain a Licensed Member of RDG;
(b) comply with its obligations under the RDG Articles; and
(c) procure that any member of its Group that is entitled under the RDG Articles to
become a Member of RDG:
(i)
becomes and thereafter remains a Member of RDG; and
(ii)
complies with its obligations under the RDG Articles.
2. In this condition:
"Group" has the meaning ascribed to it in the RDG Articles;
"Licensed Member" has the meaning ascribed to it in the RDG Articles; "Member" has the meaning ascribed to it in the RDG Articles; "RDG" means the Rail Delivery Group (a company limited by guarantee and registered in England and Wales under number 08176197); and
"RDG Articles" means the articles of association of RDG. | en |
2841-pdf |
## Performance And Resources Report Q1 2020/21
Food Standards Agency - FSA 20/09/10
Business Committee 23 September 2020
## Contents
| Foreword | …………………………………..……………………………………………………………………………… 3 |
|------------------------------------------------------------------------------------|---------------------------------------------------|
| Executive Summary - Food Safety, Consumer Tracker, Prioritisation and Food Sector | ……. 4-8 |
| Incident Response Mobilisation | ………………………………………………………………………………….. 9 |
| Helping to Keep Industry Working | ………………………………………………………………..…………….. 10 |
| Relationship With Consumers During COVID-19 | ….………………………………………………….…… 11 |
| Making COVID-19 Food Guidance Available to Businesses | ……….……………………..………..… 12 |
| Engagement With Industry During COVID-19 to Support Food Production / Supply | ……… 13 |
| Communicating With Our Staff | ………………………………….…………………………………………….…. 14 |
| Incident Response and Local Authority Hub Performance | …………..………………………………. 15 |
| Supporting Our Staff | ……………………………………………………………………………………….…………. 16 |
| Remote Recruitment and Return To Office | ……………………….…………………….……….…………. 17 |
| Finance - Spend vs HM Treasury Limits, Priorities, Key Areas of Spend and COVID-19 | …. 18-21 |
## Foreword Colin Sullivan, Chief Operating Officer / Covid-19 Incident Director And Chris Hitchen, Director Of Finance & Performance
The COVID-19 pandemic is an unprecedented event, greater in scale, than any other incident the Food Standards Agency has dealt with. The FSA's objectives throughout have been to ensure food safety, preserving the high level of consumer protection in the UK whilst supporting industry in maintaining the nation's food supply. We have sought to ensure an effective yet flexible response whilst supporting our own key workers, putting their safety and wellbeing first throughout the outbreak, keeping consumer interests in mind at all times. We developed contingency plans early, have engaged widely with stakeholders and there has been a keen interest in the guidance and advice developed by the Agency. We have also sought to seize opportunities to operate differently, adopting smarter ways of working where possible. Our goal has been to lead the food regulatory landscape as it adapts to the "new normal", rather than reacting to changes as they happen. The FSA has drawn on the extensive expertise and support of our scientific advisory committees to determine that the risk of transmission of COVID- 19 through consumption or handling of food, or handling of packaging, is very low. Throughout the pandemic we have continued to amplify central government guidance to the public on steps to minimise transmission of the virus. We have seen significant movements in demand between food service and retail with a continuing increase in requirement for home delivery of foods via internet shopping. The UK food system, including both industry and local authorities, has responded well to the crisis putting food safety at the forefront and our regular engagements through a variety of methods have helped to determine where possible food chain disruption might affect UK food safety, allowing us to develop temporary and proportionate easements to help the situation. The FSA has worked with businesses, local and port health authorities and consumer groups seeking to have the most up-to-date, accurate and useful information available. We have developed a business and industry portal bringing together in one place all our advice and guidance for food businesses looking to operate during the pandemic. In addition, we have provided regular updates to local authorities providing advice and support on the prioritisation of food and feed law official controls. Throughout the pandemic FSA staff have continued to work successfully either from home or at approved premises ensuring that all meat plants under our jurisdiction remained capable of operating. The health and wellbeing of our staff is of the utmost importance and we have continually provided updates on the pandemic and guidance as to how to keep themselves and others safe. As essential Key Workers, they are critical to national service delivery ensuring that the UK food supply keeps flowing. The incident has put significant demands upon FSA personnel at a time when many of us have our own personal concerns. However, throughout the pandemic, staff absence has remained minimal and morale has been good. Put simply, our staff have been superb, as have those working across the whole food system. Going forward, we remain prepared with available capability and capacity to address a future resurgence of COVID-19 should that occur even if it is concurrent with the end of the EU exit transition phase when the Northern Ireland protocol comes into effect.
## Executive Summary Food Safety Highlights Public Health England (Phe) Campylobacter Cases Risk Of Covid-19 Exposure In Food Social Media Response Overall Risk = Very Low
The FSA were aware of the potential for disinformation to circulate online in connection with COVID-19, for example, the FSA observed a trend asking whether it was necessary to wash fruit and vegetables in bleach, disinfectant or detergent in order to inactivate the virus.
In response, the FSA launched a series of social media posts to firmly state that consumers should not wash food with bleach, disinfectant or detergent which performed well across all channels receiving:
The FSA considered the probability that UK consumers would receive infectious exposures of COVID-19 via food consumption, handling food contact materials or packaging as Negligible as assessed by pathway A (food
## 50K Accounts Who Viewed This Post Which Also Had An
of animal origin) and **Very Low** ("very rare but cannot be excluded") as assessed by pathway B (contamination of food)
## Food Incidents
average interaction per 1,000 followers of 5%, significantly higher than our average interaction rate
## Executive Summary Covid-19 Consumer Tracker Highlights Eating Out
% of respondents in July who suggest they would not return to restaurants for the foreseeable future,
## Consumers And The Food System: Covid-19
The qualitative research showed that more generally, COVID-19 had changed how consumers buy, cook and eat food
Participants were
eager for clear visual
safety cues in shops,
particularly clear
social distancing
Trust in food businesses have
mostly strengthened under
COVID-19, driven primarily by a
perceived robust 'return to
normal' after early disruptions
like product shortages
## Food Insecurity Food Availability / Affordability
% of respondents in April concerned about food availability. This reduced to **20%** between
## Eating Food Past Use-By Dates
% of respondents in April
indicated that they had eaten
food that had gone past its sell
by date. This reduced to a range
of 17-39% in May and June
Many experienced positive
changes to household food
behaviours such as
increased home-cooking
and food sharing and
increased attention to diet
The average % of respondents
between April and July during
lockdown who had cut down meal
sizes or skipped meals entirely due to
not having enough money
## Prioritising The Fsa'S Executive Summary Covid-19 Response
The FSA's objectives throughout have been to ensure food safety, preserving the high level of consumer protection in the UK whilst supporting industry in maintaining the nation's food supply
## Meat Premises Audits Were Re-Prioritised
Using a risk based approach audits of meat Food Business Operators (FBOs) continued to be carried out only for those in the lowest two categories of compliance with 2 audits needed in Q1. This allowed staff to be redeployed and support FBOs operating
## Public Consultations Have Been Paused Local Authority Activity Re-Prioritisation
Guidance on re-prioritising was produced for the local authority community with over 600 views since its launch in March. The guidance was regularly reviewed and updated with 12 iterations in Q1
## Mobilisation Of Staff
92 Colleagues worked directly in the incident response team on a variety of activities. In addition 30 qualified staff were redeployed to Field Operations from elsewhere in FSA. Across the organisation all activity was reprioritised with COVID-19 support as the top priority for enabling functions Statutory consultations, report publications and reviews have been paused to not add to the burden on stakeholders while COVID-19 is the priority
## Executive Summary Our Performance In Q1 20/21 Food Sector Context Executive Summary Value Of The Food Sector Economic Outlook Since Covid-19 Employment Since Covid-19
In working hours in the accommodation and food service activities sector, by far, the largest
% of businesses that had reduced working hours
## Small To Medium Enterprises (Smes)
The average proportion of SMEs in manufacturing, hospitality, wholesale and retail in the food sector to the UK economy. They are important in the food chain supply to maintain competitiveness compared to the same Of employees in the accommodation and food service sector were furloughed, the largest proportion of any workforce
## Incident Response Mobilisation Incident Response Mobilisation Field Staff Absence Figures
92 Colleagues who worked throughout in incident response on a variety of activities including investigation groups of which 48 were volunteers from across the agency Including 7 group leaders and support managers In addition 30 qualified inspection and veterinary staff were seconded to Field Operations to ensure delivery continued Despite a peak of 132 daily COVID-19 related absences during the early part of our COVID-19 response, Field Operations delivery continued
## Helping To Keep Industry Working
of meat approved premises wanting to operate during Q1 were able to as FSA contingency plans for staff deployment provided staff to meet requirements Animal welfare standards were maintained
## Relationship With Consumers During Covid-19 Ensure People Understand That You Cannot Get Covid-19 From Food, And What To Do To Keep Food Safe What? How?
issues. Delivered communication activity in a timely way, for example, on use-by dates and freezing products and amplified this through partners
## Gov.Uk In Q1. **34,000** Alone In The First 3 Days Of Publication Making Covid-19 Food Guidance Available To Businesses What? Help Businesses Find The Information They Need To Make Adjustments To Keep Running Without Compromising Food Safety
This represents 6.48% of overall site traffic and is **137,000** more than the next most popular non-COVID-19 content The portal has a returning visitor rate of
29.29% (**12.8**% higher than the food.gov.uk average)
with the meat industry, and weekly calls with other industry stakeholders
bodies to promote #FoodHeroes, a social media campaign to highlight the efforts of keyworkers across the food industry
## Engagement With Industry During Covid-19 To Support Food Production / Supply
Meetings in place for two-way communication during the FSA's COVID-19 response and key outcomes from the meetings
## Account Manager Calls With Fbos
representative groups invited to the
Main focus for timely
information exchange on
food supply and security
across the food industry
Trade Association
forum for information
exchange on COVID-19
matters involving food
industry to raise any concerns around food safety and supply
## Daily Strategic & Technical Meetings
with Industry & Key Stakeholders
Opportunity to discuss emerging
risks and issues with industry
representatives, provide
assurance and share information
Implementation and
monitoring of stage 2
and stage 3
easements to support
service delivery
## Communicating With Our Staff What?
Ensure staff feel engaged and that senior leadership is sufficiently visible, particularly for frontline staff working in meat premises. Celebrate the role of staff in meat premises (our field operations team) in maintaining food supplies
## Incident Response And Local Authority Hub Performance Local Authority Guidance Supporting Our Staff Covid-19 Related Special Leave From 1 April To 30 June 2020
The FSA revised the special leave policy for staff requiring emergency leave to enable staff to do the right thing
## Fsa Staff Networks - Key Highlights From Covid-19 Response Meeting Our Staff'S Wellbeing Needs
Weekly virtual coffee
Virtual learning
Regular COVID-19
mornings to provide a
guidance published to
newsletters published,
safe space to talk, listen,
enable staff to continue
providing key and the
share stories and help
learning and developing
latest information
each other
by total number of
days available)
Increased and
implemented working
Provided additional IT
equipment / furniture
from home allowance to
to staff to enable fullall home-working staff
time homeworking
## Remote Recruitment And Return To Office Alternative Route To Recruitment Return To Office Surveys - Key Findings
How effective do you feel you are working from home, in comparison to when you were working in an office?
Has your work-life balance changed since working from home?
Based on your experience of working from home so far, or you considering changing your contract to either multi location or home-based?
Would you like to be considered as one of the first to return to office as soon as we are able to?
## Affordability - How The Fsa Is Performing Against Hm Treasury Limits 2020/21
| 20/21 Full Year | Fav/(Adv) | Fav/(Adv) | Under | / |
|---------------------------------|----------------|----------------|---------|-------|
| Forecast | | | | |
| 20/21 | | | | |
| Limits | Availability | Variance | (Over) | |
| £m | £m | £m | % | spend |
| FSA Total (RDEL & CDEL exc AME) | | | | |
| 121.3 | 126.8 | 5.5 | 4% | |
| ˜ | | | | |
| Westminster (including EU Exit) | | | | |
| Net Admin Expenditure | | | | |
| 49.2 | 49.7 | 0.5 | 1% | |
| ˜ | | | | |
| Net Programme Expenditure | | | | |
| 51.2 | 53.2 | 2.0 | 4% | |
| ˜ | | | | |
| Capital (CDEL) | | | | |
| 8.4 | 8.9 | 0.5 | 6% | |
| ˜ | | | | |
| Wales | | | | |
| RDEL & CDEL | | | | |
| 3.4 | 3.7 | 0.3 | 8% | |
| ˜ | | | | |
| Northern Ireland | | | | |
| RDEL & CDEL | | | | |
| 9.1 | 11.3 | 2.2 | 19% | |
| ˜ | | | | |
## Breakdown Of Corporate Priorities
| | | 2020/21 | Under |
|------------------------------------------------|--------------|------------|---------|
| Budget | / | (Over) | Spend |
| 2020/21 | | | |
| Full Year | | | |
| Forecast | Availability | | |
| £m | £m | £m | |
| FSA Total (RDEL & CDEL) (of which): | | | |
| 121.3 | 126.8 | 5.5 | |
| Risk Assessment and other Science | | | |
| 10.1 | 10.9 | 0.8 | |
| Risk Management and other Policy | | | |
| 6.3 | 7.0 | 0.7 | |
| LA Support & Delivery of official controls | | | |
| 6.0 | 6.0 | 0.0 | |
| National Food Crime Unit (NFCU) | | | |
| 4.3 | 4.8 | 0.5 | |
| Operations excl. NFCU & COVID-19 | | | |
| 22.0 | 24.3 | 2.3 | |
| Doing the day job well | | | |
| 47.7 | 51.6 | 3.9 | |
| Capital | | | |
| 2.7 | 3.2 | 0.5 | |
| Key Priorities (see next slide for breakdown): | | | |
| 22.2 | | | |
| 19.0 | (3.2) | | |
## Breakdown Of Key Areas Of Spend
| 2020/21 | Under | / |
|-------------------------------|--------------|-------|
| Budget | Spend | |
| 2020/21 | | |
| Full Year | | |
| Forecast | Availability | |
| £m | £m | £m |
| Key Priorities (of which): | | |
| 22.2 | 19.0 | (3.2) |
| COVID-19 (see next slide) | | |
| 3.6 | 0.0 | (3.6) |
| EU Transition excl. NFCU | | |
| 10.0 | 10.2 | 0.2 |
| Achieving Business Compliance | | |
| 2.5 | 2.4 | (0.1) |
| Operational Transformation | | |
| 1.1 | 1.2 | 0.1 |
| Food Hypersensitivity | | |
| 2.7 | 2.9 | 0.2 |
| Surveillance ( inc. Sampling) | | |
| 2.3 | 2.3 | 0.0 |
## Covid-19 Costs And Savings
2020/21 Full Year
Forecast £m
COVID-19 Costs (of which):
3.6
Reduced Income - Non-idle Time
0.6
Additional E&J Costs
0.6
Surveillance Sampling in response to COVID
0.6
Field Operations Increased Overtime (including SCS overtime)
0.5
Additional Field Operations Consumables / Services & Other Costs
0.5
Staffing costs
0.3
Briefing Cell & Outward secondment Costs
0.3
COVID-19 Horizon Scanning - research support
0.2
2020/21 Full Year
Forecast £m
COVID-19 Savings (of which):
(2.1)
Travel & Subsistence
(1.9)
Training & Meeting Room Hire
(0.2)
| en |
0389-pdf |
th
## The Total Costs Of Seven Prosecution Cases.
Request What was the total cost of the prosecution of the following individuals:- A Ali Mubarek Ali M Islam Chowdray M Ali Sutton M Younis M Khan T Ahmed Response Generally, where a request is made regarding prosecution costs, the Crown Prosecution Service (CPS)
will endeavour to provide counsel's costs only. This is because the CPS does not record time spent by internal lawyers, paralegals and administrative staff on a case by case basis. We can therefore only provide counsel costs. Counsel fees for prosecuting the above named defendants came to a total of £17,203. This amount includes VAT. Information Management Unit 020 3357 0899
[email protected]
Crown Prosecution Service, Information Management Unit,
Floor 8, 102 Petty France, London SW1H 9AJ | en |
3823-pdf |
## The Member Development Charter And Charter Plus
Supporting continuing professional development for councillors Produced in conjunction with the following organisations
## Foreword
The environment in which we work is ever changing and if we're to continue to meet our residents' expectations we've got to keep pace with it. That means recognising that the role of the councillor
is different to what it was five, 10, even 20 years ago.
I would strongly encourage local areas to adopt the Member Development Charter and Charter Plus as a guide and a benchmark as part of your improvement journey. Every profession has continuing professional development at the heart of their improvement and so should we. The Member Development Charter and Charter Plus supports this continuing professional development for councillors by being a contract between the council and its councillors that commits to invest in councillors' growth and development.
We're wardens of places, leaders who represent the interest of our residents, protectors who mitigate the impact of funding constraints, facilitators who help partners and communities work together and develop new possibilities for their local areas. Our roles are being redefined and we need to make sure we have the skills and expertise to continue delivering for our communities. The Member Development Charter and Charter Plus has provided councils with a robust framework and has encouraged member development across the sector. This year we've reviewed the charter to make sure we're capturing current and future challenges so that councillors are able to shape debate whilst continuing to fulfil their role as the community representatives.
## Guidelines
There are three essential criteria to achieving the charter:
1. There is a clear commitment to councillor development and support
The following lists are intended to indicate the sorts of evidence that can be used to show that the council's approach to member development meets the charter criteria. Note that:
2. The council has a strategic approach to councillor development
• There is no need to show all the evidence listed.
3. Learning and development is effective
in building councillor capacity.
• This does not preclude the use of other evidence that may not be
listed. The emphasis is on a local approach to a national framework.
• Some are likely to be stronger indicators than others. • Some pieces of evidence may be applicable to more than one element
and criteria.
Within each of these there are a number elements and requirements to demonstrate that the criteria are being met. These do not dictate what should be in the strategy, the nature of the content or the delivery mechanisms that should be used. The emphasis is on ensuring that all councillors are appropriately developed and supported so that they can be effective in their roles.
## Member Development Charter And Charter Plus: Examples Of Evidence Criterion 1. There Is A Clear Commitment To Councillor Development And Support
| Elements | Requirements for Charter |
|-----------------------------------|-----------------------------|
| • Clear commitment from the | |
| top political and managerial | |
| leadership | |
| 1.1. | Political and managerial |
| leadership is committed | |
| to the development of | |
| councillors | |
| • Established cross party councillor | |
| development task group (CDTG) | |
| that meets regularly | |
| • There is a clear councillor | |
| development strategy which is | |
| embedded into practice and | |
| regularly reviewed | |
| • Named councillor(s) and officer(s) | |
| responsible for councillor | |
| development | |
| • Signed commitment to achieving | |
| the charter | |
| • Councillors are included in any IiP | |
| Award questioning process | |
| • Clear commitment from top | |
| political and managerial | |
| leadership to share development | |
| opportunities across local | |
| government tiers (including with | |
| parish and town councils) | |
| • Strategies are in place to support | |
| councillor development | |
| • Of a strategic approach to | |
| forward planning of councillor | |
| development | |
| • Cross party councillor | |
| development task group showing | |
| active involvement of councillors | |
| in the learning and development | |
| process | |
## Criterion 1. There Is A Clear Commitment To Councillor Development And Support
| Elements | Requirements for Charter |
|------------------------------------|-----------------------------|
| • The council holds a range of | |
| activities and events to encourage | |
| people to become councillors | |
| • The council takes action to | |
| encourage people to become | |
| councillors, particularly from | |
| under-represented groups and | |
| evaluates the impact and success | |
| of the activities | |
| • Council provides information on | |
| the electoral process | |
| 1.2 | The council actively |
| encourages citizenship | |
| and publicises the role of | |
| councillors as community | |
| leaders as part of | |
| promoting local democracy | |
| so as to encourage under- | |
| represented groups to | |
| become a councillor | |
| • The council builds links with local | |
| businesses and employers to | |
| promote the role of the councillor | |
• Local democracy week action
plan, programme of activities and
review
• Youth council • Supports the LGA "Be a
Councillor" campaign
• Citizenship links with local schools,
colleges and universities
• Presentations at community forum
events, and targeting underrepresented groups, to promote the role of councillors
• Prospective councillor events,
materials, role descriptions - recruitment packs
• 'Day in the life of a councillor'
feature in newsletters
## Criterion 1. There Is A Clear Commitment To Councillor Development And Support
| Elements | Requirements for Charter |
|---------------------------------------|-----------------------------|
| • Statistical analysis of cultural and | |
| personal circumstances | |
| 1.3 | The council is committed |
| to ensuring equal | |
| access to learning and | |
| development for all | |
| councillors | |
| • Timing of councillor development | |
| takes account of cultural and | |
| personal circumstances | |
| • All councillors have equal access | |
| to councillor development | |
| • The development programme | |
| includes a range of delivery | |
| methods to meet the different | |
| learning styles of councillors | |
| • Councillors are regularly updated | |
| on councillor development | |
| activities | |
| • Budget is explicit and clearly | |
| identified and monitored | |
| • The budget is properly reviewed, | |
| set and prioritised by the cross | |
| party councillor development task | |
| group | |
| 1.4 | The council has a |
| designated budget for | |
| councillor development | |
| which is adequate to meet | |
| priority development needs | |
| • Impact of analysis of access is | |
| monitored, reviewed and actioned | |
| • Statistical evidence of attendance | |
| • A range of learning and | |
| development options to meet | |
| individual needs are provided | |
| and promoted | |
| • A range of communication | |
| methods eg internet/ intranet/ | |
| social media is used to inform | |
| of development opportunities | |
| • Councillors confirm that action | |
| is taken to respond and to | |
| accommodate diversity of need | |
| • The councillor development | |
| plan evidences flexibility and | |
| consideration of the timing of | |
| development events | |
| • Budget reports | |
| • Information that informs | |
| councillors of the existence | |
| of the budget | |
| • Minutes of meetings that shows | |
| councillors' involvement in setting | |
| and monitoring the budget | |
| • Councillors confirm that the | |
| budget is sufficient to meet priority | |
| current and future development | |
| needs | |
## Criterion 1. There Is A Clear Commitment To Councillor Development And Support
| Elements |
|-------------------------------------|
| • Appropriate and adequate officer |
| resources are in place to support |
| councillor development |
| • Councillor development and |
| support staff have their own skills |
| development programme |
## 1.5 Designated Officer/S Of The Council Have Responsibility For Coordinating Councillor Development
• Councillor development and
support staff are involved in regional and national learning networks to support CPD
• Officer/s job descriptions
• Named officer/s in councillors'
handbook or other information source that is distributed to councillors and officers
• Councillors are able to name the
officer who supports their learning and development
• Those responsible for planning
learning and development activities for councillors are able to demonstrate their understanding of learning and development in a political context
• Cross party member development
task group terms of reference and active involvement of councillors in the learning and development process demonstrated
| Elements | Requirements for Charter |
|---------------------------------------|-----------------------------|
| • The strategy is developed and | |
| monitored by the cross party | |
| member development task group | |
| 2.1 | The council has a |
| councillor development | |
| strategy in place | |
| • Strategy identifies priority | |
| development needs and makes | |
| stated and clear links with council's | |
| corporate/strategic objectives | |
| • The strategy is regularly reviewed | |
| (at least once every three years) | |
| by the cross party member | |
| development task group | |
| • The strategy includes an induction | |
| process that is evaluated after | |
| each election | |
| • A process exists to identify | |
| individual development needs | |
| in the form of a Training Needs | |
| Analysis (TNA) or Personal | |
| Development Plans (PDPs) and is | |
| working effectively | |
| 2.2 | The council has a |
| structured process for | |
| regularly assessing | |
| councillors' individual | |
| learning and development | |
| needs based on focused | |
| objectives | |
| • A strategy is in place | • The cross party member |
| development task group leads | |
| the evaluation of the strategy and | |
| implements improvements | |
| • Notes of member development | |
| meetings showing monitoring and | |
| evaluation of the strategy | |
| • Member development task group | |
| demonstrates their involvement in | |
| formulating the strategy | |
| • Overview and scrutiny review of | |
| the effectiveness of the strategy | |
| • Those involved in formulating the | |
| strategy can demonstrate how it | |
| links to the corporate/strategic | |
| objectives and the rationale | |
| behind stated priorities | |
| • Councillor role descriptions | |
| • Training needs analysis | |
| • All councillors are offered PDPs | |
| and more than half of councillors | |
| take them up | |
| • Personal development plans | |
| • Use of the LGA Political Skills | |
| Framework | |
| • Council has a process for | |
| individual councillor reviews to | |
| reflect on strengths and support | |
| progression | |
| Elements | Requirements for Charter |
|--------------------------------------|-----------------------------|
| • Councillors demonstrate an | |
| understanding of the skills and | |
| knowledge required in their ward | |
| and council wide roles | |
| • Role descriptions are used for | |
| the recruitment and selection of | |
| candidates and to identify and | |
| prioritise development needs | |
| • Role descriptions are used to | |
| support succession planning | |
| 2.3 | The various councillor |
| roles are clearly | |
| defined and outline | |
| how they contribute | |
| to the achievement of | |
| community, political and | |
| council objectives | |
| • Councillor role descriptions exist | |
| and are maintained for all key roles | |
| including the ward councillor | |
| • Evidence that councillors are clear | |
| about: | |
| ◦ | |
| ◦ | |
| the role of partner bodies | |
| ◦ | |
| ◦ | |
| the role of other stakeholders | |
| • Councillors are clear about what | |
| the council is trying to achieve and | |
| the key role they play in this as | |
| councillors | |
| ◦ | |
| ◦ | |
| their own role on partner | |
| bodies | |
| ◦ | |
| ◦ | |
| their own role in relation to | |
| other stakeholder bodies | |
• Systems are in place to identify
individual development and
support needs
• Learning styles and training needs
analysis
• Personal Development Plans
link to function and corporate objectives
• Councillors are able to describe
how learning and development activities have helped them to carry out their role and contribute to the achievement of the council's objectives
| Elements | Requirements for Charter |
|-------------------------------------|-----------------------------|
| • Structured process to assess | |
| current and future leadership | |
| development needs | |
| 2.4. | The council has a |
| structured process | |
| for assessing current | |
| and future leadership | |
| and executive team | |
| development needs | |
| • A development plan is in place | |
| that supports the top political and | |
| management teams in learning | |
| about each other and working | |
| effectively together | |
| • Leadership development is used to | |
| support future succession planning | |
| • Process in place to identify | |
| leadership requirements | |
| • Leadership Development Plans | |
| • 360 Degree Leadership Audits | |
| • Leaders, cabinet members | |
| and chairs have identified | |
| and undertaken development | |
| appropriate to their responsible | |
| area | |
| • Political leadership development | |
| programmes eg LGA Leadership | |
| Academy | |
| • A programme to develop the next | |
| generation of leaders is in place | |
| as part of the council's approach | |
| to succession planning | |
| • Events that support councillor/ | |
| officer team building | |
• Joint events with executive and
senior management
• Succession planning strategies • Community leadership
development programmes
• The political leadership can
describe actions taken to develop political leadership capacity
• The political and managerial
leadership can give examples of how they work together as a team
| Elements | Requirements for Charter |
|-------------------------------------|-----------------------------|
| 2.5 | There is a corporate |
| councillor learning and | |
| development plan in place | |
| • Councillor learning and | |
| development plan links to council's | |
| corporate objectives and the | |
| development of councillors | |
| • The councillor development plan | |
| clearly prioritises learning and | |
| development that supports the | |
| corporate objectives | |
| • The councillor learning and | |
| development plan includes | |
| individuals, committees and | |
| political leadership needs | |
• Corporate councillor learning
and development plan
• The cross party councillor
development task group are able to explain how learning and development activities are prioritised
## Criterion 3. Learning And Development Is Effective In Building Capacity
| Elements |
|--------------------------------------|
| 3.1 |
| |
| • Evaluation strategy is in place to |
| analyse the cost and benefits of |
| councillor development |
| Investment in learning and |
| development is regularly |
| evaluated in terms of the |
| cost benefit and impact |
| • Political and managerial |
| leadership display a good |
| understanding of both the costs |
| and benefits of development |
| activities |
| • Councillors can describe why they |
| did certain activities, what they |
| learnt and what difference it has |
| made to them carrying out their |
| various roles as councillors |
| • Evaluation strategy is in place and |
| is effective |
| • Evaluation strategy is in place to |
| analyse the impact of councillor |
| development activities |
| • Analysis of costs and benefits |
| to the council from councillor |
| learning and development |
| • Some form of impact assessment |
| at the corporate and community |
| level exists and is used to evaluate |
| the impact of development (eg |
| feedback from partners is actively |
| sought) |
| • Case studies of how learning |
| and development has impacted |
| on individual and corporate |
| performance |
| • Case studies of how learning |
| and development has impacted |
| on individual and corporate |
| performance |
| • Notes of meetings, focus groups, |
| questionnaires or interviews |
| involving councillors evaluating the |
| impact of their development on |
| overall performance |
| • Political and managerial |
| leadership display a good |
| understanding of both the costs |
| and benefits of development |
| activities |
| • Political and managerial |
| leadership can provide examples |
| and evidence of the impact |
| and benefits of councillor |
| development |
## Criterion 3. Learning And Development Is Effective In Building Capacity
| Elements | Requirements for Charter |
|-----------------------------------|-----------------------------|
| • Knowledge and learning is shared | |
| with councillors' peers, officers | |
| and others | |
| • There is an effective process in | |
| place for disseminating, sharing | |
| and exchanging knowledge and | |
| learning | |
| 3.2 | Learning is shared with |
| other councillors and | |
| where appropriate, with | |
| officers and stakeholders | |
| to encourage capacity | |
| building in the council and | |
| a learning organisation | |
| culture | |
• Examples of reports, briefing
sessions, and information
exchange systems used to capture and disseminate learning programmes of joint learning exchanges
• Councillor formal/informal
mentoring arrangements
• Hosting case study visits • Developing councillor champions
for topic areas
• Councillors can give examples
of how they have supported and learned from the development of others
## Criterion 3. Learning And Development Is Effective In Building Capacity
| Elements | Requirements for Charter |
|--------------------------------|-----------------------------|
| • Continuous improvement in | |
| the approach to developing | |
| councillors is identified and | |
| implemented | |
| 3.3 | The council demonstrates |
| a commitment to an | |
| effective councillor | |
| learning and | |
| development programme | |
| by implementing | |
| improvements to learning | |
| and development activities | |
| as they are identified | |
| • There are links to an evaluation | |
| strategy | |
| • Written reviews of learning and | |
| development activities with | |
| recommendations for change | |
| • Evaluation outcomes inform | |
| change and drive continuous | |
| improvement | |
| • Notes of meetings, reports, | |
| personal statements providing | |
| examples of improvements to | |
| learning activities | |
| • A quality assurance process is in | |
| place | |
| • Changes to development | |
| programmes and a rationale for | |
| the changes made | |
| • Councillors can describe what | |
| has been done to improve the | |
| development activities | |
| • Quality assurance process | |
| is in place and is effective | |
Local Government Association Local Government House Smith Square London SW1P 3HZ Telephone 020 7664 3000 Fax 020 7664 3030 Email [email protected]
.uk www.local.gov
.uk
© Local Government Association, December 2016
For a copy in Braille, larger print or audio, please contact us on 020 7664 3000.
We consider requests on an individual basis.
| en |
2660-pdf |
## It'S Good For Business How To Get The Most Out Of Your Food Hygiene Rating
Your food hygiene rating can become an integral part of promotional activity for your business. Display of the rating sticker is mandatory in Wales, so why not start to include it in your marketing activity for your business as well.
Here are some tips that can help you make the most of your rating. At your restaurant, café or takeaway Food businesses in Wales will **have** to display the
rating sticker sent to them under the provision of the Food Hygiene Rating (Wales) Act. This sticker carries the Welsh Government logo. It must be displayed at or near the entrance to your business in a place where your customers can easily see it.
## Other Promotional Ideas
Menu Menus are a great place to advertise your food hygiene rating. So, whether your menu is on the table, in the window, on a board outside or online you can display your rating. To help, we have some images showing your rating that you can download and use.
Website Your website is also a good place to promote your hygiene rating. To help you get started we have
a web banner that you can download, or you can embed your rating on your website using the FSA 'widget.
' Information about this can be found in
your business's entry on food.gov.uk/ratings Gweithredir y cynllun hwn mewn partneriaeth â'ch awdurdod lleol This scheme is operated in partnership with your local authority Flyers On your next promotional flyer include a short quote that promotes your well-earned food hygiene rating, for example: "(Name of business) has achieved (insert your rating)
in the Food Hygiene Rating Scheme.
"
You could also add a more personal comment if you wished, particularly if you've been rated a '5' and are proud of your achievement. And remember to include an image of your hygiene rating and the rating website food.gov.uk/ratings.
Newspaper Advertisement Next time you place an advertisement in your local paper, include a short quote like the one above as well as an image of your rating. It's a simple way of letting regular and potential new customers know that your business has attained very good standards in food hygiene.
Email If you have a database* of customers email addresses include your hygiene rating as part of your signature whenever you send an email or newsletter. It's a subtle way to raise awareness of your rating.
For FHRS images, logos and web banners mentioned in this leaflet visit: food.gov.uk/business-toolkit-fhrs
"
I'm the only fish and chip shop in my area with a rating of 5 and I'm very proud of that. The food hygiene rating has led to my sales being increased. So it is definitely good for business."
Mathew Williams, fish and chip shop owner Social Media Have you considered using social media? In a recent survey** 47% of restaurant owners questioned, said that social media was the most important part of their 2012 marketing campaign. With more and more customers using social media you could make the most of the opportunity and use it to promote your rating.
Facebook With over 900 million users Facebook is a great place for restaurants, cafes and takeaways to promote business. Simply
create a page and you can connect with your
customers in a number of ways, such as:
-
Asking questions and seeking input on new dishes and menu items
-
Offering promotions and even the ability to order food through your Facebook page
Upload a photo of your hygiene rating sticker in your window and invite your customers to celebrate with you. You can also use it to generate more business by incorporating a promotion, for example:
Twitter With more than 490 million Twitter accounts registered and at least 170 million tweets being sent each day, Twitter provides a number of fantastic ways to interact with your customers, such as: Tweeting delicious or interesting photos of your food with captions can be a good way to get retweeted
-
You could also run a simple competition via Twitter
simply upload a photo of your rating sticker and offer a free meal to the fir.5st 1
0 people to retweet it.
Instagram This social photo sharing site has more than 40 million users sharing 58 photos every second and lets you connect with customers on a more visual level, for example:
- Uploading photographs of daily specials
- Your staff with the rating sticker -
Posting photographs of your most mouth-watering dishes -
Sharing photographs of special in-store promotions and events
Why not start by showing off your signature dish on Instagram with a caption that mentions your hygiene rating. | en |
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# Clean Air Data City Of York Council Internal Audit Report 2018/19
Responsible Officer: Assistant Director for Planning & Public Protection Service Manager: Trading Standards Manager
## Summary And Overall Conclusions Introduction
The council is responsible for monitoring the quality of air within its area under the Environment Act 1995 and is required work towards meeting air quality objectives for key pollutants outlined in the Air Quality Standards Regulations 2010. Under this legislation, the results of this monitoring must be compiled by the council into an Annual Status Report sent to the Department for Environment, Food & Rural Affairs (DEFRA). Should an area fail to meet air quality objectives by an agreed date, the authority is required to declare an Air Quality Management Area and draw up an Air Quality Action Plan to be submitted to DEFRA. Poor air quality also remains a high profile area of public protection, with significant health, economic and planning implications for local populations. For these reasons, air quality results are also reported as part of the council's annual performance indicators and council data is made available to the public through the York Open Data Platform and Jorair - a separate website maintained by the council. There have been significant savings targets over the last five years for air quality monitoring but this income has been supplemented with funding from a range of external sources, including a Public Health grant of £50,000 per annum and planning fees of £6,000 in the year 2017/18. As a result, air quality in York is now monitored via 9 real-time air quality monitoring stations and 233 diffusion tubes. The Public Protection team within the authority retains liability for the collection, processing, integrity checking and reporting of data to DEFRA, but some of the ongoing data management functions are outsourced due to staff resources within Public Protection. In addition, analysis of diffusion tube samples needs to be undertaken by an accredited laboratory.
## Objectives And Scope Of The Audit
The objective of the audit was to provide assurance to management that procedures and controls within the system will ensure that: -
There is a strategy and plan in place to manage the air quality in York
-
There is a robust procedure in place to collect and report on air quality data The audit did not review the performance of the council in meeting national air quality standards, but instead focused on the performance management of the system itself, including a review of the accuracy of calculated final figures.
## Key Findings
Overall, a sound control environment was found to be in place within the air quality management team. An experienced and knowledgeable team is in place and the overall system relies heavily on the professional expertise of these staff, representing a potential risk if key staff were to leave.
However, the availability of a joint-Local Authority officer networking group provides support to maintain the team's current function. A review of the strategy used to manage the air quality in York found there was a clear set of procedures within the current system to ensure that an appropriate and timely plan was produced. This means the team are fully discharging the council's statutory duties by completing both the Annual Status Report and Air Quality Action Plan (AQAP) with all the required content, as outlined in DEFRA's mandatory guidelines. The only area of potential improvement identified during testing for the current strategy was the reintroduction of the AQAP Steering Group. The reinstatement of an AQAP Steering Group that meets annually would ensure the long-term strategy for the city of York is kept updated and remains appropriate for improving the quality of air. Nevertheless, the majority of the controls within the system are functioning effectively, with the inclusion of multiple two-stage reviews in combination with strong external checks ensuring all published documents are completed to a high standard. Audit testing performed on the final air quality data reviewed did not uncover any issues with processing or collection that directly affected the accuracy of the final data reported within York. The combination of an annual technical audit, clear expectations outlined in outsourced contracts, as well as internal and external reviews guarantee there is a robust system in place to ensure the appropriateness of the final figures. To standardise the process of reviewing the annual air quality results before submission to the Business Intelligence Hub, a peer-review could be implemented. Nevertheless, the separation of duties between officers within the air quality management team and the peer-review process in place for all other elements of the calculation ensures there is a reduced likelihood that inaccurate results would be publicly published. Overall, the current system in place ensures the final air quality figures produced accurately reflect the quality of the air within York, with no significant data quality errors identified.
## Overall Conclusions
It was found that the arrangements for managing risk were very good. An effective control environment appears to be in operation. Our overall opinion of the controls within the system at the time of the audit was that they provided High Assurance.
## 1. Reinstatement Of The Aqap Steering Group Issue/Control Weakness Risk
The Air Quality Action Plan (AQAP) Steering Group has not met annually for two years and the group has now informally disbanded.
Outdated air management strategies or inappropriate policies may continue to be used or are implemented by City of York Council, negatively impacting on the quality of air within the
city.
## Findings
During testing it was found that the AQAP Steering Group had not met since 2015 and the responsibility for updating the AQAP had been informally transferred to the Principal Air Quality Officer through the Annual Status Report (ASR). DEFRA guidelines suggests each Local Authority Steering Group should meet annually, in addition to the reviews conducted during compilation of a ASR in their statutory guidelines, LAQM.TG(16).
Without the AQAP Steering Group, air quality strategies and policies in place cannot be adequately considered inter-departmentally within City of York Council on a regular basis. This prevents the AQAP from being kept 'live' during irregular and often extended intervals between the development of new AQAPs. Although the Principal Air Quality Officer does evaluate the continued suitability of the measures included in the AQAP during compilation of the ASR, the approach taken is largely piecemeal with individual departments consulted independently. The function of the AQAP Steering Group is intended to also encompass a secondary internal peer-reviewing process for any new or amended draft AQAP (new AQAPs are generally drafted once every five years). With the group currently disbanded, this means there are no internal staff members remaining outside the air quality management team with the experience necessary to adequately review and challenge the content of the AQAP.
## Agreed Action 1.1
Priority
3
The Air Quality Action Plan (AQAP) Steering Group will be reinstated and will meet annually to review City of York's air quality management strategy.
Responsible Officer
Corporate Director of Economy and Place
Timescale
05/11/2018
## 2. Peer-Review Of Air Quality Data Before Submission To The Business Intelligence Hub Issue/Control Weakness Risk
Audit testing found that the spreadsheet containing the annual air quality results is not peer-reviewed prior to submission to the Business Intelligence Hub (BIH).
Inaccurate results are published by the BIH for the annual air quality performance indicators, leading to reputational damage and decisions made that may negatively impact on air quality within the city.
## Findings
Unlike the other spreadsheets containing air quality indicator information submitted to the Business Intelligence Hub (BIH), the spreadsheet containing the annual air quality results is not peer-reviewed prior to submission. Although the final annual air quality results go through numerous internal checks to ensure their accuracy prior to publication, there is no peer-review to confirm the data has been accurately transferred from the annual results spreadsheet to the Key Performance Indicator spreadsheet. No errors were identified during the audit, but without a peer-review process in place to match the system for other air quality indicators, there is a risk that data entry errors may be reported publicly via the BIH.
Agreed Action 2.1
Priority
3
Responsible Officer
Public Protection Manager
A consistent, formalised peer-review process will be implemented within the air quality management team across all air quality indicators reported to the Business Intelligence Hub.
Timescale
05/11/2018
## Audit Opinions And Priorities For Actions
Audit Opinions Audit work is based on sampling transactions to test the operation of systems. It cannot guarantee the elimination of fraud or error. Our opinion is based on the risks we identify at the time of the audit. Our overall audit opinion is based on 5 grades of opinion, as set out below.
Opinion Assessment of internal control
| High Assurance |
|--------------------------------------------------------------------------------------------------------------|
| |
| Substantial |
| Assurance |
| Overall, good management of risk with few weaknesses identified. An effective control environment is in |
| operation but there is scope for further improvement in the areas identified. |
| |
| Reasonable |
| Assurance |
| Overall, satisfactory management of risk with a number of weaknesses identified. An acceptable control |
| environment is in operation but there are a number of improvements that could be made. |
| Limited Assurance |
| Overall, poor management of risk with significant control weaknesses in key areas and major |
| improvements required before an effective control environment will be in operation. |
| No Assurance |
| Overall, there is a fundamental failure in control and risks are not being effectively managed. A number of |
| key areas require substantial improvement to protect the system from error and abuse. |
| |
## Priorities For Actions
Priority 1
A fundamental system weakness, which presents unacceptable risk to the system objectives and requires urgent attention by management.
Priority 2
A significant system weakness, whose impact or frequency presents risks to the system objectives, which needs to be addressed by management.
Priority 3
The system objectives are not exposed to significant risk, but the issue merits attention by management.
Where information resulting from audit work is made public or is provided to a third party by the client or by Veritau then this must be done on the understanding that any third party will rely on the information at its own risk. Veritau will not owe a duty of care or assume any responsibility towards anyone other than the client in relation to the information supplied. Equally, no third party may assert any rights or bring any claims against Veritau in connection with the information. Where information is provided to a named third party, the third party will keep the information confidential. | en |
3627-pdf |
## Statement Of National Regulatory Provisions (Snrp): Passenger
# Granted To
[ ]
Reference Number:
## Table Of Contents
PAGE
Part I - Scope
............................................................................................................ 1
Part II - Interpretation .............................................................................................. 2
Part III - Conditions
.................................................................................................. 4
Condition 1: Insurance Against Third Party Liability ....................................... 4 Condition 2: Claims Allocation and Handling
................................................... 5
Condition 3: Passenger Rights, Through Tickets and Network Benefits ....... 6 Condition 4: Information for Passengers .......................................................... 7 Condition 5: Accessible Travel Policy
............................................................... 9
Condition 6: Complaints Handling
................................................................... 11
Condition 7: Liaison with the PC and LTUC
.................................................... 14
Condition 8: RSSB Membership ...................................................................... 15 Condition 9: Safety and standards .................................................................. 16 Condition 10: Environmental Matters
.............................................................. 17
Condition 11: Payment of Fees ........................................................................ 18 Condition 12: Change of Control ..................................................................... 19 Condition 28: Rail Delivery Group ................................................................... 20
Part IV - Revocation
............................................................................................... 21
Note: Conditions 13-27 are not used in this SNRP.
## Part I - Scope
1.
The Office of Rail and Road ("ORR"), in exercise of the powers conferred by regulation 10 of the Railway (Licensing of Railway Undertakings) Regulations 2005 ("the Regulations"), hereby grants to [*name of SNRP holder*], company registration number [*number*], ("the SNRP holder") an SNRP including the Conditions set out in Part III.
2.
This SNRP shall come into force on [*date*] and shall continue in force unless
and until revoked in accordance with Part IV.
## Part Ii - Interpretation 1. In This Snrp:
| "comply" | is to be interpreted in accordance with ORR's most |
|---------------------------------------------------------------|-------------------------------------------------------|
| recently published licensing guidance. | |
| "control" | (a) |
| holder if he exercises, or is able to exercise or is entitled | |
| to acquire, direct or indirect control over the SNRP | |
| holder's affairs, and in particular if he possesses or is | |
| entitled to acquire: | |
| (i) | 30% or more of any share capital or issued share |
| capital of the SNRP holder or of the voting power in | |
| the SNRP holder; or | |
(ii)
such part of any issued share capital of the SNRP
holder as would, if the whole of the income of the SNRP holder were in fact distributed among the participators (without regard to any rights which he or any other person has as a loan creditor), entitle him to receive 30% or more of the amount so
distributed; or
(iii)
such rights as would, in the event of the winding-up
of the SNRP holder or in any other circumstances, entitle him to receive 30% or more of the assets of the SNRP holder which would then be available for distribution among the participators.
(b)
Subsections (4) to (6) of section 416 of the Income and Corporation Taxes Act 1988, and the legislative provisions referred to in those subsections, apply to the interpretation of paragraph (a) in the same way that they apply to the interpretation of subsection (2) of section 416 of that Act.
| "licensed activities" | means things authorised to be done by the SNRP |
|-------------------------------------------------------------------------|----------------------------------------------------|
| holder in its capacity as operator of trains pursuant to its | |
| European licence. | |
| "LTUC" | means the London Transport Users Committee and any |
| successor to LTUC which performs the same functions. | |
| "the PRO Regulation" means Regulation (EC) No.1371/2007 of the European | |
| Parliament and of the Council of 23 October 2007 on | |
| rail passengers' rights and obligations. | |
| "the PC" | means the Passengers' Council and any successor or |
| delegated body which performs the function of the PC. | |
| "RSSB" | means Rail Safety and Standards Board Limited (a |
| company limited by guarantee and registered in | |
| England and Wales under number 04655675), and its | |
| successors and assigns. | |
2.
Any reference in this SNRP to a numbered paragraph is a reference to the paragraph bearing that number in the Condition in which the reference occurs.
3.
In interpreting this SNRP, headings shall be disregarded.
4.
Where in this SNRP the SNRP holder is required to comply with any obligation within a specified time limit, that obligation shall be deemed to continue after
that time limit if the SNRP holder fails to comply with that obligation within that time limit.
5.
Where in this SNRP there is a provision for ORR or the Secretary of State to give consent, such consent may be given subject to conditions.
6.
The Interpretation Act 1978 shall apply to this SNRP as if it were an Act.
7.
The provisions of section 149 of the Railways Act 1993 (as amended) ("the Act") shall apply for the purposes of the service of any document pursuant to this SNRP.
8.
Unless the context otherwise requires, terms and expressions defined in the Act, the Railways Act 2005, or the Regulations shall have the same meanings in this SNRP.
## Part Iii - Conditions Condition 1: Insurance Against Third Party Liability
1.
The SNRP holder shall, in respect of licensed activities, maintain insurance against third party liabilities in accordance with any relevant ORR general or
specific approval, as amended from time to time.
## Condition 2: Claims Allocation And Handling
1.
The SNRP holder shall, except in so far as ORR may otherwise consent, at all times be a party to and comply with such agreements or arrangements (as
amended from time to time) relating to:
(a)
the handling of claims against operators of railway assets; and
(b)
the allocation of liabilities among operators of railway assets
as may have been approved by ORR.
2.
Except with the consent of ORR, the SNRP holder shall not, in relation to any of the agreements or arrangements described in paragraph 1 (the "relevant claims handling arrangements"), enter into any agreement or arrangement with any other party to the relevant claims handling arrangements: (a)
under which the SNRP holder agrees not to exercise any rights which it may have under any of the relevant claims handling arrangements; or
(b)
varying the relevant claims handling arrangements
other than as provided for under the terms of the relevant claims handling arrangements.
## Condition 3: Passenger Rights, Through Tickets And Network Benefits
1.
The SNRP holder shall, except in so far as the Secretary of State may otherwise consent, be a party to and comply with such arrangements (as amended from time
to time) relating to: (a)
stations at which, and the journeys in respect of which, through tickets, and tickets from any station specified in or under such arrangements to any other such station, shall be sold and honoured;
(b)
operation of a telephone enquiry bureau relating to railway passenger
services;
(c)
settlement of amounts due to or from the SNRP holder in respect of tickets within sub-paragraph (a); and
(d)
conditions of carriage in respect of through tickets and the PRO Regulation,
as shall have been approved by the Secretary of State or are required to ensure arrangements reflect the provisions of the PRO Regulation listed in paragraph 2.
2.
The SNRP holder shall comply with articles 4-10, 15-18 and 28-29 of the PRO
Regulation.
## Condition 4: Information For Passengers Purpose
1.
The purpose is to secure the provision of appropriate, accurate and timely information to enable railway passengers and prospective passengers to plan and make their journeys with a reasonable degree of assurance, including when there is disruption.
## General Duty
2.
The SNRP holder shall achieve the purpose to the greatest extent reasonably
practicable having regard to all relevant circumstances, including the funding available.
## Specific Obligations
3.
The following obligations in this Condition are without prejudice to the generality
of the general duty in paragraph 2 and compliance with these obligations shall
not be regarded as exhausting that general duty. In fulfilling these obligations the SNRP holder shall at all times comply with the general duty in paragraph 2.
## Planning Services
4.
The SNRP holder shall cooperate, as necessary, with Network Rail and other
train operators to enable Network Rail to undertake appropriate planning of train services and to establish or change appropriate timetables, including when there is disruption.
5.
In particular, the SNRP holder shall:
(a)
provide Network Rail with such information about the SNRP holder's
licensed activities as may be reasonably necessary for Network Rail to fulfil its obligations relating to timetabling in its network licence;
(b)
participate constructively in any timetabling consultation carried out by Network Rail;
(c)
use reasonable endeavours to resolve promptly any timetabling disputes; and
(d)
respond expeditiously to any timetabling matter which Network Rail reasonably considers to be urgent.
Code(s) of practice and improvement plan(s)
6.
The SNRP holder shall, unless ORR otherwise consents, publish one or more
code(s) of practice or other documents setting out the principles and processes
by which it will comply with the general duty in paragraph 2.
7.
Where the SNRP holder considers, or is directed by ORR, that improvements to
its arrangements for the provision of information to railway passengers and prospective passengers are necessary or desirable to enable it better to fulfil the general duty in paragraph 2, it shall develop, publish and deliver a plan, which
sets out the improvements it intends to make and the dates by which such improvements will be made.
8.
The SNRP holder shall, from time to time and when so directed by ORR, review
and, if necessary, revise, following consultation, anything published under paragraph 6 and any plan under paragraph 7 so that they may better fulfil the general duty in paragraph 2.
9.
ORR shall not make any direction under paragraphs 7 or 8 without first consulting
the SNRP holder.
## Provision Of Information To Intermediaries
10.
The SNRP holder shall as soon as reasonably practicable: (a)
provide to the holders of passenger and station licences; and
(b)
provide to all timetable information providers on request reasonable access to
appropriate, accurate and timely information to enable each on request to provide passengers with all relevant information to plan their journeys including, so far as reasonably practicable, the fare or fares and any restrictions applicable.
11.
In this Condition:
"Network Rail" means Network Rail Infrastructure Limited (a company registered in England and Wales under number 02904587), and its successors and assigns.
1.
The SNRP holder shall establish and thereafter comply with:
(a)
a statement of policy; and
(b)
a detailed body of arrangements, procedures, services and other benefits to be implemented or provided by the SNRP holder,
designed to protect the interests of people who are disabled in their use of trains operated by the SNRP holder and to facilitate such use (together the
"ATP").
2.
In establishing the ATP and in making any change to it, the SNRP holder shall have due regard to the code of practice published by the Secretary of State pursuant to section 71B of the Act and to articles 19 to 24 of the PRO
Regulation.
3.
The SNRP holder shall not establish, or make any material changes (save in respect of paragraph 4(b), to the ATP unless and until:
(a)
the PC and, where appropriate, LTUC has been consulted; and
(b)
the SNRP holder has submitted the ATP, or (as the case may be) the proposed change, to ORR and ORR has approved it.
4.
Where ORR requires the SNRP holder to carry out a review of the ATP or any part of it or the manner in which it has been implemented, with a view to
determining whether any change should be made to it, the SNRP holder shall:
(a)
promptly carry out a review and submit a written report to ORR setting out the results or conclusions; and
(b)
make such changes to the ATP, or the manner in which it is implemented, as ORR may reasonably require after ORR has received a report under paragraph 4(a) and consulted the SNRP holder, the PC and, where appropriate, LTUC.
5.
The SNRP holder shall:
(a)
send a copy of the ATP and of any change to it to ORR and the PC and, where appropriate, LTUC;
(b)
in a place of reasonable prominence at each station at which trains operated by the SNRP holder are scheduled to call, display or procure the display of a notice giving the address from which a current copy of the statement may be obtained; and
(c)
make available free of charge a current copy of the statement to any
person who requests it.
6.
Nothing in this Condition shall oblige the SNRP holder to undertake any action that entails excessive cost, taking into account all the circumstances including the nature and scale of licensed activities.
## Condition 6: Complaints Handling
1.
The SNRP holder shall establish and thereafter comply with a procedure for handling complaints relating to licensed activities from its customers and
potential customers and shall comply with article 27 of the PRO Regulation
(the "Complaints Procedure").
2.
The SNRP holder shall not establish, or make any material change (save in
respect of paragraph 3(b)), to the Complaints Procedure unless and until:
(a)
the PC and, where appropriate, LTUC has been consulted; and
(b)
the SNRP holder has submitted the Complaints Procedure, or (as the case may be) the proposed change, to ORR and ORR has approved it.
3.
Where ORR requires the SNRP holder to carry out a review of the Complaints Procedure or any part of it or the manner in which it has been implemented, with a view to determining whether any change should be made to it, the
SNRP holder shall: (a)
promptly carry out a review and submit a written report to ORR setting out the results or conclusions; and
(b)
make such changes to the Complaints Procedure, or the manner in
which it is implemented, as ORR may reasonably require after ORR has received a report under paragraph 3(a) and consulted the SNRP holder,
the PC and, where appropriate, LTUC.
4.
The SNRP holder shall:
(a)
send a copy of the Complaints Procedure and of any change to it to
ORR and the PC and, where appropriate, LTUC;
(b)
in a place of reasonable prominence at each station at which trains
operated by the SNRP holder are scheduled to call, display or procure
the display of a notice giving the address from which a current copy of the Complaints Procedure may be obtained; and
(c)
make available free of charge a current copy of the Complaints Procedure to any person who requests it.
## 5. Alternative Dispute Resolution:
(a)
The SNRP holder shall become and thereafter remain, a member of the Relevant ADR Scheme;
(b)
the SNRP holder shall comply with its obligations under the Relevant ADR Scheme; and
(c)
if the Relevant ADR Scheme, at any time, ceases to be Compliant, the SNRP holder must: (i) within 14 days after becoming aware that the Relevant ADR
Scheme is no longer Compliant, notify ORR of that fact;
(ii) within no more than 28 days after becoming aware that the
Relevant ADR Scheme is no longer Compliant, notify ORR of the arrangements it has put in place to ensure that the interests of passengers are not adversely affected and must, if so directed by ORR at any time, revise those arrangements to take account of any concerns ORR reasonably raises about the protection of passenger interests; and
(iii) if the Relevant ADR Scheme continues to be non-Compliant for
more than 6 months: -
take all such steps as are reasonably practicable, including working together with other members of the Relevant ADR Scheme, and Rail Delivery Group, as appropriate, to identify
another alternative dispute resolution scheme which is Compliant; and
-
notify such scheme to ORR within not more than 12 months (or such longer period as ORR may agree) after the date on which the Relevant ADR Scheme ceased to be Compliant.
6.
For the purposes of this Condition:
## "Relevant Adr Scheme" Means:
-
the alternative dispute resolution scheme procured by Rail Delivery Group (the Rail Ombudsman) or, as the case may be, any Successor Scheme.
"Successor Scheme" means:
-
such other alternative dispute resolution scheme as is notified to ORR by the SNRP holder under sub-paragraph (c)(iii) above, and is
accepted by ORR as providing suitable protection for the interests of
passengers.
"Compliant", in relation to the Relevant ADR Scheme, means:
-
that the scheme is approved by the Designated Competent Authority and meets the requirements of ORR's Guidance in respect of an
alternative dispute resolution scheme.
"Designated Competent Authority" means:
-
the relevant Designated Competent Authority under The Alternative Dispute Resolution for Consumer Disputes (Competent Authorities and Information) Regulations 2015.
"ORR's Guidance" means:
-
ORR's Guidance on the Complaints Handling Procedures as amended from time to time.
## Condition 7: Liaison With The Pc And Ltuc
1.
Whenever reasonably requested to do so by the PC and LTUC (as relevant),
the SNRP holder shall meet with the PC or LTUC to discuss and review such
matters as the PC and LTUC (as relevant) may wish to consider in connection
with its functions under Part I of the Act including the handling of complaints made about an alleged infringement of the PRO Regulation. The SNRP holder
shall not under this Condition be obliged to attend more than two meetings with PC and LTUC (as relevant) in any calendar year.
2.
The SNRP holder shall provide the PC and LTUC (as relevant) with such
information as satisfies all the following conditions:
(a)
the PC and LTUC (as relevant) reasonably requests the information for
the proper performance of its functions under Part I of the Act;
(b)
no undue burden is imposed on the SNRP holder in procuring or furnishing the information; and
(c)
the information would normally be available to the SNRP holder, unless the PC and LTUC (as relevant) considers the information essential to
enable it to exercise its functions under Part I of the Act.
3.
In every calendar year in which the SNRP holder meets with the PC and,
where appropriate, LTUC pursuant to paragraph 1, the SNRP holder shall be represented by one or more senior executives of the SNRP holder in at least one meeting with the PC and LTUC (separately or jointly).
4.
Where the SNRP holder also holds another SNRP, each number specified as a maximum or minimum in this Condition shall apply jointly to meetings under this Condition and to meetings under any corresponding condition in that other SNRP.
5.
Where: (a)
the SNRP holder and the PC or LTUC, or both disagree as to the reasonableness of a request made to the SNRP holder by the PC or
LTUC, or both under paragraph 1 or paragraph 2;
(b)
either party refers the dispute to the Secretary of State; and
(c)
the Secretary of State determines that the request is reasonable,
the SNRP holder shall promptly thereafter comply with the request.
## Condition 8: Rssb Membership
1.
If the SNRP holder's annual turnover has never exceeded £1 million and the SNRP holder is not a franchise operator, paragraphs 2 and 3 shall not have
effect until the SNRP holder's annual turnover exceeds £1 million for the first
time. The SNRP holder shall provide ORR with such information in respect of its annual turnover as ORR may from time to time require.
2.
With effect from the date of the coming into force of this SNRP, except where ORR consents otherwise, the SNRP holder shall: (a)
become and thereafter remain a member of RSSB;
(b)
comply with its obligations under the Constitution Agreement and the articles of association of RSSB; and
(c)
exercise its rights under the Constitution Agreement and the articles of association of RSSB so as to ensure that RSSB shall act in accordance with the Constitution Agreement.
3.
With effect from the date of the coming into force of this SNRP, the SNRP
holder shall comply with the Railway Group Standards Code prepared by RSSB.
4.
When a SNRP holder first becomes subject to the obligations in paragraphs 2
and 3 his rights, obligations and liabilities associated with such membership
shall commence on the same day, and the SNRP holder shall complete the formal and legal documentation associated with such membership within three
months of that date.
5.
In this Condition:
| "franchise operator" |
|-------------------------|
| section 30 of the Act. |
## Condition 9: Safety And Standards
1.
The SNRP holder shall comply with: (a)
such Railway Group Standards as are applicable to its licensed
activities; and
(b)
subject to paragraph 2, such Rail Industry Standards (or parts thereof)
as are applicable to its licensed activities.
2.
The SNRP holder is not required to comply with an applicable Rail Industry Standard (or part thereof) where:
(a)
it has, following consultation with such persons as it considers are likely to be affected, identified an equally effective measure which will achieve the purpose of the standard; and
(b)
it has adopted and is complying with that measure.
3.
In this Condition:
| "Railway Group Standards" | means standards authorised pursuant to |
|----------------------------------|-------------------------------------------|
| the Railway Group Standards Code | |
| prepared by RSSB; and | |
| "Rail Industry Standards" | has the meaning set out in the Standards |
| Manual, established by RSSB. | |
| | |
## Condition 10: Environmental Matters
1.
The SNRP holder shall establish a written policy designed to protect the environment from the effect of licensed activities, together with operational objectives and management arrangements (together "the environmental
arrangements").
2.
The environmental arrangements shall:
(a)
take due account of any relevant guidance issued by ORR;
(b)
be effective within six months beginning with the day on which this
SNRP comes into force; and
(c)
be reviewed by the SNRP holder periodically, and otherwise as
appropriate.
3.
Nothing contained in paragraph 1 shall oblige the SNRP holder to undertake any action that entails excessive cost taking into account all the circumstances, including the nature and scale of operations of the type carried out by the SNRP holder.
4.
The SNRP holder shall, upon establishment and any material modification of the environmental arrangements, promptly send ORR a current copy of the policy together with a summary of the operational objectives and management arrangements.
5.
The SNRP holder shall act with regard to the policy and operational objectives and use its reasonable endeavours to operate the management arrangements
effectively.
## Condition 11: Payment Of Fees
1.
In respect of the year beginning on 1 April [year] and in each subsequent year, the SNRP holder shall render to ORR a payment which is the aggregate of the following amounts:
(a)
the annual fee applicable to this SNRP as determined by ORR; and
(b)
an amount which shall represent a fair proportion as determined by ORR of the amount estimated by ORR (in consultation with the Competition and Markets Authority) as having been incurred in the
calendar year immediately preceding the 1 April in question by the
Competition and Markets Authority in connection with references made
to it under section 13 of the Act with respect to this SNRP or any class of SNRP of which ORR determines that this SNRP forms part,
2.
The payment shall be rendered by the SNRP holder within such time as ORR may require, being not less than 30 days beginning with the day on which ORR gives notice to the SNRP holder of its amount.
## Condition 12: Change Of Control
1.
The SNRP holder shall, if any person obtains control of the SNRP holder, notify ORR as soon as practicable thereafter.
## Condition 28: Rail Delivery Group
1.
The SNRP holder shall:
(a)
become and thereafter remain a Licensed Member of RDG;
(b)
comply with its obligations under the RDG Articles; and
(c)
procure that any member of its Group that is entitled under the RDG Articles to become a Member of RDG:
(i)
becomes and thereafter remains a Member of RDG; and
(ii)
complies with its obligations under the RDG Articles.
2.
In this Condition:
"Group" has the meaning ascribed to it in the RDG Articles;
"Licensed Member" has the meaning ascribed to it in the RDG Articles; "Member" has the meaning ascribed to it in the RDG Articles; "RDG" means the Rail Delivery Group (a company limited by guarantee and registered in England and Wales under number 08176197); and
"RDG Articles" means the articles of association of RDG.
## Part Iv - Revocation
1.
ORR may (after having consulted the appropriate franchising authority where the SNRP holder is a franchise operator) revoke this SNRP at any time if
agreed in writing by the SNRP holder.
2.
ORR may (after having consulted the appropriate franchising authority where the SNRP holder is a franchise operator) revoke this SNRP by not less than three months' notice to the SNRP holder:
(a)
if a final order has been made, or a provisional order has been
confirmed under section 55 of the Act, in respect of any contravention or apprehended contravention by the SNRP holder of any Condition, and the SNRP holder does not comply with the order within a period of
three months beginning with the day on which ORR gives notice to the SNRP holder stating that this SNRP will be revoked pursuant to this term if the SNRP holder does not so comply; provided that ORR shall not give any such notice before the expiration of the period within which an application could be made under section 57 of the Act in relation to the order in question or before any proceedings relating to any such application are finally determined;
(b)
if the SNRP holder has not commenced carrying on licensed activities within six months beginning with the day on which this SNRP comes into force or if the SNRP holder ceases to carry on licensed activities for a continuous period of at least six months;
(c)
if the SNRP holder is convicted of an offence under section 146 of the Act or regulation 15 of the Regulations in making its application for this SNRP; or
(d)
if a person obtains control of the SNRP holder and:
(i)
ORR has not approved such obtaining of control;
(ii)
within one month of that obtaining of control coming to the notice of ORR, ORR serves notice on the SNRP holder stating that ORR proposes to revoke this SNRP in pursuance of this paragraph unless the person who has obtained control of the SNRP holder ceases to have control of the SNRP holder within the period of three months beginning with the day of service of the notice; and
(iii)
that cessation of control does not take place within that period. | en |
1824-pdf |
## Collections And Collecting: A Survey Of University Archives
Contents
Introduction
page 3
Survey Methods
page 4
The Findings Section A: Scope of Operations
page 5 Section B: Scale of Operations
page 8
Section C: Collecting
page 12 Section D: Collection Description and Cataloguing
page 16 Conclusion
page 18 Appendix A: List of Respondents
page 19 Appendix B: Example Survey Questionnaire
page 21
Introduction The National Archives conducted the survey *Collections and Collecting* in May-July
2009. This mapping survey was undertaken to obtain an impression of the current situation of university archives in England and Wales. Within the last decade, university archives and special collections have undergone considerable growth and in some cases dramatic change, with many institutions developing an archive service for the first time. Others have moved from maintenance of an institutional archive to become active collectors of externally-produced archive material. The survey requested information from participating institutions to map the overall picture of these developments within the university archive sector as well as providing detailed information about aspects of developing individual university archives that have previously had little or no contact with The National Archives. The survey results demonstrate the breadth and variety of the university archives sector, and also highlight areas of common good practice and common problems. The mapping survey shows overall an active sector which is aware of the potential its archives hold and is making positive moves towards improving standards in storage and access to those collections. The National Archives is grateful to all those institutions who responded to the questionnaire. We hope that this survey will be the basis for developing our relationship with the university archives sector in the future. Archives Sector Development The National Archives October 2009
Survey Methods The survey was conducted by the distribution of a questionnaire (a copy is at Appendix
2) covering four principal areas of archive work. All English universities received an identical questionnaire; the Welsh university version had a single additional question relating to provision of a Welsh-language service. All institutions funded by HEFCE and HEFCW were included in scope. 134 surveys were distributed to institutions, insofar as possible directly to the archive service. 79 completed surveys were returned whilst three further responses were received indicating no archives were held or managed by the institution. Of the full returns, four institutions provided two separate returns for archive operations run independently of one another, so responses from a total of 75 university or higher education institutions were received. Questions were not mandatory, and not all respondents answered all questions, though a significant majority did respond in full. This does however explain why response numbers to relatively few questions total 79. Qualitative responses were requested and were broken down by the project officer into broad categories allowing some basic quantitative analysis of the results in the presentation of this report. We do not claim robust statistical significance for the quantitative data, but the value of this approach lies in effectively demonstrating the trends affecting the sector.
The Findings
Section A: Scope of Operations The questions within this part of the survey aimed to discover broad trends in record keeping. Returns from participating universities showed that of the 79 completed questionnaires, only one institution stated they held no archives. Three separate non-questionnaire responses were made: one stated their archive was held elsewhere due to the nature of its foundation; the second that there was no archivist currently employed (suggesting the existence of archives not being professionally managed); the third stated that its archives were being transferred to another university archive for long term preservation.
The remaining 78 completed questionnaires stated the services held archival material: either solely relating to the university itself and its predecessors or encompassing both institutional archives and special collections.
58 Single Services, 14 Multiple Services In responses to this question, we can see that the majority of university archive services are administered as a single service (usually as part of the university library), though a significant proportion of participating institutions hold their archives in dispersed patterns including departments, central administration offices and libraries.
## Question A.3: Are The University'S Historic Records Managed Together With Acquired Archival Material Or Through A Separate Service? 33 Reported Fully Integrated Operation; 23 Wholly Separate Operations; 15 Combined And Complex Arrangements This Question Was Designed To Identify Whether There Is Usually Separation Between Archives And Special Collections, Or A More Integrated Model. As The Results Show, There Is No Simple Pattern To Be Found. Just Under Half Of Responding Institutions Have Fully Joint Operations; And A Further Third Have Wholly Separate Operations. The Remaining Third Have A Variety Of More Or Less Complex Combinations Of The Two Arrangements.
This question sought to establish briefly the pattern of keeping modern records in universities. Where possible, we have demonstrated whether a centralised records management function covers both paper and electronic records management, or only paper records. However, many responses did not offer this level of detail.
The pattern of records management shown is very variable, although a worryingly high proportion of responding institutions reported no formal or no centralised records management. One respondent commented, "This concerns me deeply as I am sure that material is being destroyed which would otherwise come to the University Archives." On the positive side, although only a minority currently actively manage electronic records, a significant number of respondents reported initiatives in place to develop effective management of electronic information.
## 4.5 Activities In Partnership With Other Institutions
Respondents were asked to outline areas of common work with other archive holding bodies, such as local authorities, other Higher Education institutions or museums. The majority reported no collaborative work, but the remainder identified a wide variety of examples of partnership working. The most common partnership is a limited one, around specific projects, but there was also significant shared work on education, collecting and conservation, and examples of shared storage. An area of partnership which is explored later in the questionnaire but which was frequently raised at this point is the hugely successful networking initiatives, the Archives Hub and AIM25. These wider partnerships for bringing archive collections to the attention of researchers are clearly among the most important relationships in the sector, and the majority of respondents participate in one or both networks.
Section B: Scale of Operations
This section of the questionnaire was designed to draw out the general position of university archives with regard to scale and resources. The variety of scope seen in section A is directly reflected in the size and staffing seen in section B, and also in the varying delivery of public access.
A significant range in the size of archive collections held by each institution was reported, ranging from a few cubic metres to a maximum of 1083.3m³. With caveats relating to uneven use of measurement units in the reporting of figures, which means some collection sizes had to be estimated, there is still a fairly clear picture of the sector, which is almost polarised between small and large collections. Of the 'small' collections, many are substantially under 50 m³, and of the large, many have hundreds of cubic metres of holdings. This confirms that generalisations about the size and role of university archives need to be treated with caution.
As anticipated, the size of collections is directly proportional in most cases to the number of dedicated archive staff or the time that is allocated to managing archives. Staff numbers and responsibilities of those staff vary greatly: ranging from employment of six full time qualified archivists and five full time support staff to institutions that do not employ anyone dedicated to the care or management of archival material, qualified or otherwise. The type of archive support staff also varies greatly, depending on the situation in which the archive is found. Joint arrangements for support staff shared across university museums or libraries are reasonably common, primarily when archives are part of a larger service. The complexity is such that it is difficult to draw a straightforward conclusion about average overall staffing numbers. Numbers of qualified archivists per archive service, however, correlate reasonably closely to collection size and are indicative of the level of expert stewardship available to the collections. These raw numbers are mitigated in some cases by archivists being on short term contracts (though a surprisingly small proportion of respondents mentioned this). Most archive services without qualified archivists on staff have either records managers or librarians instead, or else support staff undertaking a professional archives qualification; only a few respondents, invariably in charge of small quantities of archives, indicated that the collections were in the hands of staff without any professional qualifications.
provisions of BS5454:2000 Recommendations for the Storage and Exhibition of Archival Documents?
national standards; 14 no dedicated storage This question was deliberately broadly phrased, but it is positive and surprising nonetheless that more than half of participating universities indicated their storage was close to meeting national standards in full. Of the remaining universities, over half have dedicated space for storing the archives even if not BS5454:2000-compliant, and a relatively small proportion responded that their storage was wholly unsuitable. Responses to this question also indicated that many of those in less satisfactory accommodation have active plans for improvement or total replacement of storage facilities.
This question was designed to draw out how readily collections can be accessed, and in general the response demonstrates that university archives are positive in their approaches to access. The category 'within limits' was used to indicate when potential barriers to access are in force, such as very limited opening hours or no published opening times, providing ad hoc research space only with advance notice. The majority of institutions are fully open for researchers within published times, and can accommodate researchers as part of their day to day operations. In response to a supplementary question, only four institutions indicated that they charge for access under some circumstances.
Question B.5: Are you able to support access to holdings in the Welsh language? (Wales only)
Of the seven Welsh respondents, four offer supported access to Welsh medium holdings. In the majority of cases, this is not a fully bilingual service, but support can be accessed at need from the wider parent organization.
Section C: Collecting Section C of the survey aimed to draw broad conclusions about the current position of the university archives sector with regard to acquisition of new material. This was the core area of interest for the survey, with the aim of developing a full picture of the appetite for archive collecting, and the barriers which might frustrate services seeking to develop their collections. The responses to this question demonstrate that the university archives sector is generally positive about collecting opportunities and the majority of services are in a position to take advantage of them when they arise. All but seventeen responding universities actively accept new material from external sources. Where archive services do not collect actively, it is primarily due to issues with storage or lack of staff to manage the records. C.2: Have you taken in any substantial archive collections in the past three years?
This question was asked primarily to improve coverage of individual university holdings on the National Register of Archives, and responses are therefore not reported in full. However, a clear pattern emerged of collecting activity. Of the responding universities that identified themselves as active collectors, all but two said they had accepted significant collections within the last three years. This ranged from some institutions taking in one significant collection in three years, to one institution which had received eight significant new collections in that period. This confirms that the 'active collector'
attitude translates into action in the majority of cases.
C.3: Which non-paper formats are you able to collect? 39 collect photographs (and a further 3 specified photographic negatives); 25 collect sound archives; 33 collect audiovisual material; 34 collect digital formats; 18 accept film archives;
finally, 1 repository reported an unconventional collection of walking sticks.
All responding universities collect paper records, with most collecting at least one other format. The principal formats of record collected tend to be audiovisual and photographic, though there is a positive indication that almost half of respondents are seeking to collect and preserve digital records. Some responding universities collect as many as five different formats. Some common formats (photographs in particular) may be under-reported in responses, judging by comments made on this question. However, several respondents also commented that they do not actively collect nonpaper formats, and/or have inadequate facilities for storage or access to some types of media. In these cases, such collections have largely been acquired as a minor part of larger paper-based collections.
C.4: Do you have sufficient storage space of suitable quality to accept further substantial archive collections? 30 respondents indicated they could accommodate further substantial collections; 45 could not.
Storage space appears somewhat problematic: over half of responding universities indicate that they do not have enough spare storage space to accept further substantial collections. Responses on both sides tended to be with caveats: those lacking space would make serious efforts to accommodate exceptional collections or are negotiating actively for more space; those with space do not have infinite capacity. The overall picture, though, is of a sector with significant practical restrictions on collecting larger archives.
Lack of readily-available purchasing funds can leave archives unable to acquire important material for sale under pressure of time, if an appeal or grant application cannot be made within deadline. It is therefore of concern to note that well over half of respondents have no access to funds to support purchase, whether an established budget or flexible funds which may be made available at need.
This question received a very positive response. Two-thirds of responding universities have formal collecting policies in place, in line with professional best practice. Several respondents without policies in place are actively developing such formal agreements. The collecting remits within the formal collecting policies showed five major collecting areas: subject-specific collecting; institutional records; records of individuals with a connection to the institution (staff and alumni); records directly supporting research and teaching; and records which complement current holdings.
The majority of respondents either reported no conflicts of collecting remit, or else conflicts managed either through a direct relationship with the service(s) concerned;
through a subject specialist body such as the Theatre Information Group; or through a negotiated compromise at the time when the collecting policy was drawn up. There are clearly some remaining cases where collecting boundaries are not clearly delineated, but in general respondents emphasised the need for active co-operation on individual cases where this may arise. Very few respondents have no routine plan to consult other relevant repositories in case of clashing collecting priorities. An analysis of the collecting policies submitted to the survey suggests that this consultative approach will continue to be vital. Although some returns indicate collecting in areas which are unlikely to produce conflicts, or else with clearly defined boundaries to avoid competitive collecting, there were a significant number of policies with open clauses such as "records that support research and teaching" or "records of national significance", which suggest the potential for overlap in some cases. Certain subjects (such as literature, drama, the history of medicine, and political history) are also very widely collected without set boundaries in collecting policies. The need for groups which seek to encourage discussion and a collegial approach in these areas (such as the Political Parties and Parliamentary Archives Group, the Theatre Information Group and the Group for Literary Archives and Manuscripts) is reinforced.
Section D: Collection Description and Cataloguing Section D began with questions relating to updating and expanding The National Archives' information resources (ARCHON and the National Register of Archives).
Action was taken on an individual repository basis and is not summarised here. The remainder of this section was concerned with the state of cataloguing across the university archives sector.
50 Yes, 24 No Responses to this question confirm that there remains a very substantial retroconversion task for paper catalogues in university archives. Well over half of respondents have a proportion of finding aids which are not available online, though the survey did not seek detailed data on the percentages (this was the subject of a survey by The National Archives in 2005). In most cases, such catalogues remain in hard-copy only, limiting awareness of and intellectual access to collections.
Response to this question was very positive, and only a small proportion of respondents indicated that cataloguing was not standards-based. The main standard mentioned was ISAD(G), together with UKAT, EAD, ISAAR(cpf) and the National Council on Archives, Rules for the Formation of Personal, Corporate and Place Names. Some responses reflected use of relevant standards from other domains (AACR, Spectrum, MARC and Library of Congress Subject Headings were among those mentioned). Those archive services which do not catalogue to standards are almost exclusively those which are in the process of being set up or which are without professional support.
The national archive cataloguing backlog remains a significant barrier to access, and responses to this question demonstrate that the university archives sector is broadly in line with the national picture. The proportion of uncatalogued collections is surprisingly evenly spread: almost the same number of institutions have 75-100% cataloguing backlogs as have over 75% of collections catalogued.
Conclusion The vast majority of responding universities have archives, whether institutional, special collections or a combination. The survey results demonstrate the breadth and variety of the university archives sector, and also highlight areas of common good practice and common problems. The diversity of the sector and of the purpose of university archive services makes generalisation somewhat difficult: there is clearly a very different role for an institutional archive compared with a thematic Special Collection supporting a particular area of research strength. Nonetheless, some useful conclusions can be drawn, particularly around attitudes to collecting and description, which were the particular focus of this survey. The university archive sector is relatively well-placed to collect actively and most respondents see that as an important part of their work (albeit with caveats around storage space and purchasing capacity). Collecting is in general undertaken through formal agreements and in a co-operative spirit, to avoid clashes with other institutional collectors, and there is a network of subject-specialist groups aimed at supporting this approach. Given the potential breadth of many of the collecting policies submitted, this collaborative approach is critical. Respondent university archives have collected many dozens of significant collections in the past three years. There is capacity to collect a wide variety of formats, though public access to some formats remains problematic in many services. The challenge of digital archives is being addressed by a significant minority of respondents. The university archives sector as a whole has the potential to play a valuable role in national collection strategies. Information from respondents has been and will continue to be used to enrich the information resources of The National Archives and to inform our work on archive collecting and collection development.
In the context of Archives for the 21st *Century*, with its call for greater collaboration and partnership within the sector, it is good to see that many respondents already undertake a variety of partnership working. This survey suggests that there are particular opportunities for shared facilities in storage and access of non-paper formats, which are actively collected across the sector. This applies especially to the work on digital access, where some university archives are substantially ahead of the majority of the archives sector. The survey shows an active sector which is aware of the potential its archives hold and is making positive moves towards improving standards in storage and access to those collections. This represents a significant proportion of the public archives sector and a critical element in the national network of archive collectors.
Appendix 1 - List of Respondents Aberystwyth University: Centre for Performance Research Arts University College Bournemouth Bangor University Birkbeck College: University of London Birmingham City University: Birmingham Institute of Art and Design Bishop Grosseteste University College, Lincoln Bournemouth University Brunel University Canterbury Christ Church University Cardiff University City University, London Coventry University De Montfort University Guildhall School of Music and Drama Heythrop College: University of London Imperial College, London Institute of Education: University of London Keele University Kingston University Leeds Metropolitan University Liverpool Hope University Liverpool John Moores University London Metropolitan University: The Women's Library London Metropolitan University: Trade Union Congress Library Collections London Metropolitan University: Other Collections London School of Hygiene and Tropical Medicine: University of London London South Bank University Loughborough University The London School of Economics and Political Science Manchester Metropolitan University Middlesex University Newcastle University Nottingham Trent University Oxford Brookes University Queen Mary: University of London Royal Academy of Music Royal College of Art Royal Northern College of Music St George's: University of London Senate House Library: University of London School of Oriental and African Studies: University of London Swansea Metropolitan University Swansea University Teeside University Trinity Laban University of Bath University of Bradford University of Bristol University of Bristol: Theatre Collection University of Cambridge University of Chichester University College Falmouth University of Cumbria University of East Anglia University of East London University of Exeter University of Glamorgan University of Huddersfield University of Hull University of Leicester University of Liverpool University of Manchester University of Northampton University of Nottingham University of Oxford: Bodleian Library University of Plymouth University of Reading (including the Museum of Rural English Life) University of Salford University of Sheffield: Special Collections and Archive University of Sheffield: University Archives University of Southampton University of Sunderland University of Surrey University of Surrey: E. H. Shepard Archive University of Surrey: National Resource Centre for Dance Archive University of Sussex University of Wales, Lampeter University of Warwick University of Westminster University of York University College London York St John University
## Appendix 2 - Survey Questionnaire
Mapping University Archives: Collections and Collecting Name and job role of person completing survey: Institution: A) Scope of operations A.1) Does your institution hold archive material?
A.2) Are archive collections held within a single consolidated service (e.g. Special Collections as part of the Library), or are sections retained in separate departments or centres?
Please give details.
A.3) Are the University's historic records managed together with acquired archival material or through a separate service?
Please give details.
A.4) What arrangements are in place for management of current records?
A.5) Do you work in partnership with any other archive holding body? Please give details if so. B) Scale of operations B.1) What is the size of your archival holdings?
B.2) How many staff are engaged in supporting archive work?
Please give details of professional and support posts, and explain when job roles also share responsibility for non-archive work.
B.3) Are your archive collections held in storage which is broadly in line with the provisions of BS5454:2000 Recommendations for the Storage and Exhibition of Archival Documents? B.4) What arrangements (if any) are made for external users to access the collection(s)? C) Collecting C.1) Does your institution actively seek to expand its holdings of archive and manuscript material? C.2) Have you taken in any substantial archive collections in the past three years?
Please give brief details or link to online resources where available.
C.3) Which non-paper formats are you able to collect?
C.4) Do you have sufficient storage space of suitable quality to accept further substantial archive collections?
C.5) Do you have an acquisition budget which covers archive and manuscript material?
Please indicate size of budget, unless this information is confidential.
C.6) Do you have a formal collecting policy which covers archive and manuscript material?
Please attach a copy or link to online version if you have not formally submitted such a policy to The National Archives in the past. If you do not have such a policy, please give details of areas of collecting interest.
C.7) Are you aware of any potential or actual overlaps or conflicts between your collecting policy and those of other institutions? Please give details.
D) Collection description and cataloguing
D.1) Please check your entry on the ARCHON Directory
(http://www.nationalarchives.gov.uk/archon/), the UK's central contact directory of institutions holding archival material. Are there corrections to be made to your entry?
If you do not have an ARCHON entry please indicate whether we should create one.
D.2) Do you have an online catalogue or online presence in a networking project like the Archives Hub or AIM25 which is NOT included in your ARCHON entry?
D.3) **Do you have archive catalogues which are not available online?** If you do, and if you are interested, you can submit a copy of those catalogues to the NRA.
D.4) **What standards are used in cataloguing archival material in your institution?**
D.5) What proportion of your collections are uncatalogued or not catalogued to an acceptable standard?
| en |
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## Budget 2013 Introduction
On 20 March 2013, Chancellor George Osborne delivered his annual Budget. It built on his previous announcements made in the Autumn Statement (December 2013) and provided an update on the economy and future government plans for public sector spending and taxation.
Full details and further information on the Budget can be found on the Treasury's website.1
## Top Issues For London Councils …
1.
Spending Round will be set out on 26th June
2.
Local government exempt from further 1% budget reduction in 2013/14 but may fall
by a further 1% in 2014-15 *(we are seeking clarification on this)*
3.
Public sector pay limited to 1% increase in 2015/16
Local government DEL to be adjusted in the Spending Round
Pay progression to end
4.
Additional infrastructure investment of £3 billion a year from 2015-16
5.
Adult Social Care - Dilnot reforms to be implemented a year earlier in 2016
Cap will be set to protect savings above £72k
threshold for means test on residential care to rise from £23k to £118k
6.
Housing
£3.5bn to fund 'Help to Buy' scheme
'Mortgage Guarantee' scheme (guarantee for up to £130bn of mortgages)
Plans to build 15,000 more affordable homes
Plans to increase fivefold the funds available for building for Rent
Plans to extend the Right to Buy
7.
Single tier state pension to begin in 2016-16 - public sector contributions to rise
8.
Consultation launched on implementation of Richard Review on apprenticeships
## Overview
Today's Budget provided an update on the government's two primary economic rules:
1. That the government balance the cyclically-adjusted current budget over the coming five
years and
2. That net debt will reduce as a share of the economy by 2015-16.
The independent Office for Budget Responsibility (OBR) has concluded that the government is 'on course' to meet the first fiscal mandate. However, on current projections the second rule will be missed by two years with debt not falling until 2017-18.
Public Sector Net Borrowing (PSNB): Borrowing to fund the deficit this year is set to come in at £114bn, £6bn below the target of £120bn for 2012/13 set in the March Budget. It is then expected to fall to £108bn in 2013/14, £97bn in 2014-15, £87bn in 2015/16, £61bn in 2016/17 and reach £42bn by 2017/18. Public sector net debt is forecast to peak at 85.6% of GDP in
2016/17, but is set to fall to 84.8% in 2017/18, higher than forecast in March 2012.
Economic Growth: Today's Budget includes the latest forecasts from the independent Office for Budget Responsibility, which has downgraded growth forecasts to 0.6% in 2013, 1.8% in 2014, 2.3% in 2015, 2.7% in 2016, 2.8% in 2017.
## Overview Of The Budget Monetary Policy
I confirm today that the Asset Purchase Facility will remain in place for the coming year.
The full Budget Statement can be found on the Treasury's website2. Key extracts from the Chancellor's speech are set out below with points of particular interest for London local government in bold:
I am today setting out an updated remit for the Monetary Policy Committee. Alongside it, we're publishing a review of the monetary policy framework.
## Economic And Fiscal Forecasts
The updated remit reaffirms the inflation target as two per cent as measured by the twelve month increase in the Consumer Prices Index.
The OBR expect the recovery to pick up to 1.8 per cent in 2014, 2.3 per cent in 2015, 2.7 per cent in 2016 and 2.8 per cent in 2017. Compared to this time last year, the OBR now expect 600,000 more jobs in 2013 - and there will be
60,000
fewer people claiming The new remit explicitly tasks the MPC with setting out clearly the trade-offs it has made in deciding how long it will be before inflation returns to target.
unemployment benefit.
The new remit also… makes clear that the Committee may wish to issue explicit forward guidance, including using intermediate thresholds in order to influence expectations on the future path of interest rates.
Mr Deputy Speaker, the deficit continues to come down. It falls to 6.8 per cent next year, 5.9 per cent in 2014-15. 5 per cent in 2015-16. Then 3.4 per cent the following year - reaching 2.2 per cent by 2017-18.
So I am asking the MPC to provide an assessment of how intermediate thresholds might work in Britain, and to give that assessment in its August 2013 Inflation Report.
Borrowing then falls from £108 billion next year and falls again to £97 billion in 2014-15. Then £87 billion in the last year of this Parliament. Before falling again to £61 billion and £42 billion in the following two years.
## Fiscal Policy
We committed at the start of this Parliament to a fiscal mandate that said we would aim to balance the cyclically adjusted current budget over the following rolling five years.
Mr Deputy Speaker, active monetary policy can only operate freely when securely anchored by credible fiscal policy.
And thanks to the tough financial control of my RHF
the Chief Secretary, government I can confirm that the OBR says we are on course to meet our fiscal mandate - and meet it one year early.
departments are forecast to underspend their budgets by more than £11 billion this year.
However, the likelihood of meeting the supplementary debt target has deteriorated.
Both next year and the year after, we will reduce resource departmental expenditure limits by the equivalent to a 1 per cent reduction for most departments.
Public sector net debt is forecast to be 75.9 per cent of GDP this year. 79.2 per cent next year, and 82.6 per cent the year after. 85.1 per cent in 2015-16. 85.6 per cent in the year after. Before falling to 84.8 per cent in 2017-18.
The schools and health budgets will remain protected - because our promise to our NHS is a promise we will keep.
## Local Government And Police Allocations For 2013-14 Have Already Been Set Out And Will Not Be Affected.
The proportion of national income spent by the state has fallen from 47.4 per cent three years ago to 43.6 per cent today; and it's on course to reach 40.5 per cent at the end of the period.
The Local government RDEL is
protected in 2013-14, but may fall
by 1% in 2014-15 (around £219m)*
Review Body's recommended increase in the so-called X Factor payment made to military personnel to recognise the particular sacrifices they make.
*we are currently seeking clarification from government on this cut
## Ame Limit
As previously, the DfID budget will be adjusted to ensure we don't spend more than 0.7 per cent.
We will now introduce a new limit on a significant proportion of Annually Managed Expenditure.
Mr Deputy Speaker, departmental budgets have yet to be set for the year 2015-16, which starts before the end of this Parliament.
It will be set out in a way that allows the automatic stabilisers to operate - but will bring real control to areas of public spending that had been out of control.
## This Will Done In The Spending Round That Will Be Set Out On 26Th June.
We will set out how more detail on how this new spending limit will work at the Spending Round.
I said last Autumn that we would require around £10 billion of savings for that Spending Round.
## Infrastructure
I confirm today that we will instead be seeking £11.5 billion of current savings.
By using our extra savings from government departments, we will boost our infrastructure plans by £3 billion a year from 2015-16.
## Total Managed Expenditure For 2015-16 Will Be Set At £745 Billion.
That's £15 billion of extra capital spending over the next decade. In June, we will set out long term spending plans for that long term capital budget.
Together, my RHFs the Chief Secretary and the Minister for the Cabinet Office have identified that a further £5 billion of savings in efficiency and cutting the cost of administration can be made.
## Public Sector Pay I Accept Michael Heseltine'S Excellent Idea Of A Single Competitive Pot Of Funding For Local Enterprise.
I also fully endorse the report of Doug Richard to make the most our apprenticeships.
The Government will extend the restraint on public sector pay for a further year by limiting increases to an average of up to 1 per cent in
2015-16.
This will apply to the civil service and workforces with Pay Review Bodies.
We're backing international successes like these with £1.6 billion of long-term funding for the industrial strategy the Business Secretary launched this week.
## Local Government And Devolved Administration Budgets Will Be Adjusted Accordingly In The Spending Round.
And today we build on our new tax reliefs coming in this year for the creative industries like high-end television and animation with new support for our world-class visual effects sector.
We will also seek substantial savings from what is called progression pay. These are the annual increases in the pay of some parts of the public sector.
To help small firms, we'll increase by fivefold the value of government procurement budgets spent through the Small Business Research Initiative.
We will exempt our military from changes to progression pay. We are also accepting in full from 1st May this year the Armed Forces Pay Here in Britain we've cut corporation tax from the 28 per cent we inherited to 21 per cent next year. But I want to go further.
And we're putting new controls on what regulators can charge, and giving the Pensions Regulator a new requirement to have a regard for the growth prospects of employers.
So in April 2015 we will reduce the main rate of corporation tax by another 1 per cent.
Today, with the help of my HF the Energy Minister, we also announce our intention to take two major carbon capture and storage projects to the next stage of development.
Britain will have a 20 per cent rate of corporation tax - the lowest business tax of any major economy in the world.
We'll support the manufacture of ultra low emission vehicles in Britain with new tax incentives.
As with previous reductions in the corporate tax rate, I do not intend to pass the benefit onto to the banking sector - so I will offset this reduction by increasing the Bank Levy rate next year to 0.142 per cent.
So we will exempt [the ceramics industry] from next year the industrial processes for that industry and some others from the Climate Change Levy.
## Tax Avoidance
And in the Spending Round we will provide support for energy intensive industries beyond 2015.
Today, I am unveiling one of the largest ever packages of tax avoidance and evasion measures presented at a Budget. The details are set out in this Red Book.
I am introducing a generous new tax regime, including a shale gas field allowance, to promote early investment.
They include agreements with the Isle of Man, Guernsey, and Jersey to bring in over a billion pounds of unpaid taxes.
And by the summer, new planning guidance will be available alongside specific proposals to allow local communities to benefit.
This year we're giving Britain its first ever General Anti-Abuse Rule. And we will name and shame the promoters of tax avoidance.
## Business Tax Welfare
We're introducing capital gains tax relief for sales of businesses to their employees.
## Child-Care
And we're going to double to £10,000 the size of the loans that employers can offer tax free to pay for items such as season tickets for commuters.
So to the working parents struggling with the costs of childcare, and the mother wondering whether it makes financial sense to get a job, we offer this: Tax free childcare. The plans were set out yesterday.
I have listened and we will introduce a new tax relief to encourage private investment in social enterprises.
I'm increasing the rate of the above the line R &
D credit to 10 per cent.
New tax-free childcare vouchers for working families: 20 per cent off the first £6,000 of your childcare costs for each child. And increased childcare support for those low income working families on universal credit.
## Pensions
Along with our new 10 per cent corporation tax rate on profits from patents coming in next month, this will help make us one of the most internationally attractive places to innovate.
And for those who aspire to put aside money for their retirement: we offer a simple, flat rate I am abolishing altogether stamp duty on shares traded on growth markets such as AIM.
pension accessible to everyone and worth £144
a week.
You put down a five per cent deposit from your savings, and the government will loan you a further 20 per cent. The loan is interest free for the first five years. It is repaid when the home is sold.
We're bringing forward the introduction of the new Single Tier Pension to 2016.
Help is available to all buyers of newly built homes on all incomes. The only constraint will be that the home can't be worth more than
£600,000 - but this covers well over 90 per cent of all homes.
## Private Sector Employers Can Adjust Their Pension Benefits To Accommodate The Extra Cost; Public Sector Employers Will Have To Absorb The Burden, As Is Always The Case With Tax Changes.
Any spending review in the next Parliament will, of course, take the £3.3 billion cost into account.
We will offer a new **Mortgage Guarantee.** This will be available to lenders to help them provide more mortgages to people who can't afford a big deposit.
These guaranteed mortgages will be available to all homeowners, subject to the usual checks on responsible lending.
## As We Have Already Made Clear, Public Sector Employees, And The Relatively Small Number Of Private Sector Employees In Defined Benefit Schemes, Will From 2016 Pay More National Insurance Than They Do Today.
And we're offering guarantees sufficient to support £130 billion of mortgages. It will be available from start of 2014 - and run for three years.
So they will pay the same rate of national insurance as the rest of the working population, and in return, they will get a larger state pension than before.
In the Budget Book, we also set out more plans for housing:
## Adults' Social Care - Plans To Build 15,000 More Affordable Homes
We've also made clear before that the extra
£1.6
billion raised in employee national insurance will not be kept by the Treasury.
## - Plans To Increase Fivefold The Funds Available For Building For Rent
That's what our new cap will deliver - as Andrew Dilnot recommended. It'll also come in in 2016.
- And plans to extend the Right to Buy so more tenants can buy their own home.
## Duties
It will be set to protect savings above
£72,000, and we'll raise the threshold for the means test on residential care from just over £23,000 to £118,000 that year too.
## Home Ownership
Today, I am cancelling this September's fuel duty increase altogether. Petrol will now be 13 pence per litre cheaper than if we had not acted over these last two years to freeze fuel duty. I intend to maintain the planned rise for all alcohol duties - with the exception of beer.
Today I can announce **Help to Buy.** Help to Buy has two components. First, we're going to commit £3.5 billion of capital spending over the next three years to shared equity loans. From the beginning of next month, we will offer an equity loan worth up to 20 per cent of the value of a new build home - to anyone looking to move up the housing ladder.
We will now scrap the beer duty escalator altogether. And instead of the 3p rise in beer duty tax planned for this year I am cancelling it altogether. I'm going to go one step further and I am going to cut beer duty by 1p.
## Personal Allowance
In two weeks time, the allowance will reach £9,440 with the single largest cash increase in its history.
In this Budget, the Government reconfirms its commitment to raising the personal allowance to £10,000. Today I can confirm we will get there next year. From 2014, there will be no income tax at all on the first £10,000 of your salary.
## Employment Allowance
I want to support jobs and the small businesses that create them. And I want to do it with a reforming tax cut - in fact it's the largest tax cut in the Budget. To help create jobs and back small businesses in this country I am today creating the Employment Allowance.
The Employment Allowance will work by taking the first two thousand pounds off the employer National Insurance bill of every company.
It's worth up to £2,000 to every business in the country. It will become available in April next year once the legislation is passed.
And we'll also make it available to charities and community sports clubs.
## Appendix A - Reductions To Departmental Resource Budgets
The Budget includes an additional 1% cut to departmental budgets in 2013/14 and 2014/15. The NHS, Schools and International Development budgets will continue to be protected, as will the police and local government budgets in 2013/14. This comes on top of the 1% cut for 2013/14 and 2% cut for 2014/15 announced in the Autumn Statement.
Source: Budget 2013 (Table 2.4 - p.69)
## Appendix B - Public Spending Reductions To 2017/18
Today's Budget shows overall Resource DEL (including depreciation) decreasing by -0.9% in 2015/16 before reducing by -2.0% in 2016/17 and -2.5% in 2017/18. This is worse than forecast in the 2012 Autumn Statement (see Figures 1 and 2 below).
Source: Budget 2013 (Table 2.3 - p.68)
2012-13
2013-14
2014-15
2015-16
2016-17
2017-18
Autumn Statement 2012
339.5
339.2
335.4
336.5
331.4
324.5
% change
-0.4%
-0.1%
-1.1%
0.3%
-1.5%
-2.1%
Budget 2013
339.8
338.8
335.0
331.9
325.1
316.9
% change
-0.3%
-0.3%
-1.1%
-0.9%
-2.0%
-2.5%
Source: Budget 2013
| en |
0387-pdf |
th
## Total Prosecution Costs For The Trial Of John Worboys.
Request John Worboys (John Derek Radford) Could you tell me the total prosecution costs, broken down by trial, for the above? Are there still amounts outstanding not included? Response The total prosecution costs recorded are £119,392.83. The CPS does not record time spent by internal lawyers, paralegals and administrative staff on a case by case basis, therefore this is only counsel costs. Please note the CPS cannot breakdown this amount by trial date as this information is not held. We can confirm there are no outstanding fees. Information Management Unit 020 3357 0899
[email protected]
Crown Prosecution Service, Information Management Unit,
Floor 8, 102 Petty France, London SW1H 9AJ | en |
4794-pdf | Proven Re-offending Statistics Quarterly Bulletin April 2013 to March 2014, England and Wales Ministry of Justice Statistics Bulletin 28 January 2016
## Contents
Introduction .................................................................................
3
Key findings
.................................................................................
5
Main report
...................................................................................
7
Overall - adult and juvenile offenders .........................................7 Males and Females
....................................................................8
Age ............................................................................................9 Index offence
............................................................................
10
Previous offences
.....................................................................
11
Index disposal (sentence) type
.................................................
12
Comparing the effectiveness of sentences
...............................
14
Measuring proven re-offending
................................................
17
Contact points ...........................................................................
19
## Introduction
This quarterly bulletin provides key statistics on Proven Re-offending for adult and juvenile offenders who were released from custody, received a noncustodial conviction at court, received a caution, or received a reprimand or warning in the period April 2013 to March 2014. It presents the proportion of offenders who re-offend (proven re-offending rate) and the number of proven re-offences by offender history, demographics, individual prisons, probation trusts, local authorities and youth offending teams.
How is proven re-offending measured?
A proven re-offence is defined as any offence committed in a one year followup period that leads to a court conviction, caution, reprimand or warning in the one year follow-up or within a further six month waiting period to allow the offence to be proven in court as shown in the diagram below.
enters cohort six months to allow proven in court
| 01-Apr-13 | 30-Sep-13 | 31-Mar-14 | 30-Sep-14 | 31-Mar-15 | 30-Sep-15 |
|-------------|-------------|-------------|-------------|-------------|-------------|
An offender enters cohort if they are released from custody, received a non-custodial conviction at court, received a caution, or received a reprimand or warning in the period April 2013 to March 2014. Latest figures are provided with comparisons to April 2012 to March 2013, and the calendar year 2003 in order to highlight long-term trends. The full set of results is published separately in a set of Excel tables which provide headline Proven Re-offending statistics, and data tools which provide more detailed breakdowns.
Annex A the latest interim re-conviction estimates from the Peterborough Payment by Results pilots is published separately alongside this bulletin. Youth Justice annual statistics are also published today, and will cover the April 2013 to March 2014 cohort for youth proven re-offending.
If you have any feedback, questions or requests for further information about this statistical bulletin, please direct them to [email protected].
Publication of National Probation Service Community Rehabilitation Companies and proven re-offending rates Probation Trusts ceased to exist on 1 June 2014, and were replaced with the National Probation Service and 21 Community Rehabilitation Companies. On 1 February 2015, new providers took ownership of, and began running, the
21 Community Rehabilitation Companies (CRC). The next proven re-offending publication in April covers the period from July 2013 to June 2014. We propose that the next proven re-offending publication continues to have a probation trust breakdown, but not an NPS/CRC breakdown, as this will only cover one month of these organisations being operational. The July publication will, for the first time, provide proven reoffending rates by NPS regions and CRCs for offenders starting a court order in the period from June 2014 to September 2014.
Public consultation Alongside the October 2015 bulletin, we published a public consultation on proposals to change the presentation of the data in re-offending statistics produced from October 2017. These changes will be the direct consequence of reforms made to the probation services through introducing the Offender Rehabilitation Act in February 2015. We intend to publish a response to this consultation in spring 2016.
## Key Findings
Overall - adult and juvenile offenders In April 2013 to March 2014 around 510,000 adult and juvenile offenders1 were cautioned, received a non-custodial conviction at court or released from custody. Around 134,000 of these offenders committed a proven re-offence within a year. This gives an overall proven re-offending rate of 26.2%; this rate has remained fairly stable, fluctuating between around 26% and 28% since 2003. Around 418,000 proven re-offences were committed over the one year follow-up period, with those that re-offended committing, on average, 3.12 reoffences each. This is an increase of 3.8% compared to the previous 12 months and a fall of 7.7% since 2003. The highest re-offending rate by age group is 38.9%, for offenders aged 10 to 14, the number of offenders in this cohort has fallen by around 80% since 2003. The re-offending rate for offenders aged 15 to 17 is second highest, at 37.8%. Less than 1% of all proven re-offences committed over the one year followup period were serious violent or sexual offences with very little change since 2003.
Adult offenders Adult offenders had a proven re-offending rate of 25.2%, representing a small increase of 0.2 percentage points compared to the previous 12 months and a fall of 1.7 percentage points since 2003, this rate has been fairly flat since 2003 fluctuating between around 24% and 27%. Around 368,000 proven re-offences were committed by adults over the one year follow-up period. Those that re-offended committed on average 3.12 reoffences each. Unsurprisingly, adult offenders with 11 or more previous offences have a higher re-offending rate than those with no previous offences - 46.6% compared to 7.9%. In the April 2013 to March 2014 cohort, adult offenders with an index offence of 'Theft' had the highest proven re-offending rate of 42.8%. Those with the lowest rate had an index offence of 'Fraud' and re-offended at a rate of 10.9%.
Adult offenders starting a court order The proven re-offending rate for adult offenders starting a court order (Community sentence or Suspended Sentence Order) was 34.0%, a fall of 5.9 percentage points since 2003, and a slight increase of 0.1 percentage points compared to the previous 12 months. Adult offenders released from custody The proven re-offending rate for adult offenders released from custody in April 2013 to March 2014 was 45.8%. This represents a small increase of 0.7 percentage points compared to the previous 12 months and a fall of 5.8 percentage points since 2003. Since 2004, the overall rate for those released from custody has remained relatively stable at around 45% to 49%; The rate for those released from short sentences has been consistently higher compared to those released from longer sentences. Adults who served sentences of less than 12 months re-offended at a rate of 59.8%, compared to 33.9% for those who served determinate sentences of 12 months or more. The trends for those released from short and long sentences have both remained broadly flat since 2005 and are consistent with the overall trend.
Juvenile offenders Around 42,000 juvenile offenders were cautioned, convicted or released from custody in April 2013 to March 2014 and around 16,000 of them committed a re-offence. This gives a proven re-offending rate of 38.0%, up 1.9 percentage points from the previous 12 months and an increase of 3.8 percentage points since 2003, the cohort has fallen by around 69% since 2003. Around 50,000 proven re-offences were committed by juveniles over the one year follow-up period. Those that re-offended committed on average 3.12 reoffences each, the same as for adults. Juvenile offenders with 11 or more previous offences have a higher re-offending rate than those with no previous offences - 74.3% compared to 24.2%.
Juvenile offenders released from custody The proven re-offending rate for juvenile offenders released from custody in April 2013 to March 2014 was 67.1%. In spite of the increase in the overall juvenile re-offending rate, the reoffending rate for juveniles released from custody continues to fall with a decrease of 0.8 percentage points compared to the previous 12 months and a fall of 7.8 percentage points since 2003.
## Main Report
Overall - adult and juvenile offenders *(Table A1)* Adult offenders accounted for 92% (around 468,000) of the April 2013 to March 2014 offender cohort, and juvenile offenders accounted for 8% (around 42,000). A certain proportion of offenders who could not be matched to the Police National Computer (PNC) are excluded from the offender cohort. Therefore, this number does not represent all proven offenders.
Around 118,000 of all **adult offenders** were proven to have committed a reoffence within a year. This gives a proven re-offending rate of 25.2% which represents a small increase of 0.2 percentage points compared to the previous year. Since 2003, there has been little change in this rate, as illustrated in Figure 1. Over this time it has ranged from around 24% to 27% and since 2004 it has remained steady at around 25%.
The proven re-offending rate for **juvenile offenders** is higher, and in the last
12 months it has increased from 36.1% for the year ending March 2013 to 38.0% for the year ending March 2014. While the juvenile re-offending rate has seen an increase of 3.8 percentage points since 2003, the cohort has fallen by around 69%. The average number of previous offences per juvenile offender was 2.57 in April 2013 to March 2014 and 1.83 in 2003. In spite of the increase in the overall juvenile re-offending rate, the re-offending rate for juveniles released from custody continues to fall.
##
Males and Females **(Table A2)** In the April 2013 to March 2014 cohort, 82% were male and 18% were female - a split that has changed little since 2003. Male offenders from the April 2013 to March 2014 cohort re-offended at a higher rate of 27.8% compared to female offenders who re-offended at a rate of 19.4%. Both rates have remained broadly stable since 2003 (Figure 2). Between 2003 and April 2013 to March 2014, the proven re-offending rate for male and female offenders decreased by 2.2 and 2.1 percentage points respectively.
A summary report was published by Ministry of Justice in November 2014 which related to the experience of women in the criminal justice system.
##
Age *(Table A3)* The highest re-offending rate by age group is 38.9%, for offenders aged 10 to 14, this cohort has fallen by around 80% since 2003. The age group with the second highest re-offending rate was for those offenders aged 15 to 17, at 37.8%. Since 2003 the age distribution for proven re-offending has changed. Compared to 2003, the proven re-offending rate has increased for 10 to 17 year olds and for those aged 35 and over, but has fallen for offenders aged 18 to 34.
Figure 3 shows that the proven re-offending rate generally falls with increasing age.
Index offence *(Table A4a,b)* The offence that leads to an offender being included in the offender cohort is called the index offence. In the April 2013 to March 2014 cohort, adult offenders with an index offence of 'Theft' had the highest proven re-offending rate of 42.8%. This was followed by those with an index offence of 'Robbery' with a rate of 36.3%. Those with the lowest rate had an index offence of 'Fraud' and re-offended at a rate of 10.9%. Additionally, with a fall of 10.3
percentage points, the 'Fraud' index offence category saw the largest decrease between 2003 and April 2013 to March 2014. In contrast, the largest increase of 6.6 percentage points over the same period occurred for those with an index offence of 'Public Order' with a re-offending rate of
30.0%. In the April 2013 to March 2014 cohort, juvenile offenders with an index offence of 'Miscellaneous crimes against society'2 had the highest proven reoffending rate of 45.8%. Those with the lowest rate had a 'sexual' index offence and re-offended at a rate of 12.1%. The 'Summary Motoring' index offence category, with a fall of 16.8 percentage points, had the largest decrease between 2003 and April 2013 to March 2014. The largest increase of 9.4 percentage points over the same period occurred for those with an index offence of 'Theft' with a re-offending rate of 42.1%.
include: handling stolen goods, threat to commit criminal damage and perverting the course of justice.
Previous offences *(Table A5a, b)* Generally, offenders with a large number of previous offences have a higher rate of proven re-offending than those with fewer previous offences and this is true for both adults and juveniles. In the April 2013 to March 2014 cohort, for adults, the proven re-offending rates ranged from 7.9% for offenders with no previous offences to 46.6% for offenders with 11 or more previous offences. For juveniles these figures were 24.2% and 74.3% respectively. Between 2003 and April 2013 to March 2014 the proven re-offending rate for adults who had committed 11 or more previous offences decreased by 4.9 percentage points. For juveniles who had committed 11 or more previous offences, and over the same period, this decrease was 8.0 percentage points. Adult offenders with 11 or more previous offences represented just under a third of all adult offenders in the April 2013 to March 2014 cohort, but committed over two thirds of all adult proven re-offences. For juvenile offenders this group made up only 6% of all juvenile offenders, but committed nearly a fifth (18%) of all juvenile proven re-offences.
Index disposal (sentence) type *(Table C1a, b)* The index disposal of the offender is the type of sentence the offender received for their index offence. For the Proven Re-offending Statistics Quarterly Bulletin, this is defined as custody, court order, or other disposal resulting from a conviction at court, such as a fine or discharge, caution (adult offenders), reprimand or final warning (young offenders).
Adult offenders released from custody or commencing a court order Between April 2013 and March 2014, around 172,000 adult offenders were released from custody or commenced a court order. Around 61,000 of these offenders were proven to have committed a re-offence within a year. This gives a proven re-offending rate of 35.6%. Since 2005, this rate has fallen by 2.8 percentage points.
Adult offenders commencing a court order Between April 2013 and March 2014, around 124,000 adult offenders started a court order and around 42,000 of these (34.0%) committed a proven reoffence within a year. This represents a slight increase of 0.1 percentage points compared to the previous 12 months, and a fall of 5.9 percentage points since 2003. The Legal Aid, Sentencing and Punishment of Offenders Act 2012 introduced Suspended Sentence Orders (SSOs) without requirements attached. Offenders sentenced to such SSOs are not supervised by the Probation Service. There have been increasing numbers of such orders given since they were introduced in December 2012. The re-offending rate for these SSOs without requirements is 35.1%. The re-offending rate for SSOs with requirements is 30.2%.
These figures should not be compared to assess the effectiveness of different types of SSOs, as there is no control for known differences in offender characteristics and the type of sentence given.
Adult offenders released from custody Between April 2013 and March 2014, around 58,000 adult offenders were released from custody and around 27,000 of these (45.8%) were proven to have committed a re-offence within a year. The rate has decreased by 5.8 percentage points since 2003, and has increased slightly from 45.1% for the same period 12 months ago. Just under half of the adult offenders released from custody in April 2013 to March 2014 were released from a custodial sentence of less than 12 months. These offenders had a proven re-offending rate of 59.8% compared to 33.9% for those who served sentences of 12 months or more. The rate for those released from short sentences has been consistently higher compared to those released from long sentences, as shown in Figure 6. However, the reoffending rate for those released from sentences of more than 10 years has seen an increase over recent years, and now stands at 16.5%. Juvenile offenders given a reprimand, warning or youth caution (Table C1b)
The re-offending rate for juveniles offenders given a reprimand, warning or youth caution was 30.6% an increase of 4.3 percentage points from the previous year and 5.1 percentage points from 2003. Reprimands and warnings for youths were abolished under Legal Aid Sentencing and Punishment of Offenders Act 2012 with effect from 8 April 2013 and replaced with youth cautions. Youth cautions are a formal out-of-court disposal that can be used as an alternative to prosecution for juvenile offenders in certain circumstances. A Youth Caution may be given for any offence where the young offender admits an offence, there is sufficient evidence for a realistic prospect of conviction but it is not in the public interest to prosecute.
Juvenile offenders released from custody *(Table C1b)* The re-offending rate for juveniles released from custody continues to fall. In April 2013 to March 2014 around 1,200 juvenile offenders were released from custody and around 800 of these (67.1%) were proven to have committed a re-offence within a year. This represents a decrease of 0.8 percentage points compared to the previous 12 months and fall of 7.8 percentage points since
2003.
rounded to the nearest 100.
Comparing the effectiveness of sentences Proven re-offending rates by index disposal (sentence type) should not be compared to assess the effectiveness of sentences, as there is no control for known differences in offender characteristics and the type of sentence given. The 'The impact of short custodial sentences, Community Orders and Suspended Sentence Orders on reoffending' compares like for like offenders which enables a more reliable comparison of proven re-offending rates between offenders receiving different sentences. Short-term custody (less than 12 months in prison, without supervision on release) for the 2008 to 2011 cohorts was consistently associated with higher rates of proven re-offending than community orders and suspended sentence orders ('court orders').
Over a one year follow-up period, a higher proportion of people re-offended having been sentenced to short term custody than other, similar people given:
a community order, of 3 percentage points higher;
a suspended sentence order, of 7 percentage points higher.
Short term custody was associated with up to one more re-offence per person on average than both community and suspended sentence orders. In the '2013 Compendium of Re-offending Statistics and Analysis', noncustodial sentences were also compared:
Suspended sentence orders had a lower re-offending rate than
community orders (3.2 percentage points for 2010);
Community orders had a higher re-offending rate than fines, though
the difference was small (0.9 percentage points in 2010);
Conditional discharges had a lower re-offending rate than: Community
orders (5.1 percentage points for 2010); and Fines (5.5 percentage points for 2010).
Adult offenders by individual prison (Prison/youth secure accommodation/probation trust data tool)
Among prisons that released 30 or more offenders in April 2013 to March 2014, proven re-offending rates varied considerably from 13.2% to 76.0% for offenders with a sentence of less than 12 months and from 1.3% to 55.7% for offenders with a sentence of 12 months or more. A large part of this variability reflects the mix of offenders who are held in different prisons and, therefore, comparisons between prisons should not be made using these raw re-offending rates.
Adult offenders by probation trust (Prison/youth secure accommodation/probation trust data tool) For the period this report covers, offenders given a court order were managed by the Probation Service which comprised of 35 probation trusts. Proven re-offending rates for these offenders are presented by probation trust in the Prison/youth secure accommodation/probation trust data tool. This takes the first court order from within each probation trust as the start point for measuring re-offending and subsequent events as proven reoffences. Proven re-offending rates varied considerably between probation trusts from 29.5% to 43.3%. A large part of this variability reflects the mix of offenders who are given a court order and, therefore, comparisons between probation trusts should not be made using these raw re-offending rates.
## Measuring Proven Re-Offending
There is no agreed international standard for measuring and reporting reoffending. An offender's journey through the criminal justice system can be a complex one; offenders can appear on numerous occasions. Measuring true re-offending is complex. Official records are taken from either the police or courts, but they will underestimate the true level of re-offending because only a proportion of crime is reported and/or detected and not all crimes are recorded on one central system. Furthermore, other methods for measuring re-offending, such as self-report studies, which do not identify the offender, are likely to be unreliable. Therefore, this report aims to estimate proven re-offending for a specified group of offenders using data mainly from the Police National Computer. Since this report measures re-offending on a consistent basis across all groups, it is possible to tailor analysis of re-offending to meet specific requirements.
The headline measure This is the overall measure of re-offending and is presented for different demographic groups and by offence. To provide this overview of proven reoffending, offenders are tracked and their proven re-offending behaviour is recorded, taking the **first event**3 in the **relevant period** as the start point and subsequent events as proven re-offences. Users should refer to tables A1 to A6, B1 to B4 and the proven re-offending overview data tool for these statistics.
Index disposal In this measure offenders are tracked and their proven re-offending behaviour is recorded **within** each disposal (caution, court order, release from custody, etc.) Users should refer to tables C1 to C2b for these statistics and the proven re-offending by index disposal data tool for these statistics.
Prison/Probation Trust In this measure offenders are tracked and their proven re-offending behaviour is recorded **within** each operational unit (prison or probation trust) taking the first event **within** each as the start point and subsequent events as re-offences.
Probation Trusts ceased to exist on 1 June 2014, and were replaced with the National Probation Service and 21 Community Rehabilitation Companies. However, since the reporting period for this bulletin covers April 2013 to March 2014, we have continued to publish statistics at Probation Trust level in the accompanying tables.
Early estimates An early estimate of proven re-offending for young offenders– this uses a shorter follow-up and waiting period, but otherwise measures re-offending in exactly the same way as the headline measure. This provides an earlier indication of proven re-offending trends for young offenders and is published as management information alongside the accompanying proven reoffending tables.
Re-conviction measure - Payment by results A re-conviction measure for use by payment by results pilots - this is the measure used in the prison pilots at HMP Peterborough and HMP Doncaster which measures court convictions. For more details, please refer to Annex A.
For a more detailed explanation, please see the accompanying 'Definitions and Measurement' document.
Consultation This quarterly bulletin was developed in response to a consultation in late 2010 and early 2011 by the Ministry of Justice (MoJ) on "Improvements to Ministry of Justice Statistics".
Users The contents of this bulletin will be of interest to Government policy makers, the agencies responsible for offender management at both national and local levels, providers, practitioners and others who want to understand more about proven re-offending. In particular there are two MoJ impact indicators which will be monitored using results from this bulletin:
Adult and juvenile re-offending - the percentage of adult and juvenile
offenders who re-offend.
The percentage of adults released from custody who re-offend.
Government policy makers also use these statistics to develop, monitor and evaluate key elements of its policies including those on payments by results, legal aid and sentencing guidelines. Offender management agencies use these statistics to gain a local understanding of the criminal justice system, understand performance and to highlight best practice. Key agencies include: the National Offender Management Service, the Youth Justice Board, private and voluntary sector providers of prison and probation services and local authorities.
## Contact Points
Press enquiries should be directed to the Ministry of Justice press office: Tel: 020 3334 3536 Email: [email protected] Other enquiries about these statistics should be directed to:
Nick Mavron Ministry of Justice Justice Statistics Analytical Services 7th Floor 102 Petty France London SW1H 9AJ General enquiries about the statistical work of the Ministry of Justice can be e-mailed to: [email protected] General information about the official statistics system of the United Kingdom is available from www.statisticsauthority.gov.uk/about-the-authority/ukstatistical-system Alternative formats are available on request from [email protected].
## © Crown Copyright 2015
This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: [email protected].
| en |
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## Code Of Governance For Resolving Tax Disputes Code Of Governance For Resolving Tax Disputes
This document sets out HMRC's governance arrangements for decisions on how tax disputes should be resolved. These arrangements are one aspect of HMRC's wider governance framework, on which there is more information in Annex B.
## Contents Page
4
Section 1: How we aim to resolve tax disputes
5
Section 2: Governance of decisions on resolving tax disputes
6
Section 3: How we decide our position on disputed points
affecting more than one customer
7
Section 4: Reviewing the processes used in settled cases
8
Annex A: About HMRC
9
Annex B: Governance model flow chart
10
Annex C: Tax Disputes Resolution Board - Terms of Reference
16
Annex D: Remits of other Boards
## Section 1: How We Aim To Resolve Tax Disputes
Differences of view (or 'disputes') between a tax authority and taxpayers on
the correct amount of tax owed - or the timing of payment - are a normal feature of tax administration across the world. They arise in cases of all sizes
- this may be because the law is complex or because the way the law is applied in a particular set of circumstances is not straightforward.
Most disputes can be resolved collaboratively and by agreement once the facts have been established and the points at issue discussed, including cases where there is a formal appeal against the view we have taken. Only a very small minority of disputes need to be resolved by legal action, either in a tribunal or a higher court.
## Litigation And Settlement Strategy
HMRC's Litigation and Settlement Strategy (LSS) was first published in 2007 and refreshed in 2011 and 2013. It sets out the basis on which we will reach agreement in a tax dispute and emphasises the benefits of a collaborative approach in achieving a resolution. The arrangements described in this code provide assurance that the principles of the LSS are applied consistently in practice to the resolution of
tax disputes. As spelt out by the LSS, we will only resolve a tax dispute consistently with:
• the law, whether by agreement with the customer
or through litigation; and
• our objectives of efficiently determining and
collecting the correct tax to maximise revenue flows, while reducing costs and improving the customer experience.
More information on the LSS is available here:
http://www.hmrc.gov.uk/practitioners/LSS.pdf In addition to the LSS, we ensure that appropriate decisions are made through: • extensive technical and operational guidance; • training programmes which ensure our staff have
the right qualifications;
• assurance of decisions by line managers; and • quality assurance programmes.
HMRC's Tax Assurance Commissioner
is responsible for:
• seeing that tax disputes are resolved efficiently
and on a basis that determines the correct tax in accordance with the LSS and achieves outcomes that are even-handed across different customer groups;
• ensuring that we have appropriate governance
arrangements in place to meet those objectives;
• ensuring that those arrangements are observed in
practice in individual cases; and
• monitoring and evaluating the effectiveness of
our processes for resolving tax disputes and our governance arrangements, and implementing improvements.
The Tax Assurance Commissioner has no role in the tax affairs of specific taxpayers and no line management responsibility for caseworkers, maintaining clear separation of responsibilities.
## Section 2: Governance Of Decisions On Resolving Tax Disputes
Our governance framework operates
on these principles:
• our tax professionals have the technical and
collaborative working skills to make decisions in
routine cases, supported by their line managers;
• each HMRC line of business has processes
for referring larger, more complex cases and sensitive cases to decision-making bodies, made up of senior tax and other professionals from
across HMRC;
• our approach to resolving a major disputed
point arising in several cases is decided by
cross-HMRC boards, to ensure consistency;
• our governance processes should have no
adverse impact on customer experience; and
• our review programme for settled cases checks
that processes are being adhered to in practice.
Nature of case
Decision maker
Oversight
Assurance
Consistency
Line management.
Line of business quality assurance.
Routine case raising no new or complex
issues worked within established guidance.
Caseworker, applying established guidance
to facts of specific case.
Line management. If consensus cannot be reached, case referred up line-management chain, first to deputy directors then, if need be, to directors.
More complex cases.
Caseworker and relevant technical specialists by consensus. Legal advice sought where appropriate.
All sensitive cases (see Note) or where the tax at stake is at least £100 million.
Three tax-expert Commissioners, including Tax Assurance Commissioner, having considered recommendations from TDRB.
No proposal to resolve a dispute by agreement can be accepted if the Tax Assurance Commissioner does not agree. If there is no agreement on an appropriate basis on which to resolve a dispute, the case is referred for further work including legal action, if necessary.
As above.
As above.
Sample of cases where tax at stake is at least £10 million but less than £100 million.
Commissioners, having considered recommendations from TDRB.
Note. Sensitive cases are those where a decision to resolve a dispute might have a significant and far-reaching impact on HMRC policy, strategy or operations. In consequence they may also be likely to prompt significant national publicity.
The flow chart in Annex B illustrates the different elements of our governance model and more detail is set out below and in Section 3. The table below outlines the decision-making process for resolving tax disputes according to the characteristics of the case. Cases for which HMRC Commissioners are the decision makers are first considered by the Tax Disputes Resolution Board (TDRB). The TDRB is the successor to the High Risk Corporates Programme Board but has a broader remit to consider cases arising across HMRC. The Board is made up of Directors from business areas across HMRC, including from the legal profession, and makes recommendations to the Commissioners as to the appropriate basis for resolving one or more disputed points in a case. More details about the TDRB can be found in Annex C. Details about the Line of Business Case Boards can be found in Annex D, Part 1.
across cases
More than one person involved in decision. Involvement of all relevant business areas provides internal challenge. Tax Assurance Commissioner is decision maker.
Where a disputed point arises in multiple cases, individual cases are decided taking account of our agreed approach to that point (see Section 3).
Aggregate information from these cases published in annual report.
# Section 3: How We Decide Our Position On Disputed Points Affecting More Than One Customer
Deciding our approach on a disputed point that arises in multiple cases - and applying it consistently - is an important part of the even-handed and fair administration of the tax system. Individual cases are worked in line with the agreed approach, but decisions relating to those cases are still made according to the arrangements set out in Section 2.
| Nature of point in dispute | Decision maker |
|--------------------------|-----------------------|
| Business Tax Contentious | |
| Issues Panel (BT CIP) | |
| Major contentious issues | |
| arising in business tax | |
| regimes. | |
| Personal Tax Contentious | |
| Issues Panel (PT CIP). | |
| Major contentious issues | |
| arising in personal tax | |
| regimes. | |
| Avoidance. | Anti-Avoidance Board. |
| • Approves and monitors strategies | |
Specific arrangements apply in the specialist area of transfer pricing, set out below:
| Transfer pricing. |
|--------------------------|
| Transfer Pricing Panels. |
| • Make decisions on transfer pricing enquiries in individual cases |
The key bodies that decide our position, depending on the nature of the point, are set out below. Further info on the Issues Boards can be found in Annex D, Part 2.
• Decides strategy for managing
major contentious issues
If consensus cannot be reached, point referred to Commissioners.
• Agrees approach for resolving
such issues.
• Decides strategy for managing
major contentious issues
If consensus cannot be reached, point referred to Commissioners.
• Agrees approach for resolving
such issues.
to handle tax avoidance issues
• Makes strategic decisions about
HMRC's anti-avoidance work.
Recommends handling strategies for major contentious tax avoidance
issues to PT and BT CIPs, depending on regime
in question.
• Approves approach to resolving disputes • Considers cases where legal action may be necessary • Makes recommendations to TDRB in cases where criteria set out
in Section 2 are met
• Makes decisions on high profile or contentious transfer pricing
enquiries and those with £25m-£100m at stake. (including whether to open an enquiry).
## Section 4: Reviewing Processes Used In Settled Cases
We have introduced an internal programme to review settled cases. This is overseen by the Tax Assurance Commissioner, and its findings are reported to our Audit and Risk Committee, which may recommend follow-up actions.
The review of processes used will consider, for example, whether:
• there is a clear risk assessment; • there is appropriate documented evidence to
support the decisions;
• appropriate authorisation took place when it
The objective of the programme is to learn lessons for the future and improve our processes, not to reopen cases or review decisions. It considers whether the right processes were followed in working cases in which a dispute arose, including, for the future, whether the governance arrangements outlined in Sections 2 and 3 were adhered to.
should;
• where HMRC has agreed a strategy for handling
The programme is carried out by our Internal Audit function and has two key elements, to:
• make sure business areas are quality-assuring work
as they should; and
a disputed point (for example, the approach to an avoidance scheme), the strategy has been adhered to or any deviation from it has been accounted for;
• review samples of cases of different sizes from
• business areas with an interest in the cases have
different business areas.
been consulted at the right time; and
• there is a consistency of approach across different
business areas.
Aggregate findings from the review programme are published as part of our annual report on our tax disputes work.
## Annex A: About Hmrc
HMRC was established by the Commissioners for Revenue and Customs Act 2005 (CRCA). We are a non-Ministerial Department, which means that Ministers cannot direct day-to-day or operational decisions.
Our status ensures that the administration of taxes is, and is seen to be, impartial and independent from political influence. In this way, Ministers and Parliament are protected from charges of improper intervention in the operation of the tax system. HMRC nevertheless remains accountable to Parliament through the Treasury Ministers who have Ministerial accountability for HMRC and through its Chief Executive who is the Principal Accounting Officer.
HMRC is led by the Commissioners for Revenue and Customs, who derive their powers and functions from the CRCA. Led by the Chief Executive, the Commissioners are responsible for the collection and management of revenue, which includes direct and indirect taxes, duties and national insurance contributions. The Commissioners also have ultimate responsibility for every decision made in HMRC, although Officers make day-to-day decisions on their behalf. Officers make their decisions within an overall governance framework established when the Department was formed.
## Annex B: Governance Model Flow Chart Governance Flow Chart
Where a dispute arises in more than one case, for a major contentious issue, the strategy for managing the issue and the approach for resolving it should be agreed by the appropriate bodies indicated below. Not all issues will be referred to a CIP (please see remits at Annex D for details).
Anti-Avoidance
board
BT or PT CIP
Transfer
Pricing Board
Where relevant, decisions on disputes in cases are subject to the governance processes set out in Section 2, taking into account the strategy for managing the issue and the approach for resolving it agreed by the bodies indicated above. For the largest and most sensitive cases the process is:
| Case team |
|-------------------------|
| 3 Commissioners, |
| including Tax Assurance |
| Commissioner |
Please note changes to the flow chart to indicate that escalation from AAB and TPB is to the CIPs.
Annex D provides information on Line of Business Case Boards dealing with cases below the TDRB.
## Annex C: Tax Disputes Resolution Board - Terms Of Reference Page
11
Part 1 Remit and procedures
14
Part 2 Definitions
15
Part 3 Composition of the TDRB
## Part 1 - Remit And Procedures Introduction
The Tax Disputes Resolution Board (TDRB) has been authorised by the Commissioners for Revenue and Customs to fulfil the following roles: • making decisions and recommendations about
proposals for resolving significant tax disputes;
• the selection and oversight of cases within the High
Risk Corporates Programme (HRCP), and
• serves as the escalation point for cases referred
from Case Boards within Lines of Business (see paragraph 7)
The TDRB also fulfils an important internal advisory function. The remit of the TDRB extends to significant tax disputes to be resolved by civil procedures, in any business area.
## Operational Principles Of The Tdrb
The following principles should underpin the operation of the TDRB: • HMRC should have strong governance processes, proportionate to risk, which provide assurance to the Department's stakeholders, staff and customers that decision-making in significant tax disputes is robust and even handed, in accordance with the Litigation and Settlement Strategy (LSS);
• HMRC's tax professionals should be able
to understand and consistently apply those governance processes;
• HMRC's tax professionals are empowered to play
the fullest part possible in the progression and resolution of significant tax disputes and feel their work is supported by the TDRB and other HMRC governance boards; and
• HMRC's governance processes should be
proportionate, effective and efficient and should
not adversely impact compliance delivery and customer experience.
## The Remit Of The Tdrb
Trigger points for referral to Commissioners
via the TDRB
1. **'£100 million cases'**: The TDRB shall make
recommendations to the Commissioners about the resolution of any dispute in a case where the tax under consideration in the case (considered as a whole) is at least £100 million, unless the matter can be resolved without reference to the TDRB under the terms of paragraphs 12-14.
2. **'£10-£100 million cases'**: The TDRB shall make
recommendations to the Commissioners about the resolution of any dispute in a sample of cases where the tax under consideration in the case (considered as a whole) is at least £10 million but less than £100 million.
3. **'£500 million adjustments'**: The TDRB shall
make recommendations to the Commissioners about the resolution of any dispute on an individual risk, where the maximum potential adjustment is at least £500m, notwithstanding that the individual risk would not otherwise
be within its remit by virtue of paragraphs 1-2
or 4-6.
4. **'Sensitive cases'**: The TDRB shall make
recommendations to the Commissioners about the resolution of any dispute in a case which is sensitive.
5. **'Sensitive risks'**: If an individual risk in a case is
sensitive the TDRB shall make recommendations to the Commissioners for the resolution of any such dispute.
6. **'Cases involving unusual or novel features'**:
Subject to paragraphs 1-5, the TDRB may make decisions about the resolution of any dispute in
a case which is referred to it on the grounds that the case involves unusual or novel features. The TDRB may choose to make recommendations to the Commissioners for the resolution of any such dispute.
7.
'Referrals from Line of Business Case Boards':
the TDRB may make decisions about the resolution of any dispute in a case that has been referred to it by a Line of Business Case Board (Enforcement & Compliance Dispute Resolution Board, Large Case Management Board, Specialist Personal Tax Senior Management Board and Transfer Pricing Board) unless it is a sample case - paragraph 2. The TDRB may choose to make recommendations to the Commissioners for the resolution of any such dispute.
8. **'Director referrals'**: where the Director with
operational accountability for a case considers that the nature of the dispute renders it necessary or prudent for referral to be made to the TDRB, the TDRB may make decisions about the resolution of the dispute if the case does not
fall within paras 1-8 of the TDRB remit. (The TDRB may choose to make recommendations to the Commissioners for the resolution of any such dispute).
## Tdrb Advisory Function
9. The TDRB may provide guidance and advice in
relation to any case or individual risk where it appears necessary or prudent to the TDRB to do so, whether or not the case or individual risk would otherwise fall within the remit of the TDRB.
10. The TDRB secretariat should be consulted in
all instances of doubt or difficulty as to whether and/or when a referral to the TDRB should be made. This would include large cases on the borderline of the monetary thresholds referred to in paragraphs 1 and 3.
## Hrcp
11. The TDRB shall determine which cases are
suitable for inclusion in the HRCP.
12. The TDRB shall monitor the progress of projectmanaged cases within the HRCP and, to the extent not already covered by paragraphs 1-6, shall make decisions about the resolution of any dispute in those cases, unless the matter can be resolved without reference to the TDRB under the terms of paragraphs 13 or 14.
## Decisions To Resolve Disputes Or Risks To Be Unanimous
13. Any decision of the TDRB in relation to the
resolution of a dispute in a case or individual risk shall be made unanimously by all present at the relevant meeting of the TDRB. Where the TDRB cannot reach a unanimous decision, the TDRB shall refer the case or individual risk to the Commissioners or, where appropriate, request that further work is undertaken by the case team.
Circumstances where referrals under para 1
do not need to be made to TDRB
14. If a customer proposes to agree the full amount
of the maximum potential adjustment on an individual risk and pay 100% of the tax together with any associated interest and/or penalty, the decision to accept the customer's proposal does not need to be made by the TDRB unless that proposal also forms part of a wider proposal to resolve the case and the case is within the remit of the TDRB. (This paragraph does not cover individual risks which are non binary or where there are a range of possible outcomes).
15. A decision about how to resolve an individual
risk in a case within the remit of the TDRB does not need to be made by the TDRB if all of the following apply: • the decision relates to an individual risk where
the tax under consideration is less than
£5 million and the amount of the maximum potential adjustment is less than £25 million;
• the proposal for the individual risk is not
related to discussions concerning the resolution of other individual risks in the case;
• there is full agreement between all the relevant
HMRC partners; and, where appropriate,
the Transfer Pricing Panel or Board has
been consulted, and has agreed the basis of resolution;
• the resolution of the particular individual
risk is in line with any strategy agreed by the relevant Contentious Issues Panel or Anti-Avoidance Board as the case may be;
• there are no unusual or novel features; • neither the case nor individual risk are
sensitive; and
• the individual risk is not in litigation and does
not impact on litigation in other cases.
16. Exceptionally, the Director with operational
accountability for the case may consider that the TDRB's principles are best delivered without reference to the Commissioners for a decision. In such a case the Director should keep a record (copied to the TDRB secretariat) of the circumstances and, as required, be ready to explain to the Commissioners' satisfaction why a referral was not necessary. This exception cannot, however, apply to any cases within the HRCP.
## Referrals
17. Referrals to the TDRB shall be made on behalf of
the Director with operational accountability for the case. In particular, a Director is responsible for identifying cases or individual risks for consideration by the TDRB on the grounds that the case or individual risk involves unusual or novel features or is sensitive.
18. Referrals by the TDRB to the Commissioners
shall generally be made at the point where there are firm proposals for the resolution of a dispute.
19. The TDRB may exceptionally refer a case or
individual risk to the Commissioners for their consideration prior to any firm resolution proposals being made.
## Part 2 - Definitions
Dispute has the same meaning as ascribed to it in the LSS. In summary:
'**Dispute**' is defined as including all areas of nonagreement between HMRC and a customer or their agent over a substantive tax liability, where that non agreement has been raised through:
• an enquiry from either side, including a dispute in
relation to pre transaction or pre-return clearances work;
• a challenge made by HMRC to a customer; or • a challenge made to HMRC by a customer where
HMRC has decided to take up or respond to the challenge.
This means that in relation to disputes subject to civil law procedures, the definition covers compliance activity from start to finish. A dispute would not normally cover risk assessment work including situations where customers are asked to provide information before an evaluation can be made of the extent of any risk to HMRC (typically, for example, where an analysis of items in the accounts are requested). Equally a dispute would not include clearance applications in circumstances where further explanation or clarification is required before a decision can be made.
Individual risk means a particular transaction (or series of transactions) or an item in a return or declaration which causes risk to past, or present or future revenue flows.
A **Case** is the sum total of all of the individual risks that are not finally concluded at any one time in relation to a particular business (which, for the avoidance of doubt, includes all of its group associates) or individual or other entity. It does not matter in which part of HMRC an individual risk is being dealt with as all individual risks are aggregated for the purpose of determining the value of a case. Where there is only one individual risk in relation to a particular customer that single individual risk will constitute the whole case.
Tax under consideration is the amount of tax or duty attributable to a dispute on an individual risk after taking into account the impact of losses or other reliefs. It is calculated without regard to the strength of the arguments or the prospects of success and
is the amount that would arise if the individual risk were conceded in full to HMRC. It should include any penalty which, in HMRC'S view,
is potentially payable. It should also include, where appropriate, the Future Revenue Benefit (FRB) that might arise if the individual risk were resolved in HMRC's favour. Again account must be taken of the impact of losses and other reliefs. Any FRB calculations must be sensible and realistic and any assumptions about levels of profitability and behavioural shift must be evidence-based. FRB projections should not extend longer than five years. Tax under consideration should be measured at the point of referral. However, where there has been a re evaluation or recent closure of an individual risk, the advice of the TDRB Secretariat should be sought if as a consequence of those changes a case falls outside the remit of the TDRB. Whilst interest is not normally included in the calculation of tax under consideration, it should be taken into account where it is a significant factor in the evaluation of the overall amount at risk to HMRC. Typically this would involve enquiries or claims to repayment extending back over earlier years
(for example, Fleming claims). Where interest is itself a significant element within any dispute it may be appropriate to refer to the TDRB. The advice of the TDRB secretariat should be sought in all such cases.
Maximum potential adjustment is the adjustment to expenditure, receipts, profits, losses, income or gains that would arise if the individual risk to which it relates were conceded in full to HMRC. It is calculated without reference to the strength of the arguments or the prospects of success and is the gross amount of the potential adjustment taking no account of losses or other reliefs.
Resolution of any dispute means any decision to resolve that dispute on a particular basis, and includes a decision to take steps that are likely lead to the commencement or cessation of litigation. Resolution proposal should be construed accordingly.
Sensitive cases or individual risks are those where a decision to resolve a dispute might have a significant and far-reaching impact on HMRC policy, strategy
or operations. In consequence, they may also be likely to prompt significant national publicity.
## Part 3 - Composition Of The Tdrb 1. Chair 3. Quorum
The Chair of the TDRB is the Director of the
Large Business Service.
## 2. Permanent Members Of The Tdrb
The permanent members of the TDRB are:
The TDRB shall not be authorised to make a decision unless there are a minimum of six permanent Board members present at a meeting. Further, no decision is to be taken on any case or individual risk where a permanent member (or their nominated deputy) who is a significant stakeholder in relation to that case or individual risk is absent.
Director Large Business Service
## 4. Conflict Of Interest
Director Corporation Tax, International, Stamps
and Anti-Avoidance (CTISA) Director Personal Tax, Customer, Product and Process Director Solicitor's Office, Business Tax Corporate Director Specialist Investigations Director Indirect Tax Before any case or individual risk is discussed, any person who is present at a TDRB meeting will declare any conflict of interest. In this context a conflict of interest is deemed to include any prior contribution to resolution discussions with the customer or the HMRC team as to the basis on which a case or individual risk might be resolved. Conflicts of interest are to be clearly noted.
Deputy Director Local Compliance, Large and Complex Deputy Head Anti-Avoidance Group Head CTISA Technical Team Deputy Director Specialist Personal Tax Team Head, Solicitor's Office TDRB Secretariat Lead Director, Tax Professionalism and Assurance
## Annex D: Remits Of Other Boards Page
17
Part 1 Remits of other Case Boards
18 Part 2 Remits of Issue Governance Boards
## Part 1: Remits Of Other Case Boards Enforcement & Compliance Dispute Resolution Board
The Board is made up of Deputy Directors from across E&C, plus representatives from Tax Professionalism and Assurance, Anti-Avoidance Group and Solicitor's Office. The Board makes decisions and recommendations about proposals for resolving tax disputes in E&C cases where the total tax under consideration is between £10m and £100m. The Board is responsible for ensuring a sample of cases with tax under consideration between £10m and £100m go to the TDRB and Commissioners for decision. The Board has responsibility for selection and oversight of cases within the Managing Complex Risk Programme (MCRP).
## Specialist Personal Tax
The Specialist Personal Tax Senior Management Board plus a Tax Professionalism and Assurance representative make decisions on high value and significant risks in all SPT cases where the total tax under consideration is between £10m and £100m, and all sensitive cases under £10m. The Board is responsible for ensuring a sample of cases with tax under consideration between £10m and £100m go
to the TDRB and Commissioners for decision.
## Large Business Service Large Case Management Board
The Board, made up of Deputy Directors from Large Business Service, CTISA, Solicitor's Office and Tax Professionalism and Assurance, makes decisions and provides advice on proposals regarding the resolution of disputed individual risks, not within the scope
of the TDRB, where the tax under consideration is over £25m or where the maximum potential adjustment is at least £100m and on other significant risks as appropriate.
## Transfer Pricing Governance
Transfer pricing issues are decided within the transfer pricing governance structure. The Transfer Pricing Panels will decide on cases where the tax under consideration in a transfer pricing dispute is between £5 and £25m. The Transfer Pricing Board will decide cases between £25m and £100m, and will also make recommendations on cases within the remit of TDRB. NB - where the case also involves risks that are separate from the transfer pricing issue, then, depending on the total amount of tax under consideration, the case may also go to the relevant Line of Business Case Board.
All of the Case Boards can commission further work
from case teams or, if the Case Board cannot reach a
decision or otherwise consider it appropriate, refer
a case to the TDRB and Commissioners.
## Part 2: Remits Of Issue Governance Boards Business And Personal Tax Contentious Issues Panels (Bt & Pt Cips)
Contentious Issues Panels decide the departmental strategy for handling major contentious issues.
This ensures that cases are handled in a co-ordinated and consistent manner across HMRC. Where a CIP cannot reach a unanimous decision it may commission further work by the issue owner(s), or refer the issue to the Commissioners.
A major contentious issue is one that involves a point
of law or practice which might have a significant
and far-reaching impact on HMRC policy, strategy
or operations, affect multiple cases and/or different
business areas, or result in major litigation.
## Anti-Avoidance Board
The Board is made up of representatives from all Directorates involved in tackling tax avoidance. It approves and monitors strategies to handle tax avoidance issues, and makes strategic decisions
about HMRC's anti-avoidance work. | en |
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Glossary of public sector information and re-use terms Version control: V1 - July 2015 The National Archives © Crown copyright 2015 You may use and re-use this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence v3.0 Email any enquiries about re-use of this information to: [email protected]
Glossary of public sector information and re-use terms
Visit the Glossary of Public Sector Information and Open Data Terminology and the UK Licensing Framework overview for additional definitions. Access legislation - a suite of legislation that enables public access to information produced or collected by public sector bodies, including the Freedom of Information Act and Environmental Information Regulations
Accessible - the ability to obtain public sector information, whether by request or by harvesting information already provided Amending Directive - means the EU Directive on the Re-use of Public Sector Information 2013 Copyright - the right of a creator to protect material such as literary works, artistic works, software and databases, and which stops others from using such material without permission Cost - the cost of collection, production, reproduction and dissemination of public sector information Crown copyright - copyright in information created for the Crown by servants of the Crown (e.g., civil servants and ministers of the Crown) in the course of their duties. It includes legislation, government codes of practice, government reports, official press releases, government forms and many public records as well as specialist information Cultural sector - public sector bodies that are libraries (including university libraries), museums (including galleries) and archives Data - a subset of information: raw, unorganised facts that need to be processed. Data is processed, organised, structured or presented in a given context to make it useful Directive - means the EU Directive on the Re-use of Public Sector Information 2003 Document - any information produced by a public sector body whatever its format: written on paper or stored in electronic format or as an audio, visual or audio visual recording; includes artefacts but excludes computer programs. Also see the definition of 'Information' Excluded - public task information held by public sector bodies may be that is excluded from the 2015 Regulations for a number of reasons: (a) it has third-party copyright, (b) access to the information is excluded or restricted under information access legislation (c) the information is held by a public sector broadcaster, an educational or research establishment or a cultural establishment (other than a library, museum or archive), or (d) a person is obliged to prove an interest in the information in order to gain access to it. Parts of documents containing only logos, crests or insignia are also excluded First-Tier tribunal - the General Regulatory Chamber of the First-Tier Tribunal, information rights jurisdiction Formal open standard - a standard which details specifications for the requirements on how to ensure software interoperability. A technical open standard is a standard that is publicly available and has various rights to use associated with it, and may also have various properties of how it was designed (e.g., open process). There is no single definition and interpretations vary with usage Gallery - for the purposes of the 2015 Regulations, a gallery is considered a type of museum Information –information includes documents, web and other online content, digital and paper records, objects and data produced, collected, held or disseminated within a public sector body's public task. Also see the definition of 'Document' Information asset - information that is defined and managed as a single unit so it can be understood, shared, protected and exploited effectively. Examples include a database of contacts, files related to a project (documents, spreadsheets, images), financial data, information about what a public sector body does Information asset list - a list of a public sector body's information assets, usually categorised by a standard classification method Intellectual property rights - a set of property rights which protects uniquely created materials, and includes copyright and database rights, trade marks, patents, and designs Interoperable - in licensing, this means compatible. In software, this means making systems and organisations work together (inter-operate) Machine-readable format - a file format structured so that software applications can easily identify, recognise and extract specific data, including individual statements of fact, and their internal structure. Information is in a standard computer language (not English text) that can be read automatically by a web browser or computer system (e.g., XML or CSV) Machine-readable licence - a licence that is readable by machine, for example in data file formats intended principally for machines such as RDF, XML, or JSON. The Open Government Licence is an example Marginal cost - limited to the cost of collection, production, reproduction, provision and dissemination of information (which for digital or online information may be nil) for most public sector bodies. The EC has produced Guidelines on recommended standard licences, datasets and charging for the reuse of documents Metadata - information that describes or defines other information. Metadata includes file descriptions, codebooks, processing details, sample designs, etc Open data - data which can be freely used, re-used and redistributed by anyone. It usually requires only attribution and/or a sharealike (re-users mixing open data with other data must release the results as open data). Public sector information and its metadata should available in open format whenever possible Open format - a file format that is platform-independent and made available to the public without restrictions that could hinder the re-use of information Open licence - an open licence is non-restrictive and does not require registration. The Open Government Licence is an example. The EC has produced Guidelines on recommended standard licences, datasets and charging for the reuse of documents Personal data - information about living individuals, including factual information (such as name, date of birth, address and occupation) and opinions (in any format) which might lead to the identification of the individual. In relation to public sector information, databases and archival records are likely to contain personal information. Re-use of such information must comply with the Data Protection Act 1998 Public domain - intellectual property rights in which the copyright or patent has expired or is not applicable Public records - includes not only written records but records conveying information by any other means whatsoever (as defined in the Public Records Act (PRA)):
any information records already in the Public Record Office at the time of the 1958
Act
administrative and departmental records belonging to Her Majesty, in the UK or
elsewhere, in right of Her Majesty's Government, and in particular records of, or held in, any government department and records of offices, commissions or other bodies under HMG in the UK
records of courts and tribunals records of other bodies if their own legislation brings them within the PRA or they
have been brought within its scope in some other way, e.g., the British Council
Public sector body - Regulation 3 has a list of public sector bodies. They include central and local government, public corporations, and bodies governed by public law (and associations formed by such authorities).
central government: includes government departments and their executive agencies,
non-departmental public bodies, and any other non-market bodies controlled and mainly financed by them
local government: those types of public administration that only cover a specific
locality and any non-market bodies controlled and mainly financed by them
public corporations: market bodies controlled by either central or local government.
These can include government-owned companies and information traders
Public sector information - information collected, held, produced, reproduced or disseminated by a public sector body while accomplishing its public task. Also see the definitions of 'Information' and 'Document' Public task - what a public sector body does, or produces, holds, collects or provides to fulfil its core role and functions, whether those are statutory or established through custom and practice Publicly funded - means that a public sector body receives all or most (at least 50%) of its regular income from a local or central government authority or another public body Publish –to disseminate information produced, collected or held by a public sector body, by publishing the material itself or through a third party, in print or in digital format Re-use - using information for a purpose other than the initial public task purpose for which the public sector body produced, collected, held or disseminated the information. Re-use can be for either commercial or non-commercial purposes Standard licence - although not defined in the Amending Directive or the 2015 Regulations, a standard licence is the default licence for public sector bodies. It should be as open and non-restrictive as possible, and it must be available in digital format and processed electronically. The EC has produced Guidelines on recommended standard licences, datasets and charging for the reuse of documents University - any public sector body that provides post-secondary-school higher education leading to academic degrees University library - taken to mean a library attached to a higher education body. It refers not only the library itself, but can also refer to the parts of a university with library collections management functions, and to the information service that controls and disseminates information from within the higher education parent body | en |
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| SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|-----------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| 3RD BRAUNSTONE BROWNIES | Partnerships & Corp. Services | Youth Council | Grants - Other Small Grants | 04/05/2017 | 475.00 |
| ADAPTIONS | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 04/05/2017 | 3,396.45 |
| ADN CONSTRUCTION LTD. | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 24/05/2017 | 6,500.00 |
| ALLPAY LIMITED DIRECT DEBIT ACCOUNT | Finance, Efficiency & Assets | Banking Charges | Transaction Costs - All Pay | 04/05/2017 | 1,508.31 |
| ALZHEIMER'S SOCIETY | Health Improvement & Leisure | Corporate Health Improvement | Project/Initiatives Fees | 24/05/2017 | 2,327.00 |
| ANCHORPRINT GROUP LIMITED | Partnerships & Corp. Services | Section 5 | Publicity & Promotion | 17/05/2017 | 360.00 |
| ANCHORPRINT GROUP LIMITED | Partnerships & Corp. Services | Publicity, Promotion & Market. | Publicity & Promotion | 23/05/2017 | 430.55 |
| ANCHORPRINT GROUP LIMITED | Partnerships & Corp. Services | Publicity, Promotion & Market. | Publicity & Promotion | 23/05/2017 | 406.96 |
| ANCHORPRINT GROUP LIMITED | Partnerships & Corp. Services | Publicity, Promotion & Market. | Publicity & Promotion | 23/05/2017 | 291.04 |
| AQUILA TRAINING | Planning, Econ. Dev. & Housing | Planning Enforcement | Seminars & Short Training | 17/05/2017 | 693.00 |
| ASTOR BANNERMAN (MEDICAL) LTD. | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 17/05/2017 | 7,491.00 |
| BE FUELCARDS | Other | General Fund Balance Sheet | Fuel | 10/05/2017 | 242.42 |
| BOTTOMLINE TECHNOLOGIES | Finance, Efficiency & Assets | Central Stationery | Stationery | 11/05/2017 | 928.00 |
| BRITISH TELECOM PLC | Partnerships & Corp. Services | Ict Services | Telecoms - Calls | 22/05/2017 | 786.24 |
| BRITISH TELECOM PLC | Partnerships & Corp. Services | Ict Services | Telecoms - Calls | 22/05/2017 | 1,599.00 |
| BRITISH TELECOM PLC | Partnerships & Corp. Services | Ict Services | Telecoms - Calls | 22/05/2017 | 2,264.55 |
| BROCKINGTON COLLEGE | Health Improvement & Leisure | Leisure Development - Sports | Hire Of Rooms | 18/05/2017 | 422.75 |
| BROOK STREET UK LIMITED | Leader | Performance Management | Gross Pay | 19/05/2017 | 587.93 |
| BROOK STREET UK LIMITED | Leader | Performance Management | Gross Pay | 17/05/2017 | 737.41 |
| BROOK STREET UK LIMITED | Leader | Performance Management | Gross Pay | 11/05/2017 | 587.93 |
| BROOK STREET UK LIMITED | Leader | Performance Management | Gross Pay | 22/05/2017 | 737.41 |
| BUILDING & MAINTENANCE SERVICES LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Cyc: Air Con./Handling Service | 10/05/2017 | 516.40 |
| CAPITA BUSINESS SERVICES LIMITED | Finance, Efficiency & Assets | Banking Charges | Transaction Costs - Cards | 17/05/2017 | 2,272.14 |
| CAPITA BUSINESS SERVICES LIMITED | Partnerships & Corp. Services | Ict Services | Applications - Corporate | 02/05/2017 | 450.00 |
| CAPITA BUSINESS SERVICES LIMITED | Partnerships & Corp. Services | Customer Services | Software Maintenance | 22/05/2017 | 1,375.00 |
| CFH DOCMAIL LIMITED | Community Services | C.Tax Billing, Coll & Recovery | Postages | 17/05/2017 | 2,696.64 |
| CHEMPAC SOLUTION LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Protective Clothing/Uniforms | 10/05/2017 | 416.00 |
| CHEMPAC SOLUTION LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 17/05/2017 | 374.00 |
| COUNTESTHORPE PARISH COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 11/05/2017 | 12,560.93 |
| COUNTY DRAINS LEICESTER LTD | Finance, Efficiency & Assets | The Pavillion - Land And Build | Rea: Drainage | 22/05/2017 | 1,065.00 |
| CRAEMER UK LTD | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Bins - Domestic | 22/05/2017 | 1,600.00 |
| CRAEMER UK LTD | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Bins - Domestic | 22/05/2017 | 1,600.00 |
| CRAEMER UK LTD | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Bins - Domestic | 22/05/2017 | 2,500.00 |
| CYCLONE WORKS | Health Improvement & Leisure | Corporate Health Improvement | Hired Services | 17/05/2017 | 250.00 |
| D H PEPPER & SON | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Composting Fees | 24/05/2017 | 3,167.30 |
| DAISY COMMUNICATIONS LIMITED | Partnerships & Corp. Services | Ict Services | Telecoms - Calls | 10/05/2017 | 1,038.58 |
| DAVID KIRTON DESIGNS | Other | General Fund Balance Sheet | In Year Capital Additions | 10/05/2017 | 238.20 |
| DAVID KIRTON DESIGNS | Other | General Fund Balance Sheet | In Year Capital Additions | 17/05/2017 | 255.60 |
| DAVID KIRTON DESIGNS | Other | General Fund Balance Sheet | In Year Capital Additions | 17/05/2017 | 249.40 |
| DAVID KIRTON DESIGNS | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 24/05/2017 | 513.50 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|-----------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|------------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| DENNIS EAGLE LTD | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 25/05/2017 | 223.28 |
| DENNIS EAGLE LTD | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 25/05/2017 | 344.41 |
| DENNIS EAGLE LTD | Other | General Fund Balance Sheet | In Year Capital Additions | 18/05/2017 | 154,800.00 |
| DIGRAPH TRANSPORT SUPPLIES LIMITED | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 31/05/2017 | 250.00 |
| DISABILITY ADAPTATION SERVICES | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 17/05/2017 | 2,120.79 |
| EDEN SPRINGS (UK) LTD | Finance, Efficiency & Assets | Council Offices & Land | Temporary/Casual Staff | 01/06/2017 | 390.18 |
| EMH HOMES | Community Services | Homelessness | Homelessness | 11/05/2017 | 1,092.00 |
| EMH HOMES | Other | General Fund Balance Sheet | In Year Capital Additions | 17/05/2017 | 84,000.00 |
| EMH HOMES | Other | General Fund Balance Sheet | In Year Capital Additions | 17/05/2017 | 21,000.00 |
| EMH HOMES | Other | General Fund Balance Sheet | In Year Capital Additions | 17/05/2017 | 137,400.00 |
| ENDERBY PARISH COUNCIL | Finance, Efficiency & Assets | Open Spaces Management | Parish Councils | 22/05/2017 | 753.79 |
| ERNST & YOUNG LLP | Finance, Efficiency & Assets | External Audit Fees | Audit Fees | 10/05/2017 | 14,722.00 |
| ESPO | Finance, Efficiency & Assets | Whetstone Depot | Gas | 17/05/2017 | 445.32 |
| F G MOSS & SON | Other | General Fund Balance Sheet | In Year Capital Additions | 17/05/2017 | 9,335.00 |
| FAROL LIMITED | N'Hood & Env. Health Services | Grounds Maintenance Service | Mobile Equipment | 17/05/2017 | 560.00 |
| FAROL LIMITED | N'Hood & Env. Health Services | Grounds Maintenance Service | Mobile Equipment | 17/05/2017 | 450.00 |
| FAROL LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 10/05/2017 | 21,995.00 |
| FARTHINGS | Community Services | Housing Pvt Sec Renewal Grants | Grants - Other Small Grants | 17/05/2017 | 2,500.00 |
| FIRSTCALL T/A NESTOR PRIMCARE SERVICES LIMITE | Leader | Emergency Planning & Bus. Cont | Out Of Hours Service | 10/05/2017 | 226.78 |
| FIRSTCALL T/A NESTOR PRIMCARE SERVICES LIMITE | Leader | Emergency Planning & Bus. Cont | Out Of Hours Service | 10/05/2017 | 428.43 |
| FORD & SLATER | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 04/05/2017 | 1,296.32 |
| FREIGHT TRANSPORT ASSOCIATION | N'Hood & Env. Health Services | Fleet Management | Services And Inspections | 10/05/2017 | 2,376.60 |
| GEESINK NORBA | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Accidental Damage Repair Costs | 10/05/2017 | 430.60 |
| GEESINK NORBA | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 18/05/2017 | 452.88 |
| HAYMARKET PUBLISHING SERVICES LIMITED | Leader | Human Res. Train & Development | Staff Advertising | 11/05/2017 | 4,000.00 |
| HBINFO LIMITED | Community Services | Benefits Section | Books, Newspapers And Pubs | 10/05/2017 | 399.00 |
| HEALTH AND FITNESS EDUCATION LTD | Health Improvement & Leisure | Active Together (Oper Funding) | Seminars & Short Training | 17/05/2017 | 452.25 |
| HERITAGE HOTEL | Community Services | Homelessness | Hire Of Rooms | 22/05/2017 | 2,288.00 |
| HINCKLEY & BOSWORTH COUNCIL | Partnerships & Corp. Services | Ict Services | Applications - Corporate | 02/05/2017 | 6,201.97 |
| HINCKLEY & BOSWORTH COUNCIL | Partnerships & Corp. Services | Ict Services | Telecoms - External | 02/05/2017 | 3,599.30 |
| INFERO TRAINING LTD | Leader | Performance Management | Seminars & Short Training | 25/05/2017 | 436.00 |
| INFORM CPI LIMITED | Community Services | Nndr Billing & Coll Costs | Professional Fees | 22/05/2017 | 495.00 |
| JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Cleansing Services | Temporary/Casual Staff | 17/05/2017 | 745.18 |
| JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Cleansing Services | Temporary/Casual Staff | 10/05/2017 | 750.22 |
| JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Cleansing Services | Temporary/Casual Staff | 22/05/2017 | 1,122.81 |
| JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Cleansing Services | Temporary/Casual Staff | 25/05/2017 | 1,117.77 |
| JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 17/05/2017 | 7,066.62 |
| JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 10/05/2017 | 3,937.37 |
| JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 22/05/2017 | 5,075.28 |
| JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 25/05/2017 | 5,090.39 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|--------------------------------------------------------------------------|--------------------------------|--------------------------------|----------------------------|--------------|-----------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Highway Cyclic Main Ptnership | Temporary/Casual Staff | 17/05/2017 | 440.40 |
| JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Highway Cyclic Main Ptnership | Temporary/Casual Staff | 22/05/2017 | 880.80 |
| JAM PERSONNEL MIDLANDS LIMITED | N'Hood & Env. Health Services | Highway Cyclic Main Ptnership | Temporary/Casual Staff | 25/05/2017 | 616.56 |
| JOANNE S JOHNSON | Health Improvement & Leisure | The Pavilion | Hired Services | 10/05/2017 | 225.00 |
| JOE TURNER EQUIPMENT LIMITED | N'Hood & Env. Health Services | Highway Cyclic Main Ptnership | Running Costs | 04/05/2017 | 550.00 |
| JOHN MERISON BUILDING & MAINTENANCE | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 04/05/2017 | 1,128.12 |
| JOHN MERISON BUILDING & MAINTENANCE | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 10/05/2017 | 4,447.52 |
| JOHN MERISON BUILDING & MAINTENANCE | Other | General Fund Balance Sheet | In Year Capital Additions | 17/05/2017 | 4,887.84 |
| JOHNSTON SWEEPERS LTD | N'Hood & Env. Health Services | Cleansing Services | Other Equipment | 17/05/2017 | 1,364.40 |
| KNIGHTON JANITORIAL | Finance, Efficiency & Assets | Whetstone Depot | Hygiene Equip & Supps | 10/05/2017 | 226.20 |
| LAIDIR LEISURE LIMITED T/A POWERHOUSE FITNESS | Health Improvement & Leisure | The Pavilion | Other Equipment | 10/05/2017 | 260.46 |
| LCC COUNTESTHORPE LEYSLAND COMMUNITY COLLEGEHealth Improvement & Leisure | Leisure Development - Sports | Hire Of Rooms | 04/05/2017 | 522.63 | 0.00 |
| LEAWOOD BUILDERS | Other | General Fund Balance Sheet | In Year Capital Additions | 10/05/2017 | 4,543.00 |
| LEAWOOD BUILDERS | Other | General Fund Balance Sheet | In Year Capital Additions | 19/05/2017 | 4,648.00 |
| LEAWOOD BUILDERS | Other | General Fund Balance Sheet | In Year Capital Additions | 19/05/2017 | 3,348.00 |
| LEAWOOD BUILDERS | Other | General Fund Balance Sheet | In Year Capital Additions | 17/05/2017 | 4,627.00 |
| LEAWOOD BUILDERS | Other | General Fund Balance Sheet | In Year Capital Additions | 17/05/2017 | 4,988.00 |
| ** NAME REDACTED ** | Community Services | Hospital Discharge Project | Project/Initiatives Fees | 22/05/2017 | 570.00 |
| LEICESTER AIRCON LTD. | Other | General Fund Balance Sheet | In Year Capital Additions | 04/05/2017 | 1,500.00 |
| LEICESTER CITY COUNCIL | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 04/05/2017 | 300.00 |
| LEICESTER DIGITAL PRINT | Partnerships & Corp. Services | Publicity, Promotion & Market. | Publicity & Promotion | 17/05/2017 | 215.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Community Services | Supporting Families | Other Partnership Support | 25/05/2017 | 26,667.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Community Services | Light Bulb Project | Hired Services | 17/05/2017 | 22,782.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Community Services | Light Bulb Project | Hired Services | 22/05/2017 | 2,455.50 |
| LEICESTERSHIRE COUNTY COUNCIL | Finance, Efficiency & Assets | Whetstone Depot | Rent Payments | 11/05/2017 | 31,801.02 |
| LEICESTERSHIRE COUNTY COUNCIL | Leader | Emergency Planning & Bus. Cont | Resilience Partnership | 25/05/2017 | 3,569.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Leader | Emergency Planning & Bus. Cont | Resilience Partnership | 25/05/2017 | 22,763.00 |
| LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 17/05/2017 | 819.77 |
| LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 17/05/2017 | 669.95 |
| LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 17/05/2017 | 991.01 |
| LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 17/05/2017 | 565.07 |
| LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 17/05/2017 | 717.03 |
| LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 17/05/2017 | 582.19 |
| LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 17/05/2017 | 995.29 |
| LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 17/05/2017 | 614.29 |
| LEICESTERSHIRE COUNTY COUNCIL | Partnerships & Corp. Services | Local Land Charges | Lcc Fees | 04/05/2017 | 665.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Partnerships & Corp. Services | Local Land Charges | Lcc Fees | 04/05/2017 | 1,337.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Partnerships & Corp. Services | Local Land Charges | Lcc Fees | 04/05/2017 | 2,009.00 |
| LEICESTERSHIRE COUNTY COUNCIL | N'Hood & Env. Health Services | Grounds Maintenance Service | Tree Maintenance | 11/05/2017 | 890.10 |
| LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 10/05/2017 | 1,188.27 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|------------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 10/05/2017 | 3,425.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 10/05/2017 | 2,275.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 10/05/2017 | 2,064.67 |
| LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | Nwldc - Dfg Agency Account | 17/05/2017 | 1,775.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 17/05/2017 | 2,000.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 17/05/2017 | 5,025.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | Creditors -County-Superann Ees | 04/05/2017 | 12,750.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | Creditors -County-Superann Ees | 04/05/2017 | 158,719.34 |
| LGSS LAW | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 19/05/2017 | 456.00 |
| LGSS LAW | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 19/05/2017 | 826.50 |
| LGSS LAW | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 19/05/2017 | 636.50 |
| LGSS LAW | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 04/05/2017 | 435.20 |
| LGSS LAW | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 19/05/2017 | 275.50 |
| LGSS LAW | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 04/05/2017 | 769.70 |
| LGSS LAW | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 17/05/2017 | 6,231.50 |
| LIVE&LOCAL LTD | Health Improvement & Leisure | Leisure Dev. - Arts & Heritage | Project/Initiatives Fees | 10/05/2017 | 1,500.00 |
| LOCAL GOVERNMENT ASSOCIATION | Leader | Corporate Management | Conference Expenses | 17/05/2017 | 545.00 |
| LOCAL GOVERNMENT ASSOCIATION | Partnerships & Corp. Services | Members Expenses/Allowances | Conference Expenses | 17/05/2017 | 545.00 |
| LOCAL WORLD LIMITED | Leader | Recruitment Costs | Staff Advertising | 17/05/2017 | 683.75 |
| LOCAL WORLD LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Advertising - Notices | 10/05/2017 | 576.30 |
| LOCAL WORLD LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Advertising - Notices | 10/05/2017 | 288.15 |
| LOCAL WORLD LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Advertising - Notices | 17/05/2017 | 576.30 |
| LOCAL WORLD LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Advertising - Notices | 17/05/2017 | 384.20 |
| LOCAL WORLD LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Advertising - Notices | 24/05/2017 | 336.17 |
| LODGE TYRES CO LTD | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Accidental Damage Repair Costs | 25/05/2017 | 364.66 |
| LODGE TYRES CO LTD | N'Hood & Env. Health Services | Vehicle Maintenance | Tyres | 04/05/2017 | 1,243.48 |
| LODGE TYRES CO LTD | N'Hood & Env. Health Services | Vehicle Maintenance | Tyres | 10/05/2017 | 2,369.93 |
| M & M CLEANING SERVICES LTD | Finance, Efficiency & Assets | Council Offices & Land | Cyc: Window Cleaning | 25/05/2017 | 600.00 |
| MARTIN ABBOTT LIMITED | N'Hood & Env. Health Services | Highway Cyclic Main Ptnership | Running Costs | 04/05/2017 | 500.00 |
| MAX CLEANERS & MAINTENANCE LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Rea: Building | 17/05/2017 | 270.00 |
| MAX CLEANERS & MAINTENANCE LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Contract Cleaning | 17/05/2017 | 216.00 |
| MAX CLEANERS & MAINTENANCE LIMITED | Finance, Efficiency & Assets | Whetstone Depot | Cleaning | 17/05/2017 | 1,906.67 |
| MIDLAND CONSTRUCTION LEICESTER LTD | Community Services | Housing Pvt Sec Renewal Grants | Grants - Other Small Grants | 04/05/2017 | 1,128.47 |
| MJE CONTRACTS LTD | Finance, Efficiency & Assets | The Pavillion - Land And Build | Rea: Building | 23/05/2017 | 699.00 |
| MJE CONTRACTS LTD | Finance, Efficiency & Assets | Public Conveniences | Rea: Building | 10/05/2017 | 548.22 |
| MJE CONTRACTS LTD | Finance, Efficiency & Assets | Council Offices & Land | Pla: Building Works | 04/05/2017 | 261.42 |
| MJE CONTRACTS LTD | Finance, Efficiency & Assets | Council Offices & Land | Pla: Redecoration - Internal | 04/05/2017 | 1,656.00 |
| NEW AUTO LIMITED T/AS MOGO UK | N'Hood & Env. Health Services | Licencing - Hack Carr/Pvt Hire | Other Equipment | 25/05/2017 | 244.00 |
| NEW AUTO LIMITED T/AS MOGO UK | N'Hood & Env. Health Services | Licencing - Hack Carr/Pvt Hire | Other Equipment | 25/05/2017 | 244.00 |
| NORTHGATE PUBLIC SERVICES | Community Services | Benefits Section | Sundry It Purchases | 17/05/2017 | 3,133.85 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|----------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|----------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| OXFORD BROOKES UNIVERSITY | Planning, Econ. Dev. & Housing | Planning Delivery | Seminars & Short Training | 18/05/2017 | 255.00 |
| OYSTER PARTNERSHIP | Planning, Econ. Dev. & Housing | Planning Delivery | Temporary/Casual Staff | 04/05/2017 | 1,453.95 |
| OYSTER PARTNERSHIP | Planning, Econ. Dev. & Housing | Planning Delivery | Temporary/Casual Staff | 18/05/2017 | 1,440.00 |
| OYSTER PARTNERSHIP | Planning, Econ. Dev. & Housing | Planning Delivery | Temporary/Casual Staff | 25/05/2017 | 1,417.50 |
| PALMER & HARVEY MCLANE LIMITED | Health Improvement & Leisure | The Pavilion | Goods For Resale | 31/05/2017 | 293.29 |
| PCF PRINTING LIMITED | Community Services | Nndr Billing & Coll Costs | Software Maintenance | 17/05/2017 | 1,900.00 |
| POLYCOPY | Partnerships & Corp. Services | Reprographics | Print Mats (Int. Print Room) | 17/05/2017 | 767.98 |
| PRATT & CHESTERTON ELECTRICAL | N'Hood & Env. Health Services | Car Parks | R & M - Grounds | 10/05/2017 | 690.00 |
| PROGRESS PRINT LIMITED | Finance, Efficiency & Assets | Financial Services | Stationery | 10/05/2017 | 560.70 |
| PTTP PLANNING SERVICES | Planning, Econ. Dev. & Housing | Development Strategy | Consultant'S Fees | 04/05/2017 | 2,475.00 |
| PTTP PLANNING SERVICES | Planning, Econ. Dev. & Housing | Development Strategy | Consultant'S Fees | 01/06/2017 | 2,700.00 |
| R E BRADSHAW | Other | General Fund Balance Sheet | In Year Capital Additions | 10/05/2017 | 5,007.00 |
| R E BRADSHAW | Other | General Fund Balance Sheet | In Year Capital Additions | 10/05/2017 | 3,550.00 |
| REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | The Pavillion - Land And Build | Security Services | 19/05/2017 | 619.70 |
| REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | The Pavillion - Land And Build | Security Services | 11/05/2017 | 214.00 |
| REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Security Services | 11/05/2017 | 619.70 |
| REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Littlethorpe Depot | Security Services | 11/05/2017 | 499.17 |
| REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Whetstone Depot | Security Services | 11/05/2017 | 374.50 |
| REGENT OFFICE CARE LIMITED | N'Hood & Env. Health Services | Grounds Maintenance Service | Security Services | 25/05/2017 | 1,011.15 |
| REGENT OFFICE CARE LIMITED | N'Hood & Env. Health Services | Grounds Maintenance Service | Security Services | 22/05/2017 | 1,011.15 |
| REGENT OFFICE CARE LIMITED | N'Hood & Env. Health Services | Grounds Maintenance Service | Security Services | 22/05/2017 | 1,011.15 |
| RESOLUTION DATA MANAGEMENT LTD | Partnerships & Corp. Services | Ict Services | Applications - Business | 17/05/2017 | 349.00 |
| RICARDO-AEA LTD | N'Hood & Env. Health Services | Environmental Health | Seminars & Short Training | 10/05/2017 | 250.00 |
| ROYAL SOCIETY FOR PUBLIC HEALTH | Health Improvement & Leisure | Leisure Development - Sports | Seminars & Short Training | 17/05/2017 | 250.00 |
| RYAN LEISURE ACTIVITIES LIMITED | Finance, Efficiency & Assets | The Pavillion - Land And Build | Pla: Building Works | 10/05/2017 | 8,590.00 |
| S G CLEANERS LTD | Community Services | Hospital Discharge Project | Hired Services | 17/05/2017 | 1,890.00 |
| S G CLEANERS LTD | Community Services | Hospital Discharge Project | Hired Services | 24/05/2017 | 1,850.00 |
| SANHAM AGRICULTURAL PLANNING LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Consultant'S Fees | 17/05/2017 | 260.00 |
| SCARAB SWEEPERS LIMITED | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 25/05/2017 | 209.78 |
| SCOTT HUGHES DESIGN | Planning, Econ. Dev. & Housing | Local Development Framework | Consultant'S Fees | 10/05/2017 | 2,050.00 |
| SHAKESPEARE MARTINEAU | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 04/05/2017 | 304.00 |
| SIEMENS PLC UK | Finance, Efficiency & Assets | Council Offices & Land | Electricity | 22/05/2017 | 332.52 |
| SITEMORSE LIMITED | Partnerships & Corp. Services | Communications | Software Maintenance | 17/05/2017 | 2,460.00 |
| SKY BUSINESS | Health Improvement & Leisure | The Pavilion | Licences | 17/05/2017 | 468.00 |
| SODEXO MOTIVATION - DIRECT DEBIT ONLY | Other | General Fund Balance Sheet | Deductions - Childcare Voucher | 19/05/2017 | 3,214.83 |
| SOLOPROTECT LIMITED | Other | General Fund Balance Sheet | Control A/C - Solo Protect | 02/05/2017 | 572.00 |
| SPALDINGS UK LIMITED | N'Hood & Env. Health Services | Grounds Maintenance Service | Accidental Damage Repair Costs | 25/05/2017 | 330.00 |
| SSI SCHAEFER LTD | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Bins - Domestic | 17/05/2017 | 4,450.00 |
| SSI SCHAEFER LTD | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Bins - Domestic | 17/05/2017 | 4,450.00 |
| TEP | Planning, Econ. Dev. & Housing | Local Development Framework | Consultant'S Fees | 17/05/2017 | 4,078.00 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|-------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|------------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| TERBERG MATEC UK | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 10/05/2017 | 1,188.82 |
| THE INSTITUTE OF LICENSING EVENTS LIMITED | N'Hood & Env. Health Services | Environmental Health | Seminars & Short Training | 10/05/2017 | 605.00 |
| TOTAL HYGIENE LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 17/05/2017 | 3,267.00 |
| TREVOR ROBERTS ASSOCIATES LIMITED | Planning, Econ. Dev. & Housing | Planning Delivery | Seminars & Short Training | 17/05/2017 | 504.00 |
| UNISON | Other | General Fund Balance Sheet | Deductions - Unison | 04/05/2017 | 328.95 |
| UNIVERSITY COLLEGE OF LONDON | Health Improvement & Leisure | Leisure Development - Sports | Hired Services | 01/06/2017 | 2,050.00 |
| VALUATION OFFICE AGENCY | Finance, Efficiency & Assets | Assets Management | Valuation Fees | 23/05/2017 | 296.00 |
| VINSHIRE PLUMBING & HEATING LTD | Community Services | Light Bulb Project | Revenue Contrib. To Capital | 02/05/2017 | 2,264.64 |
| VINSHIRE PLUMBING & HEATING LTD | Community Services | Light Bulb Project | Revenue Contrib. To Capital | 10/05/2017 | 1,231.46 |
| VINSHIRE PLUMBING & HEATING LTD | Community Services | Light Bulb Project | Revenue Contrib. To Capital | 10/05/2017 | 3,592.00 |
| VINSHIRE PLUMBING & HEATING LTD | Community Services | Light Bulb Project | Revenue Contrib. To Capital | 10/05/2017 | 1,666.64 |
| VINSHIRE PLUMBING & HEATING LTD | Community Services | Light Bulb Project | Revenue Contrib. To Capital | 10/05/2017 | 2,115.00 |
| VINSHIRE PLUMBING & HEATING LTD | Community Services | Light Bulb Project | Revenue Contrib. To Capital | 10/05/2017 | 2,261.00 |
| VINSHIRE PLUMBING & HEATING LTD | Community Services | Light Bulb Project | Revenue Contrib. To Capital | 10/05/2017 | 1,832.64 |
| VINSHIRE PLUMBING & HEATING LTD | Community Services | Light Bulb Project | Revenue Contrib. To Capital | 17/05/2017 | 2,232.46 |
| VINSHIRE PLUMBING & HEATING LTD | Community Services | Light Bulb Project | Revenue Contrib. To Capital | 17/05/2017 | 2,326.64 |
| W T CLARKE & SON | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Composting Fees | 11/05/2017 | 5,533.56 |
| W T CLARKE & SON | N'Hood & Env. Health Services | Refuse Coll & Domestic Recyc | Composting Fees | 11/05/2017 | 5,829.96 |
| WATER PLUS GROUP LIMITED | Finance, Efficiency & Assets | The Pavillion - Land And Build | Water Charges | 19/05/2017 | 3,199.15 |
| WATER PLUS GROUP LIMITED | N'Hood & Env. Health Services | Car Parks | Water Charges | 10/05/2017 | 301.81 |
| WEIGHTMANS LLP | Partnerships & Corp. Services | External Legal Fees | Legal Fees | 17/05/2017 | 1,449.90 |
| WENTWORTH BUSINESS SERVICES | Finance, Efficiency & Assets | Financial Services | Stationery | 17/05/2017 | 405.00 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 04/05/2017 | 919.71 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 04/05/2017 | 659.71 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 10/05/2017 | 733.48 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 11/05/2017 | 1,359.18 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 11/05/2017 | 255.38 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 11/05/2017 | 783.01 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 18/05/2017 | 856.02 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 24/05/2017 | 345.28 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 01/06/2017 | 1,550.15 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 01/06/2017 | 1,030.31 |
| ZOELLER SYSTEMS LIMITED | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 02/05/2017 | 1,107.00 |
| ZOELLER SYSTEMS LIMITED | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 10/05/2017 | 450.00 |
| ZOELLER SYSTEMS LIMITED | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 11/05/2017 | 450.00 |
| ZOELLER SYSTEMS LIMITED | N'Hood & Env. Health Services | Vehicle Maintenance | Normal Repairs | 22/05/2017 | 450.00 |
| ZURICH INSURANCE GROUP LIMITED | Other | General Fund Balance Sheet | Creditors - Insurance -Ind Est | 17/05/2017 | 16,285.21 |
| ZURICH INSURANCE GROUP LIMITED | Other | General Fund Balance Sheet | Recharging - Insurance Premium | 17/05/2017 | 920.82 |
| ZURICH INSURANCE GROUP LIMITED | Other | General Fund Balance Sheet | Recharging - Insurance Premium | 17/05/2017 | 227,052.82 |
| ZURICH INSURANCE GROUP LIMITED | Other | General Fund Balance Sheet | Recharging - Insurance Premium | 17/05/2017 | 5,887.66 |
| SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|--------------------------------|--------------------|----------------------------|--------------------------------|--------------|----------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| ZURICH INSURANCE GROUP LIMITED | Other | General Fund Balance Sheet | Recharging - Insurance Premium | 17/05/2017 | 5,186.56 |
| en |
3858-pdf |
NORTHAMPTON BOROUGH COUNCIL
PUBLIC ENGAGEMENT AND COMMUNICATIONS
TASK AND FINISH GROUP
16 March 2006
Present: Councillor C Malpas
Chair
Councillor A Simpson Thomas Hall
Corporate Manager
Lindsey Ambrose
Area Partnerships and Forums
Co-Ordinator
Margaret Martin
Consortium 1
Apologies
Apologies for absence were received from Councillors Eldred, Hill, Roy and
Glynane.
At this point, the Chair proposed that a Focus Group be held for members of
the public and Parish Council representatives. Questions around the purpose of this Group would be put to the Focus Group: -
To be able to demonstrate that the Council consults and involves more
residents and that the residents are satisfied with their levels of involvement.
All individuals and organisations on the Area Partnership and Forums
distribution lists would be invited to attend. Parish Councillors and clerks would also be sent an invite. A poster would be produced promoting the Focus Groups, inviting attendees. Questionnaires would be sent out with the invitation. The Focus Group would be held in the Great Hall on: -
Thursday 20th April 2006
6pm to 8pm and
Friday 21st April 2006
2pm to 4pm The Group held a discussion about the possibility of utilising the Citizens'
Panel instead of holding a Focus Group. The Citizens' Panel was relatively small but was fairly represented and could be used as a typical view of Northampton. A sample size was 800. BMG carried out the research using methods such as a telephone survey. A cost would be incurred if the Citizens' Panel was used.
Due to cost implications, the Group decided to hold the Focus Groups on 20th and 21st April rather than use the Citizens' Panel. At its next meeting, the format for the Focus Groups and the questionnaire would be finalised. Agreed:
(1) That the Focus Group be held on: -
Thursday 20th April 2006
6pm to 8pm and Friday 21st April 2006
2pm to 4pm
(2) That all individuals and organisations on the Area Partnership and Forums distribution lists be invited to attend. Parish Councillors and clerks to be sent an invite. Questionnaires to be sent out with the invitation. (3) That a poster be produced promoting the Focus Groups, inviting attendees. Questionnaires would be sent out with the invitation. 2
Declaration of Interest There were none. 3
Minutes The minutes of the meeting held on 2 March 2006 were agreed as a true record. 4
Review of Desktop Research Councillor Simpson confirmed that he had carried out desktop research on the City of Westminster Council. Although he perceived NBC's website to be very good, he felt that Westminster's navigation was better structured. NBC's website was still very departmentalised and consisted of jargon. Westminster published a questionnaire on its website `what do you think of the Council and its website.' It might be beneficial to ascertain how many hits the website got and how many questionnaires were completed. At the top of the homepage, different languages were detailed and the user could click on the link to be directed to the relevant language. Westminster had a one-city vision for the Council - branding Westminster as one city. Councillor Simpson supported the branding, commenting that it reinforced this Task and Finish Group's discussions on issues such as branding. L Ambrose circulated information regarding Croydon's Neighbourhood Partnerships. The Council had a target to achieve an additional 5% attendance at its Neighbourhood Partnerships over the year. 5
Consultation Protocol The consultation document - Consultation Guidance - A `How to' Guide was circulated.
## 6 Visit To Best Practice Local Authority A Visit Had Been Arranged To The London Borough Of Haringey (Neighbourhood Management Services) On Tuesday 21 March At 11.00Am. The Group Suggested Questions To Be Put To Haringey Council: -
-
How do you ensure that ALL services are engaging with
citizens/communities?
-
How do you evaluate success of engagement/consultation initiatives?
-
What gets done with the outputs of these exercises?
-
How are other agencies involved?
-
What resources do you put into these activities?
-
How do you feed information about the results back to those
involved/consulted?
-
What arrangements do you have for locality-based or sector-based
engagement (i.e. parallel to our partnerships and forums)?
-
What steps did you take to become a Beacon Council - did you have a plan?
-
How much consultation do you do and in what format?
-
What do you see as the key consultation method?
-
How do you measure citizen engagement?
-
Do you have a separate budget for consultation?
-
Do you have dedicated council staff for Community Involvement and does this cover consultation?
-
What role do councillors play in this and how are they supported?
-
How does the Communications Officer role work within the Council - is there a team of people undertaking this role?
-
How do you ensure your consultation is representative of your community?
-
How do you measure you are satisfied with the level of engagement?
-
What do you consider the risks are to receiving good, effective
engagement?
-
What is the biggest consultation you have run and held?
Councillors suggested that the timescale of this Group be extended to include the results of the Focus Groups. It was envisaged that a further two meetings would be required. At the next meeting of the Overview and Scrutiny Committee, Councillor Malpas would inform Councillors that the Group would endeavour to complete its findings, conclusions and recommendations by Annual Council with its final report to the first Overview and Scrutiny Committee of the new Municipal Year on 14 June 2006. Action:
(1)That two additional meetings be programmed into the Group's schedule of meetings.
(2)That Councillor Malpas informs the Overview and Scrutiny Committee at its next meeting that the Group had extended its timescale and would endeavour to complete its findings, conclusions and recommendations by Annual Council, with its final report to the first
7 Next Meetings
The next meeting would be held on 30th March (Gallery Room)
commencing at 6.15pm. The agenda would include:
- Feedback from the visit to the London Borough of Haringey
- Format and questionnaire for the Focus Group
27 April 2006 commencing at 6.15pm (Old Leader's Office). The agenda
would include:
- Feedback from the Focus Group - Consideration of the evidence for the Chair's report
4 May 2006 commencing at 6.15pm (Holding Room). The agenda would include: -
- Consideration of the Chair's draft report.
The meeting concluded at 7:20pm | en |
1341-pdf | #
EUROPEAN COMMISSION
HEALTH AND CONSUMERS DIRECTORATE-GENERAL
Directorate G - Veterinary and International Affairs
Unit G4 - Food, Alert system and training
SANCO/2179/2005 Revision 2018
# Technical Specifications In Relation To The Master List And The Lists Of Eu Approved Food Establishments And Certain Other Specified Food Establishments
Presented at the meeting of the Standing Committee on the Food Chain and Animal Health on 1 February 2018.
## Technical Specifications In Relation To The Master List Of Lists And The Lists Of Approved Food Establishments
In accordance with Regulation (EC) No 852/20041, establishments preparing foodstuffs must be registered in each Member State. Furthermore, a number of establishments, mainly handling products of animal origin for which hygiene conditions are laid down in Regulation (EC) No 853/20042, must be approved by the competent authority of each Member State. According to Regulation (EC) No 882/20043, Member States must make up-to-date lists of approved establishments available to other Member States and to the public. The Commission created a web page with the objective of providing an easy and central access to the different lists of approved food establishments in Member States and certain other countries. It also presented in 2005 to the Standing Committee on Food Safety and Animal Health technical specifications to harmonize and codify the presentation of such lists. The presentation of such lists took full account of data protection legislation. The objective of this working paper is to set down and update the above mentioned specifications. Annex I to this document sets down the food establishment sections, requiring approval, in the sequence of the sections in Annex III to Regulation (EC) No 853/2004. Secondly, other establishments requiring approval were added. Finally, certain establishments, not subject to approval according to EU requirements, but for which intra-EU trade may benefit from the publication of a list, were added for voluntary listing. Annex II lists the categories of establishments in each section. Annex III lists activities performed in the main food sectors. Annex IV provides a model layout for the listing of establishments. Annex V sets down codes and legends to be used when completing a list of establishments.
down specific rules for food of animal origin (OJ L 139, 30.4.2004, p. 55)
3 Regulation (EC) No 882/2004 of the European Parliament and of the Council of 29 April 2004 on official
controls performed to ensure the verification of compliance with feed and food law, animal health and animal welfare rules (OJ L 165, 30.4.2004, p. 1)
## Annex I Format Of The Master List1 'Eu Approved Food Establishments And Certain Other Specified Food Establishments
Establishments handling, preparing or producing products of animal origin for which requirements are laid down in Regulation (EC) No 853/2004, must be approved by the competent authority in accordance with Article 3 of Regulation (EC) No 854/20044. In addition, approval may be required for certain other establishments in accordance with Article 6(3)(c) of Regulation (EC) No 852/2004. This legal basis was used to impose approval of establishments producing sprouts in accordance with Regulation (EU) No
210/20135.
For ease of reference, the lists of approved food establishments are published in the order of Annex III to Regulation (EC) No 853/2004. A Section 0 has been added to cover establishments with general activity and which cannot be placed under one of the other specific Sections mentioned below.
## Part A: Food Of Animal Origin
SECTION 0
General activity establishment
SECTION I
Meat of domestic ungulates
SECTION II
Meat from poultry and lagomorphs
SECTION III
Meat of farmed game
SECTION IV
Wild game meat
SECTION V
Minced meat, meat preparations and mechanically separated meat
SECTION VI
Meat products
SECTION VII
Live bivalve molluscs
SECTION VIII
Fishery products
SECTION IX
Raw milk and dairy products
SECTION X
Eggs and egg products
SECTION XI
Frogs' legs and snails
SECTION XII
Rendered animal fats and greaves
SECTION XIII
Treated stomachs, bladders and intestines
SECTION XIV
Gelatine
SECTION XV
Collagen
SECTION XVI
Highly refined products
## Part B: Food Of Non-Animal Origin
SECTION I
Sprouts
## Part C: Non-Mandatory Listing
SECTION I
Honey
## Categories Of Food Establishments Part A Section 0: General Activity Establishments
Cold store (Independent, stand-alone)
Re-wrapping and re-packaging establishment (Independent, stand-alone) Wholesale market Reefer vessel
## Section I: Meat Of Domestic Ungulates
Slaughterhouse
Cutting plant
## Section Ii: Meat From Poultry And Lagomorphs
Slaughterhouse
Cutting plant
## Section Iii: Meat Of Farmed Game
Slaughterhouse Cutting plant
## Section Iv: Wild Game Meat
Collection centre (voluntarily) Game-handling establishment Cutting plant
## Section V: Minced Meat, Meat Preparations And Mechanically Separated Meat
Minced meat establishment Meat preparation establishment Mechanically separated meat establishment
## Section Vi: Meat Products
Processing plant
## Section Vii: Live Bivalve Molluscs
Dispatch centre Purification centre
## Section Viii: Fishery Products
Factory vessel Freezing vessel Fresh fishery products plant
Processing plant Wholesale market Auction hall
Mechanically separated fishery products plant
## Section Ix: Colostrum, Raw Milk, Colostrum-Based And Dairy Products
Collection centre
Processing plant
## Section X: Egg And Egg Products
Packing centre
Liquid egg plant Processing plant
## Section Xi: Frogs' Legs And Snails
Processing plant
## Section Xii: Rendered Animal Fats And Greaves
Collection centre Processing plant
## Section Xiii: Treated Stomach, Bladders And Intestines
Processing plants
## Section Xiv: Gelatine
Collection centres and tanneries authorized for supply of raw materials for the production of gelatin for human consumption (voluntarily)
Processing plant
## Section Xv: Collagen
Collection centres and tanneries authorized for supply of raw materials for the production of collagen for human consumption (voluntarily)
Processing plant
## Section Xvi: Highly Refined Products
Processing plants
## Part B Section I: Sprouts
Producing plants
## Part C. Non-Mandatory Listing Section I: Honey
Producing plants6
## Annex Iii Activities In The Main Food Sectors
| MAIN SECTORS | ACTIVITY CODES |
|------------------------------------------|--------------------------|
| MEAT | |
| CC, CP, CS, GHE, MM, MP, MSM, PP, RW, SH | |
| MILK | CC, CS, PP, RW |
| EGGS | CC, CS, EPC, LEP, PP, RW |
| FISHERY PRODUCTS/LBM | |
| AH, CS, DC, FFPP, FV, PC, MSFP, PP, RW, | |
| WM, ZV, RV | |
## Annex Iv Layout For Individual Lists Of Approved Establishments 'Section Xxx
Title
Approval
Name
Town/Region
Category8
Associated
Species9
Remarks10
TSE feed ban
number7
registration
activities9
authorizations11
7 Registration number for relevant cold stores in section 0 and plants in section XVI, authorisation number for collections centres and tanneries in sections XIV and XV 8 Use codes defined in Annex V for each category/activity. Categories of food establishments are mentioned in Annex II 9 Where appropriate, use codes defined in Annex V for each species 10 Where appropriate, use codes defined in Annex V 11 This column should be included only if the Member State has chosen "Option 2" of the Technical specifications for harmonised format for the listing of establishments in accordance with Annex IV
to Regulation
(EC)
No
999/2001, using codes laid down in https://ec.europa.eu/food/sites/food/files/safety/docs/biosafety_food-bornedisease_tse_list_establishments.pdf
## Annex V Codes And Legends
| CATEGORY/ACTIVITY | SPECIES | REMARKS |
|----------------------------|----------------|---------------------|
| AH = auction hall | A = poultry | bl = blood products |
| CC = collection centre | B = bovine | mp = meat products |
| CP = cutting plant | C = caprine | |
| CS = cold store | F = frogs | |
| DC = dispatch centre | L = lagomorphs | |
| pap = meat extracts | | |
| and any powdered | | |
| products derived | | |
| from meat | | |
| EPC = egg packing centre | O = ovine | |
| P = porcine | | |
| st = treated | | |
| stomachs, bladders | | |
| and intestines | | |
| FFPP = Fresh fishery | | |
| products plant | | |
| S = solipeds | | |
| FV = factory vessel | | |
| SN = snails | | |
| | | |
| co = colostrum and | | |
| colostrum-based | | |
| products | | |
| GHE = game handling | | |
| establishment | | |
| | | |
| HO = honey | | |
| fG = farmed land | | |
| mammals other than | | |
| domestic ungulates | | |
| LEP = Liquid egg plant | | |
| R = ratite | | |
| wA = wild birds | | |
| MM = minced meat | | |
| establishment | | |
| wL = wild | | |
| lagomorphs | | |
| MP = meat preparation | | |
| establishment | | |
| wU = wild ungulates | | |
| MSFP = mechanically | | |
| separated fishery products | | |
| plant | | |
| wG = wild land | | |
| mammals other than | | |
| wild ungulates and | | |
| wild lagomorphs | | |
| | | |
| MSM = mechanically | | |
| separated meat | | |
| establishment | | |
| | | |
| TA = tannery | | |
| | | |
| PC = purification centre | | |
| PdP = producing plant | | |
| PP = processing plant | | |
| RV = reefer vessel | | |
| RW = re-wrapping and | | |
| repackaging establishment | | |
| SH = slaughterhouse | | |
| WM = wholesale market | | |
| ZV = freezer vessel | | |
| | | |
| en |
4846-pdf |
at do I need to kno
w
? A
summary guid
e for publ
ic sector organi
sations. Published
by the
Government Equalities Office.
## Foreword.
The Equality Act 2010 replaces the existing anti discrimination laws with a single Act. It simplifies the law, removing inconsistencies and making it easier for people to understand and comply with it. It also strengthens the law in important ways to help tackle discrimination and inequality. This summary guide is intended to help public sector organisations understand what the aspects of the Act coming into force in October 2010 mean for them.
## Introduction.
The Equality Act 2010 brings together, harmonises and in some respects extends the current equality law. It aims to make it more consistent, clearer and easier to follow in order to make society fairer. As a public sector organisation your responsibilities remain largely the same but there are some differences that you need to be aware of. These changes are summarised in table opposite. There are other guides for employers, business and individuals.The guide for employers will help the public sector with employment issues. This series of guides covers key changes that are coming into effect on 1 October 2010.The Equality Act also contains other provisions, including the new concept of dual discrimination, an extended public sector Equality Duty and a prohibition on age discrimination in services and public functions.The Government is looking at how the rest of the Act can be implemented in the best way for business, and will make an announcement in due course.
## What'S New For The Public Sector - An Overview. Key
Characteristic covered in existing legislation - no changes
No change
Characteristic covered in existing legislation - but some changes
Changes
Characteristic not covered in existing legislation - now covered
New
Characteristic not covered in existing legislation - still not covered
No protection
Disability
Gender
Pregnancy and Race
Religion or
Sex
Sexual
reassignment
maternity
belief
orientation
Changes
No change
No change
No change
No change
No change
No change
Direct discrimination
New
New
No change
No change
No change
New
No change
Discrimination by association
New
New
No change
No change
No change
New
No change
Discrimination by perception
New
New
No change
No change
No change
No change
No change
Indirect discrimination
Harassment
Changes
Changes
No protection*
Victimisation
Changes
Changes
Changes
Changes
Changes
Changes
Changes
Positive action Changes
Changes
Changes
Changes
Changes
Changes
Changes
* Where there is no specific harassment protection, direct discrimination protection prohibits treatment such as bullying and harassment which results in a person being treated less favourably.
| Changes | No |
|-------------|-------|
| protection* | |
| Changes | No |
| protection* | |
## Who Has Responsibilities.
The Act applies to all organisations that provide a service to the public or a section of the public (service providers). It also applies to anyone who sells goods or provides facilities. It applies to all your services, whether or not a charge is made for them.
## Who Is Protected.
The Act protects people from discrimination on the basis of 'protected characteristics' (these used to be called 'grounds').The relevant characteristics for services and public functions are:
- disability (definition changed) - gender reassignment (definition changed) - pregnancy and maternity - race - this includes ethnic or national origins,
colour and nationality
- religion or belief - sex, and - sexual orientation.
Disability (changed)
The protected characteristic of disability applies to a person who has a physical or mental impairment that has a substantial and long-term adverse effect on their ability to carry out normal day-to-day activities.
What has changed?
To qualify for protection from discrimination, a disabled person no longer has to show that their impairment affects a particular 'capacity', such as mobility or speech, hearing or eyesight. For further details see the Disability Quick Start Guide.
Gender reassignment (changed)
The protected characteristic of gender reassignment will apply to a person who is proposing to undergo, is undergoing or has undergone a process to change their sex.
What has changed?
To qualify for protection from discrimination a transsexual person no longer has to show that they are under medical supervision. For further details see Gender Reassignment Quick Start Guide.
## What The Law Prohibits.
Direct discrimination Direct discrimination in services and public functions happens when someone is treated less favourably than another person because of a protected characteristic.
What has changed?
Direct discrimination has been extended to cover disability.
Example
A local authority advice centre refuses
to provide advice that it would normally
provide to a member of the public
to Denise, a person with a learning
disability, as staff assume that she will
not be able to understand the advice
because of her disability. This is direct
discrimination.
Direct discrimination can also occur when a person is treated less favourably because of a protected characteristic even though that person does not have the characteristic. For example, it includes a person being treated less favourably because they are linked or associated with someone who has a protected characteristic.
Example
Jonathan is the partner of Kate, who is a
resident of a local authority care home.
Jonathan decides to undergo gender
reassignment and staff at Kate's care
home discover this. As a result Kate
is now treated less favourably by staff
compared with other residents.This is
discrimination because of association
with a transsexual.
Direct discrimination also includes discrimination
because a person is wrongly thought to have a
particular protected characteristic or is treated as if
they do.
Example
Sam is a local authority tenant who calls
the local authority to query an electrical
repair. Sam has a high voice and Bob,
the engineer dealing with the query,
thinks that Sam is a woman. Bob is very
dismissive of Sam's query and refuses
to explain the issue properly because
he believes that a woman would not
be able to understand it.This is sex
discrimination against Sam because he
has been wrongly perceived to be a
woman.
What has changed?
Previously protection extending wider than the
person's own protected characteristic - such as
protection from discrimination because of association
and perception - applied only to race, religion or
belief, and sexual orientation. Now it applies to sex,
disability and gender reassignment as well.
Indirect discrimination (extended to
disability and gender reassignment)
Indirect discrimination happens when there is a rule,
a policy or even a practice that applies to everyone
but which particularly disadvantages people who
share a particular protected characteristic. Indirect
discrimination can be justified if it can be shown
that the rule, policy or practice is intended to
meet a legitimate objective in a fair, balanced and
reasonable way. If this can be shown it will be
lawful. When considering introducing a new rule
or policy, you should first consider whether there
is any other way to meet your objectives that
would not have a discriminatory effect or that
is less likely to disadvantage people who have a protected characteristic. Remember that a lack of financial resources alone is unlikely to be a sufficient justification.
Example A local authority housing department has a policy of reminding tenancy applicants of forthcoming appointments by telephone.This puts deaf people who cannot use the telephone at a disadvantage, as they do not receive a reminder of their appointment. Unless the department can justify its policy of making contact only by telephone as being a proportionate means of achieving a legitimate aim, this is likely to amount to indirect discrimination.
What has changed?
Indirect discrimination now applies to disability and gender reassignment as well as the other protected characteristics. Note: Pregnancy and maternity is not covered but policies and practices that would put pregnant women and new mothers at a disadvantage could constitute unlawful indirect sex discrimination.
Harassment There is no specific prohibition on harassment related to religion or belief or to sexual orientation. However, if you harass someone because of their religion or belief or their sexual orientation, and consequently treat them less favourably than you would treat someone else, a court would count this as direct discrimination, which is unlawful.
Example
Janice, a black woman is queuing at the
Passport Office when she overhears
two members of staff making racially
abusive comments. As this conduct was
unwanted by Janice and it made her feel
humiliated and degraded, she can bring a
claim of harassment.
Victimisation
Victimisation occurs when someone is treated
badly because they have done something in
relation to the Equality Act, such as making or
supporting a complaint or raising a grievance about
discrimination, or because it is suspected that they
have done or may do these things. A person is not
protected from victimisation if they have maliciously
made or supported an untrue complaint.
Example
Fabio makes a formal complaint against
his Primary Care Trust because he feels
that the Trust has discriminated against
him because he is gay.The complaint
is resolved through the organisation's
grievance procedures. However, as a
result of making the complaint Fabio is
subsequently removed from his GP's list.
This is victimisation.
What has changed?
There is now no need for a victim to show that they have been less favourably treated than someone who has not made or supported a complaint under the Act.They need only show that they have been treated badly.
Discrimination arising from disability Discrimination arising from disability occurs when a disabled person is treated unfavourably because of something connected with their disability and this unfavourable treatment cannot be justified. Treatment can be justified if it can be shown that it is intended to meet a legitimate objective in a fair, balanced and reasonable way. If this can be shown then the treatment will be lawful. This form of discrimination can occur only if the service provider knows or can reasonably be expected to know that the disabled person is disabled.
Example Vikram, who has an assistance dog, is not allowed to enter his local mobile library because staff say there is not enough room for his dog.This may be discrimination arising from disability unless it can be justified (e.g. the dog poses a genuine health and safety risk as opposed to merely being inconvenient for staff).
## Other Changes You Need To Know About.
Positive action Some people with protected characteristics are disadvantaged or under-represented in some areas of life, or have particular needs linked to their characteristic. They may need extra help or encouragement if they are to have the same chances as everyone else. The new positive action provisions enable public sector organisations to take proportionate steps to help people overcome their disadvantages or to meet their needs.
Note:
- There is no requirement to take positive action - There is no restriction on treating disabled
people more favourably than non-disabled
people. It is also permitted to take steps to meet the needs of people with a particular disability.
Example
A police force becomes aware of a
series of homophobic incidents taking
place locally, most of which seem
to be going unreported. Following
consultation with the local lesbian,
gay and bisexual (LGB) community
which reveals little confidence that any
complaints raised will be investigated
fully, the police force appoints a specific
liaison officer to act as the first point of
contact between the service and local
LGB residents.
What has changed?
These new provisions are simpler and clearer to use than the previous provisions, which were complicated and difficult to apply.
Breastfeeding mothers The Act has specifically clarified that it is unlawful to discriminate against a woman because she is breastfeeding. This means that you need to allow women to whom you are providing goods, facilities or services to breastfeed if they so wish.
Example Julie is breastfeeding her baby in a court waiting room. The usher tells her to stop feeding the baby or go to the ladies' toilets to feed it in privacy. This is unlawful discrimination. | en |
0788-pdf |
## Enforcement Record Card
This card should be filed immediately in front of the decision notice which in turn should be in front of a set of approved plans.
The following amendments have been formally agreed by the planning officer since the issue of the decision notice:
The following conditions have been formally complied with since the issue of the decision notice:
## Site Visit Record
| DATE | INSP |
|------------|--------|
| PROGRESS | |
| DEPARTURES | |
| 4)12-1 | |
| | 0 |
| ~fDr | |
| - | |
| nD | |
| Vl'sd- | |
| ~ | |
| - | |
| KEY | DATES TO NOTE |
|---------|------------------|
| KEY | FACTORS TO WATCH |
| DATE | DETAILS |
| DETAILS | |
Tel: 01629 816200
Fax: 01629 816310
E-mail: [email protected]
'Ncb: \Vww. peakdistricLorg
~linicom: 01629 816319
Aldern House. Baslow Road. Bakewell. Derbyshire. DE45 lAE
Your ref:
Our ref:
MEC/C/P1191
Date:
26 February 2003
Mr W Anthony Hill Stone and Moon Associates
1 North Park Road Harrogate North Yorkshire HG15PD
Dear Mr Hill
## Plumb Centre. Unit 3B. Station Road Industrial Estate. Station Road. Bakewell (Npiddd/0902/437)
Thank you for your letter received 3 February concerning the above premises.
I confirm that consent will not be required to paint the buffer barriers.
However, I consider that BS18E53
would be an appropriate colour to paint them.
Yours sincerely Mary Carr Planning Assistant Development Control K:\OEVCONlhiIl/26/02l03 01 :59/CMG
Holder oj Cntncil oJ Europe Diploll1a
'''''''
.\.':tlIo'.
, , .
National Park O[fi('cr: Christopher Harrison
..hslSIJlll >.ltl<mal P;\rk Orricers: Rccrc:l(ion: John Th"rnp~on Con<;<:rvmion: Ken Parker &< John Lomas
:\ssi~lanl ;-!ntionall'ark OITkcr, AJminislwtion &" :-.lvnitoril1g Dllker: Ruth Marchingtoll c.hlef Fin;\ncc Officcr: Pl"tl"r <;wahy Coring (or a Living Lcndscope
## Offices Also In London, Knutsford & Warsaw
The Planning Department
The Peak District National Park Authority
Aldern House
BaslowRoad
Bakewell
Derbyshire
DE451AE
Dear Sirs
## Plumb Center, Unit 3B, Station Road Industrial Estate, Station Road, Bakewell
WAHIJR/5/101/0ll/Peak DistrictOOI
31 January 2003
We act for Wolseley Centers Ltd, the parent company of Plumb Center who occupy the above premises which we believe is within a Conservation Area, Planning Permission for its use as a Plumb Center building under Approval No, NPIDDD/0902/473 has recently been received, Our Clients are wishing to paint these barriers in their corporate colour of BS18ES3
and, ifrequired by Planning Regulations or Conditions, seek your permission to do so, If such permission is required, perhaps it could be given as an amendment to the existing approval. Alternatively please advise us ifa formal application is necessary,
As shown on the enclosed photograph, vehicle buffer barriers protect the front
elevation of the building,
These barriers consist of galvanised steel posts with
horizontal timber rails,
Being unpainted, they are unsightly and detract from the
overall appearance ofthe building,
•
Yours faithfull
\ PEAK DISTRiCT NATIONALP9THORIIY
, DATE RECD:
- 3 :mN. 2003
, ,LLOCATED: GROUP
W. Anthony Hill
Stone & Moon Ass
OFFICER
ACKNOWLEDGEMENT:
. ,EPLY:
Enc.
FILE ALLOCATION: p. ICl (J
. Wolseley Centers Ltd.
~C~O~P::!IE;;;D~T~O;;':
----'
cc.
Ruth Hairsnape
DIRECTORS:
John G. Stone (Managing), Jeff Hardman, Simon Noblet, Glyn Rees REGISTERED IN ENGLAND NO. 2817573
NATIONAL PARK AUTHORITY
Tel: 01629 816200
Fax: 01629 816310
E-mail: [email protected]
Web: www.peakdistrict.org
Minieom: 01629 816319
Aldern House. Baslow Road. Bakewell. Derbyshire. DE4S lAE
--
-
To:
Wolsley Centers Ltd clo G V A Grimley N MacKinnon
5·7 St Paul's Street Leeds LS12JG
THIS NOTICE RELATES TO PLANNING CONTROL ONLY, ANY OTHER STATUTORY CONSENT
MUST BE OBTAINED FROM THE APPROPRIATE AUTHORITY
## Town & Country Planning Acts & General Development Order
In pursuance of the powers vested in the Peak District National Park Authority under the above Acts and Order, and with reference to your application for full planning permission, details of which are as follows:
Office Code No.
Date received:
Proposal:
Location:
Parish:
NPIDDDI0902/473
23 September 2002
Change of use of existing unit to light industrial warehouse, distribution
and wholesale
Unit 3B, Station Road Industrial Estate, Station Road
Bakewell
## The Decision
NOTICE IS HEREBY GIVEN THAT PERMISSION FOR THE PROPOSED DEVELOPMENT in the manner described on the application and shown on the accompanying plans and drawings is GRANTED subject to the following conditions:
2.
There shall be no external storage of materials or equipment other than in the areas shown on
the approved plans.
3.
No ancillary or industriai activities shall be undertaken outside the building.
1.
The development hereby permitted shall be begun within 5 years from the date of this permission.
4.
Noise from any operations conducted on the site shall not exceed 45dB (A) Leq as measured
over a 15 minute period at the boundaries of the application site between the hours of 10.00pm
and 7.00am Monday to Saturday and at all times on Sundays and Bank Holidays.
5.
Prior to first occupation of the property, details of vehicle parking areas, loading and unloading
areas shall be submitted to the National Park Authority in writing. The approved parking, ioading
and unloading areas shall then be kept clear of all obstructions and retained for their approved
use.
## Reasons For Conditions:
1.
To comply with Sections 91, 92, and 93 of the Town and Country Planning Act 1990 (which
requires the National Park Authority to reconsider the proposal afresh after a period of years).
2.
In the interests of the visual amenity of the area.
Signed Author se cer o .m ut or ty
3&4.
To protect the residential amenities of the nearby properties.
5.
In the interests of highway safety.
Note:
The following policies have been taken into account in determining this application.
Relevant Structure Plan policies include: GS1, GS2, C3, C15, E1.
Relevant Local Plan policies include: LE5, LE6.
## Statement Of Applicant'S Rights Arising From The Refusal Of Planning Permission Or From The Grant Of Permission Subject To Conditions Appeals To The Secretary Of State
If you are aggrieved by the decision of your local planning authority to refuse permission for the proposed development or to grant it sUbject to conditions, then you can appeal to the Secretary of State for the Environment under Section 78 of the Town and Country Planning Act 1990.
If you want to appeal, then you must do so within 6 months of the date of this notice, using a form which you can get from the Planning Inspectorate at *3/02* Kite Wing, Temple Quay House,
2 The Square, Temple Quay, Bristol BS1 6PN, telephone No. 0117 372 8428.
The Secretary of State can allow a longer period for giving notice of an appeal, but he will not normally be prepared to use this power unless there are special circumstances which excuse the delay in giVing notice of appeal.
The Secretary of State need not consider an appeal if it seems to him that the local planning authority couid not have granted planning permission for the proposed development or could not have granted it without the conditions they imposed, having regard to the statutory requirements, to the provisions of any development order and to any directions given under a development order.
In practice, the Secretary of State does not refuse to consider appeals solely because the local planning authority based its decision on a direction given by him.
## Purchase Notices
If either the local planning authority or the Secretary of State for the Environment refuses permission to develop land or grants it SUbject to conditions, the owner may claim that he can neither put the land to a reasonably beneficial use in its existing state nor render the land capable of a reasonably beneficial use by the carrying out of any development which has been or would be permitted.
In these circumstances, the owner may serve a purchase notice on the Council (District Council, London Borough Councilor Common Council of the City of London) or, where the land is situated in a National Park, the National Park Authority for that Park in whose area the land is situated.
This notice will require the Councilor Authority to purchase his interest in the land in accordance with the provisions of Part VI of the Town and Country Planning Act 1990.
## 2. Full Application· Removal Of A Planning Condition To Allow Use Of A Light Industrial Unit (B1) For Light Industrial And Storage And Distribution And Light Industrial Uses At Unit 3B Station Road Industrial Estate, Bakewell *(Np/Ddd/0902/437,* 31.10.02. P1911, 2223 6904/Dl)
Unit 3B station Road Industrial Estate is one of 5 modern industrial units accessed from Station Road and set around a vehicle parking and servicing area. The court formed by the units and parking Iservice area is one of 4 similar courts which make up the industrial estate.
## History
November 1995 - planning permission was granted for the construction of unit 3B subject to a condition that the unit should be used for B1 Light Industrial use only.
October 2002 - advertisement consent was granted for the display of an advertisement by Plumb Centre who were advised that planning permission would be required to use the premises as a plumbers warehouse and distribution centre. The present application is a result of that advice.
## Proposal
•
The removal of planning condition imposed by Planning Permission *NPIWED/0895/339* which restricted the use of the bUilding to Light industrial use only to allow use of the building for Light industrial (B1) or for Wholesale Warehouse, Distribution Centre or repository (B8)
## Consultations
Derbyshire County Council - no objection.
Derbyshire Dales District Council - support approval.
Bakewell Town Council - no objection in principle concern regarding possible traffic increase.
## Main Policies Relevant Structure Plan Policies Gs1, Gs2, C3, C15, E1 Relevant Local Plan Policies Le5, Le6 - Comment
The unit subject of the application has a floor area of 210 square metres and if a condition had not been imposed there would have been a permitted change of use from light industrial to wholesale warehouse granted by the Use Classes Order without the need to apply to the local planning authority.
Development Plan policies permit development which conserves or enhances the valued characteristics of the Peak National Park and development which provides employment is normally permitted provided it is of a scale and type to meet local needs. Warehousing however will not normally be acceptable unless it is ancillary to an existing business within the Park and fulfils a need which cannot be met elsewhere.
Whilst not directly ancillary to an existing business the facility will serve a number of plumbers, heating engineers and builders working in and around Bakewell and the relatively centralised location should prove sustainable by avoiding the need for local tradesmen to travel to surrounding towns to obtain materials.
The floor area of the unit does not lend itself to a high intensity use and large orders are Iikeiyto be supplied from larger warehouses direct to sites and it is not anticipated that there will be any significant increase in traffic movements to and from the site. It is therefore considered that the proposed removal of the condition to allow use of the building as plumbers wholesale warehouse would be in the pUblic interest and subject to conditions would not detract from the character or appearance of the area.
Removai of the condition would also allow the permitted change back to light industrial increasing the buildings potential for use.
## Human Rights
Any human rights issues have been considered and addressed in the preparation of this report.
## Recom Ndation:
That e application be APPROVED subject to the following conditions:
No outside storage of materials.
No Outside working.
Noise condition.
4.
Submission of details of vehicle parkinglloading/unloading areas to be kept clear
for the designated purpose.
List of Background Papers (not previously published)
Tel: 01629 816200
Fax: 01629 816310
NATIONAL PARK AUTHORITY
E~mail: [email protected],uk
Web: www.peakdistricLorg
Minicom: 01629 816319
Aldem House. Baslow Road. Bakewell. Derbyshire. DE45 IAE
-
-
Your ref:
Our ref:
,gLlbW/P1911
Dale:
26 November 2002
Steve McBurney
GVA Grimley
5/7 St Pauls Street
Leeds
LS1 2JG
Dear Sir
## Unit 3B Station Road Bakewell (Ref. Np/Ddd/0902/4731
I refer to your letter and plan dated 25th November 2002 relating to condition 5 of the above planning permission.
I confirm that the details of vehicle parking availability and turning and manoeuvring areas are satisfactory and the requirement s of condition 5 of planning permission NP/DDD/0902/473 is satisfied.
Yours faithfully Dennis w Enforcement Planner Development Control K:\devcon\mcburney/26/11/0211:11ILW
Holder oj *Cou.ncil* tif *Europe* Dip/I)llW :*'.
'.'
Nalional Park Officer: Christopher Harrison Assisl.,mt ;-.Jatiunal P:lrk Qffil:ers: Plnnning:John Anfield Recreatiun: Jolm Thompson Conservation: "en Parker & John Lomas
'\ssist;HlL :-'huional P:lrk Officer. ,\t.!ministr:llil1t1 & ;""lnnitoring Officer: Ruth 1\.hrchinglLlO
Chief Finance ornn'r: Peter Swaby
## Facsiimile Transmission National Park Authority
Aldem House, Baslow Road, Bakewell, Derbyshire DE45 1AE Tel: (01629) 816200 Fax: (01629) 816310
Minicom: 01629 816319 E-mail: aldem@peakdistricl-npa,gov,uk
## 'Lease Telephone At Once In Case Of Incomplete Receipt
National Park Offlcer: Chri'StopherHarrisan Assistant National Park Officers: Planning: Jonn Anfleld Recreatton: John Thompsen Conservation: Ken Parker & John Lomas Administration & Monitoring: Ruth Marchlngton Chief Finance OffIcer. Peter Swaby Caring for a Living Landscape
## Facsimile Transmission
To (Name I Dept.):
Dennis Lawson I Planning Comp.nyI Olllce:
Peak District National Park Authority F'iUI No.:
01629816310
2
No. Of Pages:
(IneL this one)
From:
Steve McBurney Reply 10 Fax No.:
Date:
25 November 2002
## Message: Urgent Edearsir, Unit 3B Station Road, Bakewell (Ref. Npiddd/0902L473)
Further to our telephone conversation earlier today, please find attached a plan indicating the existing vehicle parking/loading/unloading areas relating to Unit 3B.
The block-paved forecourt (dotted) directly to the front of the unit is cUITently used for vehicle parking (7
spaces). Given the low level of movement associated with Plumb Center units and the short-stay nature of visitors, this existing level of parking provision is deemed to be adequate.
Loading/unloading arrangements in connection with the unit can also be served by the communal-type area
(hatched) if required. This should not cause any major circulation problems within the industrial estate since customers will typically use small transit-type vehicles when visiting the unit. With regard to the manoeuvring of larger delivery vehicles, movements are likely to be limited to a maximum average of 1
vehicle per day.
e We trust Condition 5 of the above planning permission can now be discharged. We would be extremely grateful if you could confirm this in writing at your earliest convenience.
We trust that this is satisfactory. If, however, you have any queries. please do not hesitate to contact us.
Yours faithfUlly,
~:~::~T;;~ON~~~RK::Rrry,
~ CL0(; ~, ~,) g~g~R (\t\,v\tc-
GVAGRIMLEY
Planning, DeVelopment & Regeneration Consultancy I
fAC~NO\ ,EOGEMEN~
I
~1~~~Ll
...• i,,~'
~
ur-u::
IV.
This fax is intended only for the named above. As this tax may contain confidential Of privllege'd;r',i:;'nfro'or;;;m;;:a;:;',o;;:n~. ,ro,
y~o:l'u~ar~."llno@f'iim"eC'i-
rmM"illllo!JSee, Or
the person responsible for delivering the message to Ihe namod addressee. please telephone us Immediately.
The contents should not be disclosed to any other person nor copies take".
If you do n01 receivalsglble copies of any pages please telephone 0870 900 89 90 as soon 3s possible.
Tel: 01629 816200
Fax: 01629816310
E-mail: [email protected]
\Veb: www.pe:akdislricl.org
Minicom: 01629 816319
Aide'll House. Baslow Road. Bakewell. Derbyshire. DE45 lAE
Your ref:
Our ref:
WERIRC/A.11432
Date:
Date as postmark Wolsley Centers Ltd c/o GVA Grimley N MacKinnon
5-7 St Paul's Street Leeds LS1 2JG
FIRST CLASS
Dear Sir/Madam
## Planning Application - Determination Full Application For The Removal Of A Planning Condition To Allow Use Of A Light Industrial Unit (B1) For Light Industrial And Storage And Distribution And Light Industrial Uses At Unit 3B Station Road Industrial Estate, Bakewell (Np/Ddd/0902/437, 31.10.02. P1911, 2223 6904/Dl)
The above application will be considered by Delegated Items & Site Inspections Sub-Committee on
8 November 2002 in the Board Room, Aldern House, Baslow Road, Bakewell, DE45 1AE (copy report enclosed).
Should you wish to speak at the meeting under the Authority's 'Public Participation Scheme' (copy attached), please notify COMMITTEE SERVICES either in writing, bye-mail [email protected], fax 01629 816311 or by telephone 01629 816362 or 01629816382 by 12 noon two working days before the meeting. If no notification is received by this deadline you will not be allowed to speak.
If you do give notice' to speak please telephone Committee Services between 2.00 pm and 4.00 pm on the Wednesday prior to the meeting when you will be advised as to the estimated time that your item will be heard.
If you do not wish to speak but just wish to attend the meeting to listen to the debate please telephone Committee Services at any lime from Wednesday afternoon onwards for estimated time that your item will be considered by the Committee.
If you require further help or advice regarding the Public Participation Scheme, please telephone Committee Services on 01629 816362 or 816382.
Yours faithfully
## Committee Services Encs
K:\DEl-$IM\LETIER$\ddd0902-437/31/10/0209:13/CMG
l'vfember oj the Association of National Park Autholi!ies Holder of Council of Europe uiploma
'M'
''¥'
. ,.
National Park Officer: Christopher Harrison Assistant National Park Officers: Planning:John Anndd Recreation: John Thompson Conserl';\tion: Ken Parker &. John u,mas Assistant Nnti,mnl Pnrk Officer. Adminislr<1tion & Monitoring Officer: Ruth Marchingwn Chief Finance Ofricer: Peler Swnby
## Bakewe{{Town Counci{
Town Hall, Bakewell, Derbyshire DE45 lBW
Tel: 01629 813525
e-mail: [email protected]
MrJ W Davies
PDNPA
Aldern House
Baslow Road
Bakewell
DE451AE
18 October 2002
Dear Mr Davies
## Application Npddd 0902 473 : Change Of Use Of Existing Unit To Warehouse And Distribution. Unit 3B Station Road Industrial Estate
The Town Council considered the above application at its meeting on 14 October 2002.
## •
The members were not opposed in principle to the change of use but are concerned about the increase in traffic this would cause. The Town Council intends to write to DCC asking for consideration to be given to short stretches ofrestricted parking to be introduced to allow passing places. The present situation is dangerous to pedestrians and this would worsen with the increase in traffic. Members would be grateful for the Authority's support in this request.
Yours sincerely Mrs Maureen Gee
•
TownClerk PEAK DISTFlICT NATIONAL PAAKAUTHOAUV
DATE REeD 2 1 C
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Tel: 01629 816200
Fax: 01629 816310
E·mnil: aldern@peakdisrrict·npa.gov,uk
\Veb: www.peakdistricLorg
Minicom: 01629 816319
Aldern House. Baslow Road. Bakewell. Derbyshire. DE45 lAE
-
NATIONAL PARK AUTHORITY
Your ref:
Our ref:
WERIRC/A.11432
Date:
Date as postmark
FIRST CLASS
Wolsley Centers Ltd
c/o GVA Grimley
N MacKinnon
5-7 St Paul's Street
Leeds
LS1 2JG
Dear Sir/Madam
## Planning Application - Determination Full Application For The Removal Of A Planning Condition To Allow Use Of A Light Industrial Unit (B1) For Light Industrial And Storage And Distribution And Light Industrial Uses At Unit 3B Station Road Industrial Estate, Bakewell *(Np/Ddd/0902/437,* 31.10.02. P1911, 2223 6904/Dl) •
The above application will be considered by Delegated Items & Site Inspections Sub-Committee on
8 November 2002 in the Board Room, Aldern House, Basiow Road, Bakewell, DE45 1AE (copy report enclosed).
Shouid you wish to speak at the meeting under the Authority's 'Pubiic Participation Scheme' (copy attached), please notify COMMITTEE SERVICES either in writing, bye-mail [email protected], fax 01629 816311 or by telephone 01629 816362 or 01629 816382 by 12 noon two working days before the meeting. If no notification is received by this deadline you will not be allowed to speak.
If you do give notice to speak please telephone Committee Services between 2.00 pm and 4.00 pm on the Wednesday prior to the meeting when you will be advised as to the estimated time that your Hem will be heard.
If you do not wish to speak but just wish to attend the meeting to listen to the debate please telephone Committee Services at any time from Wednesday afternoon onwardS for estimated time that your item wili be considered by the Committee.
If you require further help or advice regarding the Public Participation Scheme, please telephone Committee Services on 01629 816362 or 816382.
## •
Yours faithfUlly
## Committee Services Encs
K:\DEl·SIM\LETIERS\ddd0902-473/30f10/0204:10/CMG
I-lvldl'r uf C.Jltnci! of E~lropf Diplulna
.:,;,;.
.~'.
'.'
National Park Officer: ChrisLOpher Harrison
.-\SSI~I'llll N:l\iDtul P:trk OffiCt:r_~: PI:mning: John Anflcld Recre:uion: John Thomp'>on Conservation: Ken P<lrker & John Lomas i\ssiSI,ml S.llill!l<.11 P:uk Officer, AuminL<;tr.niol1 & \llunilOring Offkcr: Ruth ~[archin~ton Chid Finance Officer: Peter SW:l0Y
Caring (or a Living Landscape
## ':D[~~:;Utl~~Tion Responses From Derbyshire Dales District Council:
.
a Iications are to be recommended for approval subject to .nooverriding objections being The fOIlOW~2 HfPhWay Authority. For the avoidance of doubt, whilst the District Council would not ?bJect
~~I~~e~~ments ~o design or materials, or conditions regarding landscaP.lng matters where appropriate, It
.._ ..,.. __• _,,~;..~... <> ,,,,fll,,,,,1 on desian or landscape grounds forthe.apphcations listed.
Extension to dwelling, West Lawn, Sheffield Road, Hathersage for Mr. & Mrs.
Havenhand.
Reroofing of conservatory, The Croft, Wardlow for Mr. D. Spencer.
Extension to dwelling, Chatsworth, The Firs, Bakewell for Ms. L. Hammond.
Alterations and extensions to dwelling, 7 Wyebank Grove, Bakewell for Dr. A.
Bolton.
Proposed conversion of bam to dwelling, Whites Bam, Lydgate, Eyam for Mr. P.
Marples.
. New effluent
plant and
alterations
to
existing
building
for fire
escapes,
Hartington Creamery for Dairy Crest Ltd.
Erection of conservatory, Croft House, Bradwell for Mr. P. Middleton.
Conversion of bam to additional living accommodation, Whife House Farm, Hathersage for Mr. J. Mee.
Extension to dwelling, Oakleigh, Calver Road, Baslow for Mr. Hopkins.
NP/DDD/0902/453
(Hathersage - NP)
NPIDDD/0902/454
(Wardlow - NP)
NP/DDD/0902/459
(Bakewell - NP)
NP/DDD/0902/461
(Bakewell - NP)
NP/DDD/0902/463
(Eyam- NP)
NP/DDD/0902/464
(Hartington Town - NP)
NP/DDD/0902/467
(Bradwell- NP)
NP/DDD/0902/469
•
(Hathersage - NP)
NPIDDD/0902/470
(Baslow &
Bubnell- NP)
,
)
Change of use of existing unit to warehouse, distAbution and wholesale, Unit 3B
Station Road Industrial Estate, Bakewell for Wolseley Centers Ltd.
.
Demolition of extension and erection of new extension, Co-op Hill Cottage, Main
Street, Youlgreave for Mr. & Mrs. M. Goodwin.
Strengthening of the river bank, Derwent River Bank, Hathersage Treatment
Works for C.S. & G.M. Peace.
Extension to dwelling, Chestnut Farm, Flagg for Mr. & Mrs. J. Wainwright.
Retention of existing porCh, 12 Monksdale Close, Tideswell for Mr. & Mrs.
Nuttall.
Extension to rear of dwellings, 10 Riverview, Litton for Mr. & Mrs. P. Maxted.
(
NP/DDD/0902/473
(Bakewell - NP)
NP/DDD/0902/475
(Youlgreave - NP)
NP/DDD/0902/478
(Hathersage - NP)
NP/DDD/0902/479
(Flagg - NP)
NP/DDD/0902/480
(Tideswell- NP)
NP/DDD/0902/481
(Litton - NP)
## The Following District Council Responses Differ From Those Above: •Np/Ddd/0902/447 (Bakewell - Np)
NP/DDD/0902/449
(Tideswell- NP)
NPIDDD/0902/452
(Curbar - NP)
NP/DDD/0902/455
(Offerton - NP)
Replacement of eXisting windows with new Upvc double glazed units, 1-17
Vernon Court,
Granby Croft, Bakewell for Dales Housing
Nc;> objection
provided the design of the windows is sympathetic to the building or
represents an improvement on the existing situation.
Erection of dwelling, Land at 5 Chantry Lane, Tideswell for Mr. E. Berresford
Object on the basis that no supporting information regarding local need
has been submitted to say who is to occupy and why they are unable to
secure market housing.
In addition it is suggested that the status of the
rear access route should be checked to ensure that the site has a right of
access to the adopted highway network.
Extension over stable to form self contained flat, Jaggers Keep, Bar Road,
Curbar for Mr. T. Reed.
Have concerns that raising the height of the
building will harm the character.
Conversion of part of barn to living accommodation, Nether House, Offerton for
Mr. C. Gothard. No objection provided use of building remains tied to main
dwelling.
5-751. Paul's Street Leeds LS1 2JG
27 September 2002
When telephoning please ask for Steve McBurne :
FAO: Dennis Lawson
Development Control
Peak District National Park Authority
Aldem House
Baslow Road
Bakewell
Derbyshire
DE45 lAB
Dear Sir
## - Change Of Use Of Unit 3B, Station Road Industrial Estate, Station Road, Bakewell (Ref: Npmdd0902 473)
Further to our telephone conversation earlier today, I can confirm that Plumb Center are able to successfully trade from a BIIB8 permission. Therefore, I would formally like to amend the above application to the change of use of existing unit to Class BI and B8 warehouse and distribution and wholesale.
I would be grateful if you could confirm that the application has been amended.
I trust that the application will now be progressed to a positive resolution under delegated powers at the earliest possible opportunity. If, however, you have any problems, please do not hesitate to contact me.
Yours faithfully
•
odate Planning, Development & Regeneration Consultancy
ce.
Ruth Harisnape
Jonathan Simpson
Wolseley Centers Ltd
GVAGrimely
London West End. london City. Birmingham. Bristol. Cardiff. Edinburgh. Glasgow. leeds. Manchester. Brussels +32 2 230 70 90. Sydney +61 292524433
GVA Europe. GVA Africa. GVA Asia. GVA Australasia, GVA North America Planning Fees Development Control Development Control Aldem House Aldern House VAT. No. GB 1272481 78
| Tax | Point |
|------------|----------|
| Your | Ref |
| Ale | |
| No. | |
| 12109/2002 | |
| GVAGRIMLE | PLAN50 |
Description
| Unit Price | Discount |
|-----------------|----------------------------------|
| Total | |
| C.O.U | |
| of | unit 3b, Station road industrial |
| 220.00 | |
| 220.00 | |
| estate,Bakewell | |
| 220.00 | |
| Net Total | |
| I. | |
| , | |
| VAT | Content |
| 0.00 | |
| Total | 220.00 |
## Paid With Thanks Peak District National Park Authority
.-'~
'.( GVA Grimley
."';''l::;:.,.,_-
Internalion.1 Properly Advisers Our Ref: 6JO/05A207903lLETTEROO9IBJS/SXZM
5·7 S! Paul's Street Leeds LSI 2JG
27 September 2002
When 181ephonlng please 3&k for Steve McBurney:
FAD: Dennis Lawson
Development Control
Peak District National Park Authority
Aldern House
Bastow Road
Bakewell
Derbyshire
DE45 IAE
Dear Sir
## - Change Of Use Of Unit 3B, Station Road Industrial Estate, Station Road, Bakewell (Ref: Npiddd0902 473)
Funher to our telephone conversation earlier today. I can confirm that Plumb Center are able to successfully trade from a BIIB8 pennission. Therefore. I would formally like to amend the above application to the change of use of eXisting unit to Class BI and B8 warehouse and distribution and wholesale.
I would be grateful if you could confirm that the application ha~ been amended.
Ittust that the application will now be progressed to a positive resolution under delegated powers at the earliest possible opportunity. If. however. you have any problems. please do not hesitate to contact me.
Yours faithfully
## - Rleysmlth Oeiate Panning, Development & Regeneration Consultancy
ce.
Ruth Harisnape
Jonathan Simpson
Wolseley Centers Ltd
GVAGrimely
## Notice Of Planning Proposal An Application Has Been Made
by
Wolsley Centers Ltd
for Change of use of existing'unit to general industrial
warehouse, distribution and wholesale
at
Unit 3B, Station Road Industrial Estate, Station Road,
Bakewell
| Ref. | No. | NPDDD0902473 |
|--------|-------|----------------|
| P. | 1911 | |
| Start | Date | 4/10/2002 |
| Expiry | Date | 25/10/2002 |
A copy of the application and plans may be inspected during office hours for the next 21 days following the date of this notice at the National Park Authority Office.
A copy has also been sent to the District /
Borough Council
and Parish Council/Meeting for comment.
If you wish to make- any comments please write to the
National Park Authority Office before the expiry date.
Please note that the Authority now permits members of the
public and consultees to address its committees,
including
those which determine planning applications.
Please contact
this office if you require details.
National Park Officer,
Peak District National Park Authority,
Aldern House,
Baslow Road,
BAKEWELL,
Derbyshire,
DE45 1AE
Tel.
01629 816200
## Derbyshire County Council Highways Comments
APPLICATION CODE N°
## Date: 2F?Se~C:£2. Np*Iodd!*0 902I 473 Notice Of Planning Proposal An Application Has Been Made
by
Wolsley Centers Ltd
for Change of use of existing unit to warehouse, distribution
and wholesale
,
'.
at
Unit 3B, Station Road Industrial Estate, Station Road,
Bakewell
| Ref. | No. | NPDDD0902473 |
|--------|-------|----------------|
| P. | 1911 | |
| Start | Date | 4/10/2002 |
| Expiry | Date | |
A copy of the application and plans may be inspected during office hours for the next 21 days following the date of this notice at the National Park Authority Office.
A copy has also been sent to the District /
Borough Council
and Parish Council/Meeting for comment.
If you wish to make any comments please write to the
National Park Authority Office before the expiry date.
Please note that the Authority now permits members of the
public and consultees to address its committees,
including
those which determine planning applications.
Please contact
this office if you require details.
National Park Officer,
Peak District National Park Authority,
Aldern House,
Baslow Road,
BAKEWELL,
Derbyshire,
DE45 lAE
Tel.
01629 816200
Your ref:
Our reI:
DC1.2/KZ/P.1911
GVAGrimley
5 - 7 St Pauls Street Leeds LS!2JG
Date:
18/09/02
Dear Sir Re: Application for Unit 3B, Station Road Industrial Estate, Bakewell Unfortunately. the information supplied is not adequate for proper consideration of the
•
application* and I am therefore requesting the following from you.
Please answer Q's 2(c) and 5 (b -g) on all of the enclosed planning application forms and return.
Also please complete and return the enclosed Part 2 forms.
Yours faithfully Karen Zubertowski Administration Officer Development Control
•
# P/Dddi0902I 473
Our Ref: 610105A112I52fLETTER004/CJOISXZM
5-7 51. Paul's Street Leeds LS1 2JG
II September 2002
Chris Outlersides:
Development Control Service Team
Peak District National Park Authority
Aldem House
Baslow Road
Bakewel1
Derbyshire
DE45lAE
Dear SirlMadam
## Planning Application For Change Of Use Of Unit 3B, Station Road Industrial Estate, Station Road, Bakewell
Please find enclosed four copies of the planning application, location plan and the fee of £220.00 for the above proposal. The application is for the change of use of Unit 3B to Class BI, B2 and B8 use.
Plumb Center is to be the occupier of the unit.
Plumb Center wishes to use the unit for wholesale and distribution activities for the business as a plumber's merchant.
Our client wishes this application to be considered without prejudice to the on-going discussions that are being held between our clients' professional advisors and the Planning Department, as to the use of the unit for B8
uses.
We trust that this information is sufficient for you to be able to register and positively determine this application. If, however, you require any further details, please do not hesitate to contact Chris Outtersides.
Yours faithful1y IPEAK DISTRICT NATIONAl, PAAIS AuTHQRllX
I D;\TE REeD
1 2 5E
P 2002
GVAGRIMLEY
Planning, Development & Regeneration Consultancy
•
Encs.
London West End. London City. Birmingham. Bristol. Cardiff. Edinburgh. Glasgow. leeds. Manchester. Brussels +32 2 2307090 . Sydney +61 29252 4433
GVA Europe. GVA Africa. GVA Asia. GVA Australasia. GVA North America
# Npidddio 902/ 4 73 Ccgva Grimley
International Property Advisers Our Ref: 61OIOSA207903ILETTER007/SXZM
5-7 51. Paul's Street
20 September 2002
Leeds LS1 2JG
When telephoning please ask for Steve McBurney:
FAG: Karen Zubertowski
Development Control Service Team
Peak District National Park Authority
Aldem House
Baslow Road
Bakewell
Derbyshire
DE45 lAE
Dear Madam
## Planning Application For Change Of Use Of Unit 3B..Station Road Industrial Estate, Station Road, Bakewell By Wolseley Centers Ltd
Thank you for your letter dated 18 September 2002.
As requested, please find enclosed 4 copies of the amended Planning Application Form and Part 2 Form in relation to the above.
We trust that this is satisfactory and that the application can now be registered without delay. If, however, you have any problems, please do not hesitate to contact us.
Yours faithfully GVAGRIMLEY
Planning, Development & Regeneration Consultancy Encs.
GVA Europe. GVA Africa. *GVA* Asia. GVA Australasia. GVA North America
## ~Gva Grimley
Our Ref: 61O/05A112152ILETTER006/CJO/SXZM
5-7 51 Paul's Street Leeds LS1 2JG
12 September 2002
When telephoning please ask for Chris Outlersides:
FAO: Karen Zubertowski
Development Control Service Team
Peak District National Park Authority
AldemHouse
Baslow Road
Bakewell
Derbyshire
DE45 lAE
Dear Madam
## Planning Application For Change Of Use Of Unit 3B, Station Road Industrial Estate, Stanon Road, Bakewell By Wolseley Centers Ltd
Further to a telephone conversation with your colleague earlier today, please find enclosed four copies of the amended 'red line' drawing as discussed. Apologies for any inconvenience caused.
We trust that this is satisfactory. If, however, you require any further details, please do not hesitate to contact Chris Outtersides.
Yours faithfully GVAGRIMLEY
Planning, Development & Regeneration Consultancy Encs.
## •
London West End. london City . Birmingham. Bristol. Cardiff. Edinburgh. Glasgow. Leeds. Manchester. Brussels +32 2 230 70 90 . Sydney +61 29 252 4433
GVA Europe. GVA Africa. GVA Asia. GVA Australasia. GVA North America
1 3 SEP 2002
_ ":>C... T::-O
GQ.......p OFFICER
Please read the attached notes before you fill in any part of this fonn.
Please send four completed copies of this form and four copies of the plans to the Peak District National Park Authority.
Aldem House. Baslow Road. Bakewell. Derbyshire. DE45 IAE.
## Part I 2 Proposals For Which Permission Is Sought
a: Full address or loanon of the land to which this application
b. Brief pal"ticulars of proposed development lnc.luding the
purpose(s) *for* which the land and/or buildings are to be used
10 ~ 81, 122- ANa M
NAt2.E:tJQU<)E
AND QLS=r&II'MTlQN ANO IrJ!-IQI (.sA! E
| | PEAV | DiSTRICT |
|-----------------------------------|--------|---------------|
| NAT'2'\l~' | P.~~\ | AUT~Co;:., |
| 'f\ | | |
| IiUafoevf!Opffi&l1l:illl1e-numoer | 01 | dWellmg unlUi |
| It | | |
| resldl~ | | |
| New building(.) | | |
pro~
Yes.(@
~rrP.9(it,knDW'n, e.:-g..hOu.e$~DUngalOW". na -
I~""
~-~.
i l. :>t.r "UUL
ii.
Retention of existing building(s)
@No
. ;\LL....
lCATg}
<.;:
.••'
iii. Alteration or extension
~ )~,T,h
•
1< ."
ACI<NOV ~~tiNt.'-~tIAI.EAfl
Iv. Change of use
Yes.@
e No
vehicular
f,EPLY:
DATE nb...·:·;· 2 '1
("10 t: "
M )2
... J,-,
Lt
v.
Construction of a new
access to a highway
pedestrian
FILE AI.L
'Yi..1.lJ9~: f'") .,
V?
COPIED
0:
,
::,.:::t=:fl
t\\"',\;'C
#
"'';,
:....:.....,
,_,~.~l'l I:
vehic.ular
pedestrian
vi. Atteration of an existing
access to a highway
vii. Removal or variation of a condition
IrVes
01 pr8Yl
viii. Mineral working
REPLY:
gIve cale an.
f!1~g'~1.tOCATION:
ous appn.
COPiED TO:
ix. Waste disposa.l
rQ..@
Yes(®
resS
re@
res.@
YeS§
res8
x
Otner operations
Yes.6
## Are You Applyinz For:
L Full plannlnz pennl..lon
@No
Ii. Outline planninz penni..ion
yeS® ~ If Yos dck tile Itenu for which you are MeklnZ
appl'O'lal In thil appliadon.
I. Sitinz
0
J. External appearane,[J
2. Design
O~. Means of aeee..
0
5. undscaplnz0
If Yea state the date and number of outline
permiuion
Iii. Approval of reserved matters following the *grant* of
Qudioe permluion
Date
Number NP
If Yes state the date and number of previous
tv. Renewal of:l. temporary penninlon of permission for
pennission and Identlfy the particular condition
Date
Number NP
retention of building or continuance of use without
complyin& with a condition subject to whith planning
permission hu b••n granted
The condition
## 4 Please State
i. Present use of buildings/land
Ii. If vacant, the last previous use e:.t..A;B p,I
O"'~ICf,'i
## 5 Additional Information
| .. | Materials: Existing | •. |
|------------------------------|-----------------------------|------------------|
| ~R",o",o::.f | | |
| _ | PropoMd - | |
| :;R~o~of!- | | |
| _ | | |
| Wall | | |
| Wall | | |
| - | | |
| If | | |
| Yos | | |
| please complete | | |
| extn | | |
| fonn | | |
| b. | is | the |
| storage | or | |
| shopping | | |
| purposes~ | | |
| Co | | |
| Does | the | proposed |
| tf | | |
| Yes | indicate their positions on | pl |
| any | | |
| t.rees~ | | |
| d. | i. | How |
| •. | g. | mains. soakaway. |
| etC., | | |
| is | tIlis system existing | or |
| _-,-Po"",-,Ex.~",lsn=~N::lG~ | | |
| _ | | |
| ii. | | |
| How | | |
| will | | |
| foul sewage be dealt | | |
| with! | | |
| e.g. mains, septic | ank. | etc |
| e. | Are | there |
| Wly | | |
| crossing | the | site! |
| Yes@ | If | Ye, indicate |
| f. | | |
| How | many vehicle parking spaces | do |
| to | | |
| provide? | | |
| Mb<~"T1NG | | |
| Exinin, | spacu | |
| within | | |
| site | | |
| ew | | |
| or | additional spaces | |
| - | | |
| -- | | |
| g. | Are | there |
| to | | |
| be | demolished! | |
| Fee | | |
| State | the | amount |
| £J4Q | | |
| If'yos | pi | |
| - | | |
6
1M!e apply for: (Tick appropriate box)
bZl a.. Planning permission to carry out the development described in this application and the attached plans. and in accordance
therewith.
o b. planning pennission to retain buildings or works already constructed or carried out, or a use of land already instituted ill
described on this :a.pplie:ation and the &telched plans.
o c. approval of details of such matters as were reserved in the oudine pennission specif'ted' herein and are described in this
opplication and the attathed plans.
INVe undersand th:lt this is-an application for planning permission only and not for any other form of :if'plic:ation which may be reqUired.
## Addmonallnformation Required In Reapect Of Applications For Industrial, Office. Warehoualng. Storage Or Shops (Those Questions Relevant To The Proposed Development To Be Answered)
,. In the case of industrial development, give a description of the processes to be carried on, the end products, and the type of plant or machinery to be installed.
-n-I£ (,IN" 15"10 et- 6UV-Pll::o.O &'< Pw..w\e, ~ AND 1):;,,-0 1'0(2., WIiol-£.SALE. A>JD
DIS~I.e,lAl10N
II£.,-n"rn~
~"!(, 10 -n>," &A.6IN~ 010 A Pw..<"'I&R.'-5 ME:~NT
2. If the proposal forms 8 stage of a larger scheme for which planning permission is not at present sought, please give what information
you can about the ultimata development.
3.
Is the proposal related to an existing use on or nsar the site?
If so, please explain the relationship.
YES
0
4.
Is this a proposal to replace existing premises in this area or elsewhere which have become obsolete, inadequate or otherwise
unsatisfactory?
YES.@
bmlng (If ~I
Prop~ed now floor Ip.ce
5.
lal What is the total floor space of all buildings to which the application relates?
If so, please give details including gross floor area of such premises and state your intentions in respect of those premises.
•
205 m'
2.oS m'
(b) What is the amount of industrial floor space included in the above figures7
....-
m'
m'
(cl What is the amount of office floor space?
205 m'
m'
(d) Whet is the amount of floor space for retail trading?
....-
m'
UNk!\loWN
m'
(e) What is the amount of floor space for storage?
....-
m'
m'
(f)
What is the amount of floor space for warehousing?
.....-
m'
m'
(a) office
Ibl industrial
(clother
6.
UNlWotJt-J
(i)
How many (a) office (b) industrial (el other staff will be
employed on the site as a result of the proposed development?
give details of the numbers involved ond of the premises affected?
•
7.
What provisions have been made for the parking, loading and unloading of vehicles within the dl.I?tifbge :o( the site7 El"!sute that "all are
shown clearty on the plans.
8.
What is the estimated vehicular traffic flow to and from the site during a normal working day?
used by ndividual employees driving to work).
9.
What is the nature, volume and proposed means of disposal of any trade effluents or trade refuse7
10.Will the proposed use involve the use of storage of any of the materials of type and quantity mentioned overleaf?
If "yes" state materials and approximate quantities.
## Named Substances
| Notifiable | quality |
|------------------------------|----------------------------------|
| iD | |
| tObes | |
| Liquefied | petroleum |
| such u | |
| commen::ial | |
| propane | |
| ud | |
| commercial | butaDe, |
| and | |
| cy | |
| IDDtw'a | |
| thereof | |
| held | It |
| pTeSSW"C | |
| greater | |
| thlll | |
| 1.4 | bar |
| Ibsolute | |
| Liquefied | |
| petruleum | |
| gas, | |
| such u | |
| commercia! | |
| ptopaDe | |
| ed | |
| commen:ial | butaDe, |
| and | |
| BY | |
| miJ:nara | |
| thereof | |
| held | |
| UJlder | reqentiDA |
| It | I |
| preuute | |
| of | |
| 1.04 | |
| b&r | Ibso1ate |
| or | |
| lea | |
| Phosgene | |
| Hydroaea f1llOride | |
| suJpburtrioDde | |
| Acry!Dnitrile | |
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## Facsimile Transmission
To (Name I Dept.):
Karen Zubertowski I Planning Company I Office:
Peak District National Park Authority Fax No.:
01629816310
2
No. 01 Page,:
(Incl.lhl' ono)
From:
Steve McBurney Reply to Fa. No.:
Date:
24 September 2002
## Message Earen, Unit 3B, Station Road, Bakewell
Please find attached a copy of Certificate B as requested. A hard copy is in the post.
I trust that this is satisfactory and that the application has now been registered. If, however, you have any problems, please do not hesitate 10 contact me.
Kind regards, Steve Documentl This 1ax is inlel'\ded only for the nameo abOve. As this fax may contain confidential or privileged information, if you are not the named addressee, or
",9 pe~on responsible for delivering (he message to the named addressee, pte6S8 tslephone us Immediatety.
The contente shOUld not be disclosed to any other person nor copies taker'!.
It you do not receive legible copies of any pages please telephone 0870 gOO 89 90 as soon as poss;b1e.
London· Birmingham· Bristol" Cardiff· Edinburgh· Glasgow· Leeds· Manchester· Brussels +32 2 230 70 90 - Sydney +81 29 252 4433
GVA Europe· GVA Africa· GVA Mia· GVA Au.trala.I.· GVA North America
# Np/Ddd/F19 () 2I 473
Town and Country Planning (General Development Procedure) Order 1995
Certificate under Article 7
Certificate B
I certify that:
I havel The applicant has given the requisite notice to everyone else who, on the day 21 days before the date of the application, was the owner (a) of any part of the land to which the application relates, as listed below.
Owner's name (a)
Address at which notice was selVed Date on which notice was served
(3)
nOWn!t
tneam;
8
peflson tlaving
Oil tr8ehold
r;AsT M,Q....ANC6 ~lA\Pfl\Q\lT' coMDMJ-I L.J'(),
IJNIT" .:!>, ,'j;1lmON f4:;N), f:,Al<£.Nl<:J...L.,
Interest cr a laasehcld
Interest,
the
unexpired
lY'c:.A8'loHIPJ!.,Oi::AS Ic,l?:.
~
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illOqlo2..
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."
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## This Must Be Completed In Every Case - Agricultural Holdings Certificate Instructions
One of the following alternative paragraphs must form part of this certificate.
.
, If the site is not part of an agricultural holding *cross* out the 2nd paragraph and sign and date the form.
If It Is part of an agricultural holding, firstly cross out the 1st pifragraph,
Secondly is
there a tenant?
If no, enter not applicifb/e' in the space aI/owed on the form for the
applicant's name, address and date ofservice ofNotice, then sign and date the form.
If yes, linter their name, full postal address where you have served the Notice and date
you served the Notice on them, then sign and date the form.
You need to use the Notice
attifched to Certificate B.
Complete it and serve It on the tenant.
You can serve the
Notice by either handing it to the tenifnt In person orby post.
- None of the land to which the application relates Is, or is part of, an agricultural holding.
or,
The applicant has' given the requisite notice to every person other than my/him/her'
self who, on s before the date of the application, was a tenant of an agricultural holding on all or on part of the Ian e application relates, as follows:-
Tenant's name
Address at which notice
was served
a
notice
was served
| unknown-error |
2358-pdf |
## The Potential For Energy Efficiency And Renewable Energy
A guide for councillors and officers
## Contents
| Foreword | 4 |
|---------------------------------------------------------------|-----|
| Executive summary | 5 |
| Introduction | 7 |
| The potential for energy efficiency | 11 |
| The potential for renewable energy | 15 |
| Key questions for councillors and senior officers to consider | 24 |
## Foreword
Over the previous Parliament councils saw their central government funding cut by 40 per cent. The Comprehensive Spending Review has handed down a further £4.1 billion funding cut over this Spending Review period and comes on top of almost £10 billion in further demand-led cost pressures facing councils by the end of the decade.
It continues to be a very challenging time for local government and it is widely accepted that in terms of making savings, the easy wins have been carried out and councils are now having to find new and more innovative ways of saving money and generating income. I am therefore pleased to introduce this report which sets out the scale of the financial opportunities available from energy efficiency and renewable energy sources. The report shows that the potential savings for low cost, quick payment energy efficiency measures alone range from £60,000 to £2.4 million a year for an individual council. A large number of councils have already begun realising the potential for energy-related savings and income, but there is still huge untapped potential. And most exciting of all are the possibilities in what is still an evolving market with new technologies being developed and existing technologies becoming increasingly more affordable. I encourage you to read on to find out more about the different technologies councils are using, and to explore what the scale of opportunity is for your council using the handy checklist of questions for councillors and senior officers to ask.
## Executive Summary
Councils have long been at the forefront of the move to a low carbon economy by adopting energy efficiency and renewable energy technologies. This has already led to impressive cost savings and a wide range of additional benefits. As local government continues to suffer cuts to its budgets there is an even stronger incentive for councils to maximise the potential for energy-related income and savings. Recent years have seen councils invest time and energy in making better use of their land and property assets in response to the reduced resources available to them. In 2012/13 the total value of local government land and property was estimated by the Audit Commission to be almost £170 billion and in 2012 councils' total energy spend was estimated to be approximately £900 million with a further £190 million spent on transport fuels in vehicles. Although many councils have made significant strides in adopting energy efficiency and renewable energy technologies there is still a large untapped potential within these local government assets. Even for councils that have been championing sustainable energy for some time, new opportunities are constantly becoming available through technological development, changing project economics and maturing supply chains. This report explores the opportunities councils have to make direct cost savings or additional revenue for councils through energy efficiency and energy generation. For this reason it focuses in on council owned assets and operations where the council pays the energy bill, or renewables projects within their boundary where the council can bring in a revenue stream. The report also considers schools and leisure centres as councils still play an important support role in energy matters despite outsourcing, devolved budgets and an increasing numbers of academies.
## The Potential For Energy Efficiency
Annual energy costs range from £150,000 for a small rural district council to £25 million for the largest city council. Straightforward, low-risk measures such as lighting controls, lighting upgrades, heating controls, boiler replacements and building fabric insulation typically result in a 10-18 per cent saving with an average payback of 2-3 years on the cost of the measures. Opportunities of this nature should exist for all councils to varying degrees depending on the nature of their assets and their existing level of efficiency.
This equates to between £60,000 and £2.4 million per year in energy cost savings depending on council size. Projects with longer payback periods can achieve even greater levels of savings. The wider benefits of energy efficiency make opportunities even more attractive, such as reduced maintenance, supporting the local economy, improved comfort for building occupants and local energy resilience.
## The Potential For Renewable Energy
Renewable energy is now the fastest growing source of energy worldwide and supplies 7 per cent of the UK's total energy including nearly one fifth of the UK's electricity needs in 2014. However the financial performance of renewable energy projects is highly location-specific and the policy and incentive framework is subject to frequent changes.
This report contains estimates of income potential for councils based on a representative portfolio of renewable energy projects under different development options for illustrative purposes. Many combinations of renewable energy deployment can be considered depending on local circumstances. The table below shows the income generation potential of a portfolio of solar and medium wind scaled to the size of the council under three generic development scenarios, based on current subsidies. It is important to note that subsidies change frequently, impacting on potential revenues.
Renewable energy projects are characterised by higher upfront capital costs and longer payback periods than is commonly achievable through energy efficiency. Standalone projects, such as wind turbines and solar farms, have a high degree of risk in the pre-planning stages and development costs may run high. Nonetheless projects can generate substantial revenue streams for successful developers and a valuable asset that can be refinanced or sold on if the owner wishes to exit. Therefore although the potential rewards can be high the decision to develop a 100 per cent council owned project should not be taken lightly.
## Income Generation Potential Of A Portfolio Of Solar And Medium Wind
| Benefit to the council | County |
|----------------------------------------|-----------|
| council | |
| (£k/yr) | |
| Option 1: | |
| Council owned and | |
| operated | |
| 790 | 220 |
| 38 | 11 |
| Option 2: | |
| Income from loan to a third | |
| party developer for 25% of the capital | |
| cost. | |
| 97 | 28 |
| Option 3: | |
| Land rent and business | |
| rates from third party owned projects | |
| and free electricity from roof mounted | |
| solar | |
| | |
| Metropolitan
| Rural |
|------------------|----------|
| council /unitary | district |
| (£k/yr) | |
| 1 | |
| council | |
| (£k/yr) | |
## Introduction
In 2012/13 the total value of local government land and property was estimated by the Audit Commission to be almost £170 billion and in 2012 councils' total energy spend was estimated to be approximately £900 million with a further £190 million spent on transport fuels in vehicles. Through this combination of assets and energy use there is a large untapped potential for energy efficiency and renewable energy. For councils that have been championing sustainable energy for some time, new opportunities are constantly becoming available through technological development, changing project economics and maturing supply chains. This report highlights the opportunities for councils in England to make financial savings and increase revenue through energy efficiency measures and renewable energy generation schemes. The focus is on income that can be realised in the short term, to help councils reduce their costs and find new sources of income.
## Drivers For Energy Efficiency And Renewables
In addition to efficiency savings and income, energy efficiency and renewable energy opportunities can provide a wide range of other benefits:
• Financial: reduction in utility costs,
mitigating the impact of future price rises and the creation of new long-term sources of income. Income to community funds from community renewables to support local projects.
• Local economy: creation of local jobs
and improved skills.
• Health and wellbeing: improving building
environments and the comfort of building occupants. A growing body of evidence suggests that this improves productivity and reduces absenteeism2. Active travel options (walking and cycling) can have a similar effect.
• Carbon reduction and renewable energy
targets: contribution to national and local targets.
• Reducing fuel poverty: through increasing
access to low cost energy and energy efficiency of council housing stock (if relevant) and wider private sector stock.
• Creating a safer environment: through
improved lighting, reduced equipment failure and better building management systems to identify issues.
• Local energy resilience and security of supply
.
'The Business Case for Green Building, World Green
## Generic Council Types Report Scope And Structure
There are three generic council types used throughout this report. This is for illustrative purposes in order to reflect the diversity of councils in terms of scale, activities and assets. However the potential for each technology may be very different even within each type.
1. **County councils:** which cover the
This report is focused on opportunities that can lead to direct cost savings or additional revenue for councils. The scope is thus drawn around council owned assets and operations where the council is the counterparty to energy supply contracts, or renewables projects within their boundary where the council can obtain a revenue stream. Reference is also made to schools as council's still play an important support role in energy matters, despite a system of devolved budgets and increasing numbers of academies. The report is structured as follows:
• **Section 1:** The introduction contains
2. Metropolitan borough councils and
background information, including the breakdown of typical energy spend by three generic council types, and a summary of the current regulatory framework for energy efficiency and renewable energy.
• **Section 2:** The potential for energy
3. **Rural district councils:** these typically
efficiency, providing an estimate of the financial saving potential of energy efficiency projects within the three generic council types.
• **Section 3:** The potential for renewable
energy, including descriptions of the renewable technology options relevant to council assets. It goes on to present estimates for the potential income of an assumed portfolio of renewable energy assets within the generic council types.
• **Section 4:** Key questions for councillors
and senior officers to consider.
• Standalone appendices with glossary,
references and sources for further information.
whole county and provide 80 per cent of services in these areas3. Their annual energy spend is typically in the range of £4 million to £18 million. Energy uses include children's services, adult social care, schools, corporate buildings, leisure centres, vehicle fleet business travel and street lighting. unitary councils: these typically have an annual energy spend in the range of £3 million to £15 million, although the largest, Birmingham City Council, spends in excess of £25 million. Typical energy uses are similar to that of county councils, though with less business travel and street lighting.
have an annual energy spend of £150,000 to £1.5 million. Energy uses typically include offices, vehicle fleets and business travel. Leisure centres
are sometimes also present, and being energy intensive buildings, can account for a substantial share of total energy spend.
## Assessing The Potential
Figure 1 shows a typical breakdown of energy spend for each generic council type. This breakdown of energy spend is not centrally recorded and therefore has been estimated using a ranges of sources4. The diversity of councils means that this provides an indication only and individual circumstances may differ. For individual councils, the total energy spend can be identified from financial records allowing the council to assess the areas of opportunity by looking at the number and type of buildings that the council owns and operates.
## Energy Use In Schools And Leisure
Leisure centres and schools account for a large proportion of energy use for councils, however these are usually outside the direct control of councils, with energy use being managed and paid for by private sector operators or the schools themselves.
Schools, for example, may include councilmaintained schools, academies and free schools with different levels of council involvement. The degree of outsourced management of these assets can have a large impact on the total energy spend. The generic figures shown in the report cover all schools, but assume that a proportion of leisure centres are outsourced.
## Regulatory Framework
The regulatory context for energy efficiency and renewable energy in the UK has been a constantly evolving landscape over the last 15 years. The regulatory framework inherited by the current Conservative Government (2015-2020) is considered to be relatively complex and crowded. Consolidation and simplification is likely to be preferred over the introduction of new policies over this period. Some policies may be phased out either due to policy overlap or having fulfilled their original purpose. However the Climate Change Act 2008 creates an overarching, long-term driver for energy efficiency and renewable energy. The Act places legally binding targets of at least a 34 per cent reduction in greenhouse gas emissions by 2020, and 80 per cent by 2050, against a 1990 baseline. Many councils have adopted their own ambitions in line with this target.
The most important policies and initiatives for energy efficiency are currently:
• Energy Performance of Buildings Directive • Part L Building Regulations, CLG, 2013 • Carbon Reduction Commitment Energy
Efficiency Scheme
For renewable energy, the important polices and incentives are:
• UK Government Renewable Energy
Strategy to 2020
• Renewables Obligation (RO), which is now
being phased out
• Feed-in Tariffs with Contracts for Difference
(CfD), for generation over 5MW to replace the RO
• Feed-in Tariffs (FITs), for generation less
than 5MW
• Renewable Heat Initiative (RHI) • local authority powers to sell energy.
Frequent tariffs reviews are carried out for the FiT and RHI, therefore the level of incentive of individual technologies may change rapidly.
## The Potential For Energy Efficiency
Many councils have been developing and implementing energy efficiency programmes for more than a decade, with government funded support available through the Carbon Trust's Local Authority Carbon Management Programme between 2003 and 2013. Every council will therefore be at a different point in their energy management maturity. Regardless of a council's starting point, the fast changing background of technology innovation and energy market reforms, combined with constant operational challenges, means there is a good chance that opportunities to realise cost savings will still be available. Figure 2 shows the typical energy saving potential for the three generic council types based on the typical opportunities applicable to their energy uses and assets. This assumes a proportion of the measures have already been realised, or are not applicable in some cases, such as planning restrictions or technical barriers5. As such Figure 2 provides an indication of the potential for energy efficiency only. Detailed analysis on an assetby-asset basis would be required to estimate the potential within individual councils.
Approximately half of the savings potential in metropolitan and county councils is within schools. Leisure centres and community buildings are other large energy spend areas and significant areas of opportunity
. Office buildings make up a relatively small proportion of energy spend, although these are under the direct council of the council, unlike schools and potentially leisure centres. Savings potential in rural district councils covers fewer asset types and is dominated by fleet transport and, where present, leisure centres.
The applicability of measures has been estimated for
different building types, based on the consultants' experience of undertaking energy audits of non-domestic buildings.
The types of measures included in the potential are outlined in Figure 3, indicating their typical payback period for different energy uses. The measures covered have an average payback period of three years, and few measures have been included that have a payback period over five years, so the potential shown can be considered as the quick wins of the cost effective measures. Longer payback period projects also have relevance within a strategic approach to energy efficiency, unlocking long-term savings. Packages of measures (including renewable energy projects) with varying payback periods can be created that result in greater cost reduction and income generation than quick wins alone, but are still economically viable. Councils with mature energy management programmes may have implemented the majority of these quick win projects. Nonetheless, new opportunities will arise, through equipment replacement cycles and as technologies advance and reduce in cost. Despite the recent dramatic fall in oil price, over the long term energy prices are also expected to follow an upward trend ahead of inflation, due to increasing global demand for energy and, more locally, the substantial investment required to renew the UK's aging energy infrastructure. This is likely to reduce the simple payback period of energy efficiency projects over time. Another important area of opportunity is asset rationalisation, however it is outside the scope of this report to provide extensive detail on the opportunities this provides. It is worth noting that from April 2018, privately rented buildings (domestic and non-domestic) will need to be EPC-rated E or above, unless exempt on a cost effectiveness basis or through being listed. This is expected to impact on the asset value of buildings rated F and G6 and stimulate investment in energy efficiency refurbishment.
6
Private Rented Sector Minimum Energy Efficiency Standard
Regulations (Non-Domestic), Department of Energy and Climate Change, 5 February 2015.
## Typical Payback Period
Figure 4 overleaf summarises the potential costs and savings of a package of the energy efficiency measures considered above, applied to the generic council types. Councils can save between 10 and 18 per cent by implementing typical energy efficiency measures with shorter payback periods. This equates to £60,000/year - £2.4 million/year in energy cost savings depending on council size. The potential savings increase if councils implement technologies with longer payback periods. The wider benefits of energy efficiency can further improve the business case for investment, including reduced maintenance costs, supporting the local economy, improved comfort for building occupants and local energy resilience.
Example energy spend
£600k
£1m
£14m
Capital cost
£90k
£300k
£4m
£6m
Typical potential annual savings through
energy assuming savings shown
£60k
£120k
£1.3m
£2.3m
in Figure 2 are achieved
Typical energy/cost savings (%)
10%
13%
16%
17%
Typical average payback time
2 years
2 years
3 years
3 years
NPV* (3.5% discount rate over 10 years)
£400k
£700k
£7m
£13m
*Net Present Value (NPV): sum of the incoming and outgoing cash flows. This can be considered as the total lifetime value of the projects in today's money.
## The Potential For Renewable Energy
This section provides brief descriptions of the main renewable technology options relevant to councils and presents estimates of the potential within the generic council types introduced in Section 1.
## Stand-Alone Renewable Energy Technologies
Ground mounted solar photovoltaic
(PV) ('solar farms'): Solar PV panels generate electricity silently from sunlight with no moving parts. Ground mounted panels can be installed in secure open areas including those that have limited potential for other land uses, such as capped land fill sites, airfields and under-used agricultural land. There are currently three solar farms directly owned and operated by councils in England, and one in Wales, but many more are at various stages of development.
• Kernow Solar Park, Cornwall Council
(2012): 5MW, adjacent to council-owned airport.
• Wheat Leasows, Telford & Wrekin Council
(2014) 8: 4MW, on agricultural land owned by the council. Generates a profit of approximately £150k/year with a project lifetime of 25 years.
• Rochdale Borough Council (2015): 250kW
on a former waste disposal site9.
• Legacy Solar Farm, Wrexham Borough
Council (2015): 2.65MW with £2.5m capital cost.
9
www.link4life.org/news/2243-council-shows-flair-over-solarfarm-build
A typical 5MW project would require 26 acres of land and have a capital cost of £3.75 million. The net annual income would be approximately £350,00010 over a 20- 25 year lifetime, providing a project return on investment of seven per cent. Project development would have a 'medium' level of complexity and take one to three years depending on issues such as grid connection availability, planning sensitivity and land ownership. Wind turbines: Large wind turbines are one of the most mature and cost effective renewable energy technologies. Turbine output increases dramatically with size, for example, a single medium-sized turbine (76m tip height) might generate the same as fifty or more 'school size' (25m height) turbines, owing to the larger swept area of the rotor and the better wind resource available at that height. From a technical perspective wind turbines are best located in exposed upland areas. However there are a large number of constraints on the sites used that mean wind turbines are only appropriate for small pockets of land, if at all. Common constraints include; environmental designations, site access, noise, proximity to a grid connection and the cumulative impact of other wind turbines. Areas of unconstrained land for wind turbines may have been explored via GIS constraints mapping in Planning Policy Statement 22 renewable energy studies, commonly carried out by councils in the last decade. Onshore wind is currently facing
10 Based on a FiT rates available for stand-alone PV 1
April-30 September 2015 of 4.44p/kWh, export tariff of 4.85p/kWh and assumed O&M costs of 0.5p/kWh giving a net operating revenue of 8.8p/kWh.
an uncertain future following the removal of Renewable Obligation Subsidies in 2016 and a pending review of associated Feed-in Tariffs in late 2015. Project examples:
number of councils and other sources to be viable. As a result, anaerobic digestion plants are normally owned and operated by waste and water companies, dedicated AD developers, and private companies with suitable feedstock, such as farms and food manufacturers.
• Avonmouth, Bristol City Council (2013):
Two 2.5MW turbines11.
• Oakdale Wind Energy Park, Caerphilly
Councils can potentially take a stake in projects and/or facilitating projects to derive most value for the community
. For example,
Council (2012): Two 2MW turbines installed on council land by a private developer. The project was financed by the developer. The project provides land rent to the council and a £10,000/year payment into
a community fund12.
• Rochdale Council wind pilot project, former
councils can potentially encourage AD developers to specific locations where the electricity and heat generated can be used locally eg connected to district heating.
Councils can also offer food waste as feedstock and avoid landfill taxes, if their waste collection and disposal arrangements permit.
Hill Top School, approximately 15kW.
There are currently no council-owned and operated anaerobic digestion plants in England. Shropshire Council ran a small (5,000 tonnes/year, 200kWe) demonstration project with grant funding support between 2005 and 2012. This is now operated by the charity Cwm Harry.
The performance of small scale turbines has proven to be highly variable. This has usually been caused by poor turbine siting and the technical immaturity of some products. Trials of building-mounted turbines have not been successful due to inherent turbulent airflow around buildings.
## Costs And Benefits Of Standalone Renewable Energy Projects
Hydro power uses water dropping through a height ('the head') to turn a turbine connected to a generator. Small hydro projects are generally complex to develop, with many technical and legal issues to consider, including fisheries, flood risk, river laws and the engineering solution itself. They can be viable however, where the right geographical conditions exist.
It is important to note that the financial performance of renewable energy projects is highly location-specific and the policy and incentive framework is subject to frequent changes. This section thus provides an 'order of magnitude' indication of the financial parameters based on technology costs and subsidies available, July-September 2015. The capital costs are exclusive of land costs.
Anaerobic Digestion: Anaerobic digestion (AD) facilities break down biodegradable organic matter to produce biogas, which can be used in a variety of ways: exported to the gas grid, converted to transport fuel or used to generate electricity and/or heat. Municipal food waste can be used as feedstock for AD plants. However AD plants require approximately 60,000 tonnes of feedstock per year to be viable and therefore are likely to require waste streams from a
## Technology Options - Building Integrated Technologies
A variety of renewable energy technologies can be integrated into buildings. They are most effectively integrated at the design stage, but some can also be retro-fitted where conditions allow. For electricity generating technologies, any mismatch between generation and demand can be absorbed by grid import or export. Renewable heat technologies in contrast need to be carefully matched to the heat demand of the site, potentially in tandem with a conventional heating system to supplement the supply.
Roof mounted solar PV panels: These are suitable for most types of council buildings, but particularly buildings with large flat or pitched roofs such as schools, leisure centres, depots and offices. An advantage over ground-mounted PV is that the electricity generated can be used on site, which helps the business case by displacing grid electricity consumption at retail prices. The main constraints to their deployment are: available roof area, roof orientation, over shading by trees or other buildings, planning in conservation areas and the ownership of buildings. Since April 2015, installations of up to 1MW on non-domestic buildings are 'permitted development' in planning terms.
The capital cost of roof mounted solar is currently £800-£1,500 per kW installed, depending on variables such as scale, suitability of roof structure and ease of access.
• Keynsham Civic Centre, Bath and North
Biomass boilers are best suited to buildings with a constant heat load, such as leisure centres or within communal heating systems. This is because they take time to heat up and do not work well when operated at part load. They are most cost-effective in off-gas areas as an alternative to oil, LPG or electric heating.
East Somerset Council (2014), 243kW, council-owned and operated, installed as part of a new build civic centre.13
• Northacre Resource Recovery Centre in
Westbury, Wiltshire Council (2014) 318kW, council owned and operated14.
• Heywood Sports Village, Rochdale Council
(2014), a 100kW array retro-fitted to an existing leisure complex.
• Solar Schools Project is a crowd funding
There are a range of issues to consider when investigating potential for biomass boilers, such as: having sufficient space for installation, careful boiler sizing, matching the fuel to the boiler, fuel delivery and storage arrangements, maintenance requirements and air quality. The market for biomass is more local than fossil fuels; biomass can be more expensive than the fossil fuel alternative, depending on local supply chains and quality of fuel. The RHI income is designed to provide a certain return on investment including fuel costs.
scheme run by the charity 10:10 which helps schools raise finance for solar PV installations15.
Biomass boilers have commonly been installed as a relatively low (capital) cost method to meet sustainability targets in new public buildings. Some of these have proved a poor match to the building and have fallen into disuse. This highlights the need for careful consideration of the whole life cost of ownership and operation, including fuel supply and maintenance costs.
Solar Hot Water (SHW) panels: SHW panels collect solar energy to heat water and are typically mounted on building roofs. Their application to council buildings and schools is limited to niche applications, owing to the relatively small domestic hot water demand in these buildings and the difficulty of integrating SHW with existing hot water systems. SHW may also compete for roof space with solar PV panels. Open air swimming pools (lidos) may present a good application. The privately-owned Bristol Lido has installed 80m2 of solar collectors for the 24m pool which supplies up to 70 per cent of the annual hot water needs16. Biomass boilers: Biomass boilers use wood pellets, wood chips or occasionally logs as fuel that is burned to produce heat, in a similar way to a standard boiler. They are available from domestic to commercial scale.
Ground source heat pumps (GSHPs): GSHPs use buried pipes to extract heat from the ground for domestic hot water and space heating via radiators or underfloor heating. A 'ground loop' used to absorb low grade heat from the ground can either be installed in horizontal loops in trenches or in vertical boreholes in more constrained sites. Heat can also be extracted from water sources such as lakes, rivers and canals17. In some areas it may be possible to directly extract and re-inject water from an aquifer, known as an 'open-loop' system, subject to Environment Agency approval.
13 www.solarsense-uk.com/news/latest-news-comment/
posts/2014/solarsense-complete-keynsham-civic-centre-pvsystem.aspx
17 The Department for Energy and Climate Change
14 www.solarsense-uk.com/media/104116/uks_largest_local_
authority_rooftop_pv_system_installed_by_solarsense.pdf
15 www.solarschools.org.uk/
has published a water source heat map to highlight the opportunities for deploying innovative heat pump technology: https://www.gov.uk/government/publications/ water-source-heat-map-layer
16 www.kingspansolar.ie/casestudies/bristol-lido.aspx
GSHPs are most suitable in well-insulated buildings with underfloor heating and high hours of occupation, such as day care centres or residential homes. They typically need to be an inherent part of the design of a new building or major renovation, rather than retrofitted. They are also most suitable in off-gas areas as an alternative to oil, LPG or electric resistive heating. Heat pumps can also be used in reverse to provide cooling in summer months. This can improve the efficiency of the system, using the ground as a form of inter-seasonal heat store and avoiding the need for a separate air conditioning system.
## Examples:
• St Edmundsbury Borough Council,
Suffolk (2009)18. 463kW heating, 430kW cooling open loop GSHP installation providing all heating needs and 90 per cent of the cooling to a 6,430m2 four-storey new build office block. Total cost was £435k.
18 Carbon Trust, CTG061: Down to earth, 2011, www.
carbontrust.com/media/81349/ctg036-down-to-earthground-source-heat-pumps.pdf [Accessed 09/07/2015]
| 10kW roof | 20kW solar hot |
|----------------|-------------------|
| Technology | |
| mounted Solar | water heating |
| PV | system |
| Capital cost | |
| £13k | £25k |
| Annual revenue | |
| potential | |
| £1.2k | £1.2k |
| Return on | |
| investment | |
| 10% | 5% |
complexity
• Stoke Local Service Centre, Stoke on
Trent Council (2009)19. 90kW closed loop GSHP system providing heat to a 1,314m2 new build extension with underfloor heating. Total cost was £149k. The contractor's defects and liabilities period was extended to include the first full heating season,
meaning that during the extended handover, complications caused by further heating demands could be fixed.
Air source heat pumps (ASHPs): ASHPs are similar to GSHPs but absorb heat from the outside air rather from the ground (see above). ASHPs are typically less efficient than GSHPs (ie produce less heat than GSHPs for the same electrical consumption) but are cheaper to install, and do not require an area of land to be excavated or the drilling of vertical boreholes. ASHPs can have poor performance during the coldest periods of the year and require careful system integration and design.
19 Carbon Trust, CTG061: Down to earth, 2011, www.
carbontrust.com/media/81349/ctg036-down-to-earth-
| 100kW ground | 100kW air |
|-----------------|--------------|
| 100kW biomass | |
| source heat | source heat |
| boiler | |
| pumps system | pump system |
## Is Renewable Energy A Mature Industry?
added complexity of needing to integrate into a building's heating system, and in the case of biomass, require a reliable fuel supply matching the type of boiler installed. Nonetheless several thousand new biomass boilers have been installed in the UK since the introduction of the RHI, helping the industry to mature. Heat pumps have yet to see the same level of uptake.
## What Level Of Income Might Renewables Bring To A Council?
Renewable energy is now the fastest growing source of energy worldwide supplying an estimated 19 per cent of global energy consumption. Its share is growing fastest in the production of electricity, where 59 per cent of the net additions to generating capacity in 2014 were from renewable sources, meeting an estimated 23 per cent of the global electricity demand20. Closer to home, renewables supplied 7 per cent of the UK energy needs and nearly a fifth of electricity needs in 201421. Renewable energy is big business in the UK employing approximately 100,000 people22. However supply chain maturity varies by technology.
To estimate the potential revenue streams from renewable energy, we have considered a portfolio of renewable energy investments for each of the generic example councils. This is for illustrative purposes only. Many combinations of renewable energy deployment could be considered depending on local circumstances. It is based on the market conditions and subsidies available in late 2015 and focuses on what could be achieved in the short to medium term. We have assumed a small number of standalone projects in each council type and building integrated renewables in 5-10 per cent of council buildings including schools. The portfolio includes the following:
• one solar farm, with the size depending
on the council type
• one or two medium sized turbine (2 for
Solar PV and medium/large scale wind power are mature industries. From a financing point of view the technologies and supply chain are 'bankable' with substantial companies able to provide the obligations and warranties required by lenders of project finance. The industry is sufficiently large for healthy competition, meaning that procurement exercises can set tough criteria on price and post-sales support. Once developers (including councils) have got a scheme to the point of financial close, they can have a high degree of confidence that it will operate as intended. Hydro power and solar hot water heating are also well established and mature industries, though the market in the UK and average project size are much smaller.
a country council, 1 for metropolitain borough/unitary and rural district councils)
• ten per cent of buildings with 10kW PV roof • ten per cent of buildings with a 100kW
biomass boiler
Other technologies (small wind, biomass, heat pumps, and anaerobic digestion) are smaller industries and there is a higher level of technology, procurement and operational risk. Renewable heat technologies have the
• five per cent of buildings with a 50kW
ground source heat pump.
www.ren21.net/status-of-renewables/global-status-report/
21 Department of Energy and Climate Change, Renewable
energy in 2014: https://www.gov.uk/government/uploads/ system/uploads/attachment_data/file/437937/Renewable_ energy_in_2014.pdf
22 Renewable Energy View 2015, published by the
Renewable Energy Association: www.r-e-a.net/resources/ rea-publications
We have chosen to exclude small wind turbines, hydro power, air source heat pumps and solar hot water heating as these technologies provide less income generation potential for councils than other options.
Figure 8 overleaf shows the annual net income of the portfolio23 (income minus operational costs, not including financing costs). The payback period of projects is typically circa 10 years, therefore financing would have to be structured to provide an income in the short-term. The potential income is strongly dependent on subsidies which are subject to frequent change.
It is recognised that air source heat pumps and solar hot water heating in particular have a large market potential, but they are not currently stimulated by the RHI-subsidy to the same extent as other technologies. Anaerobic digestion is excluded owing to the lack of precedents of council-owned projects. Figure 7 above shows the breakdown of total capital expenditure for the chosen scenario. The large standalone projects account for the majority of the capital spend. The cumulative expenditure of biomass and GSHPs is also significant in the case of metropolitan and county councils owing to the larger building stock in comparison to rural district councils.
## Development Options
example we have assumed that the council provides a loan to projects, covering 25 per cent of the capital cost and makes a 2 per cent return on capital invested24.
• **Option 3: Land rent and concessions**.
Councils have the opportunity to use development options which share the risk and reward with third party developers, such as commercial or community energy developers.
This option is not applicable to all technologies in present market conditions and in this example, is assumed to be available only to solar PV and medium-scale wind turbine projects, reflecting the activity of the large majority of commercial renewable energy developers.
In this option the council receives a land rent for the solar farm and wind turbine, and benefits from free electricity from the solar PV roofs, of which it uses 50 per cent of the generation. Business rates are also included for the solar PV farms and wind turbine25.
For the purposes of quantifying the approximate revenue potential, three options are shown in Figure 9:
Note that option 2 and 3 are not mutually exclusive and could be applied to the same project. A breakdown of the revenue potential by technology is shown in the appendix.
• **Option 1: Council owned and operated**,
as per Figure 8, but for solar PV and medium-scale wind turbine projects only.
• **Option 2: Part financed by council**,
where a council provides debt finance to a project developed by a third party, such as a community energy developer. In this
| Metropolitan | Rural district
|
|----------------------------------|---------|
| Benefit to the council | |
| County | |
| council | council |
| (£k/yr) | (£k/yr) |
| Option 1: Council owned | |
| and operated | |
| 750 | 218 |
| Option 2: Income from 25% PWLB | |
| loan to third party developer | |
| 38 | 11 |
| Option 3: Land rent and business | |
| rates from third party owned | |
| 97 | 28 |
Council owned and operated projects have a dramatically greater income potential for the council. However, the upfront cost and risk to a council is substantial. Development costs for stand-alone renewable projects can run into hundreds of thousands of pounds with no guarantee of success or residual value to a failed project.
## Key Questions For Councillors And Senior Officers To Consider Business Cases
• Is there a close working relationship
between your finance and operational teams when developing business cases for
energy efficiency and renewables?
• Do you consider the internal rate of return
of energy projects as well as the simple payback when evaluating business cases? Are all co-benefits considered? (see section 1)
• Are you aware of the various sources
There are a number of financial solutions to fund projects. The greater challenge is often identifying and developing projects with a strong business case. By understanding the value of their assets from an energy perspective, councils will be better placed to form a rational strategy and where relevant, obtain the most benefit from partnerships with third parties. The key questions below provide areas for exploration to draw together the key information councils should hold to build a strong business case for energy efficiency or renewable energy projects.
of finance available?
• Are you aware of what an Energy
## Foundation Steps
• Do you know how your energy expenditure
breaks down across assets and operations?
Performance Contract (EPC) is? Do you understand the advantages and disadvantages and how these apply to the specific situation of your council?
• Have you reviewed your internal capacity
• Is there an opportunity to aggregate
to manage energy, for example using an energy management self-assessment tool26?
projects and programmes either across the council or with partners to achieve economies of scale and share risk?
## Developing Strategy
• Have your assets and operations been
## Wider Engagement
• Do you know what your local public sector
mapped from an energy perspective to identify the main areas of opportunity for energy saving and renewable energy generation?
• Has the geographical area of the council
partners are doing in this area? Is there potential to collaborate (for example, knowledge share, joint studies and procurement frameworks)?
• Are you aware of community energy
been mapped from an energy perspective, ie renewable resources, heat mapping, strategic projects and energy infrastructure?
• Do you have a strategy for extracting
groups in your area and do you have a forum to communicate with them? Do you have a strategy of how to work with them towards mutual goals?
maximum value from them for the council and the local community?
management-self-assessment-tool or benchmarking information via http://laenergyindex.co.uk
## Acknowledgements
The Local Government Association's (LGA) Productivity team would like to thank Verco for their input into this work.
Local Government Association Local Government House Smith Square London SW1P 3HZ Telephone 020 7664 3000 Fax 020 7664 3030 Email [email protected]
.uk www.local.gov
.uk For a copy in Braille, larger print or audio, please contact us on 020 7664 3000. We consider requests on an individual basis.
| en |
0251-pdf |
## The Office Of Rail And Road 139Th Board Meeting
09:00 -14:30 TUESDAY 25th SEPTEMBER 2017
ONE KEMBLE STREET, LONDON WC2B 4AN
Non-executive members: Stephen Glaister (Chair), Tracey Barlow, David Franks, Anne Heal,
Bob Holland, Michael Luger, Justin McCracken, Graham Mather
Executive members: Joanna Whittington (Chief Executive), John Larkinson (Director Railway Markets
and Economics), Ian Prosser (Director Railway Safety), Graham Richards (Director Railway Planning and Performance).
In attendance: Dan Brown (Director Strategy and Policy), Russell Grossman (Director
Communications), Juliet Lazarus (Director Legal Services and Competition), Tess Sanford (Board Secretary)
Peter Antolik (Director Highways Monitor) and Freya Guinness (Director Corporate Operations and Organisational Development) attended for items 1-6. Other ORR staff in attendance are shown in the text.
## Item 1 Welcome And Apologies For Absence 1. The Chair Welcomed Everyone To The Meeting.
2.
There were no apologies for absence.
Item 2 DECLARATIONS OF INTEREST
3.
There were no new declarations of interest in relation to the planned business. During the meeting, Justin McCracken reminded colleagues of his previously
declared interest in Ombudsman Services Ltd where he is a director.
## Item 3 Approval Of Previous Minutes And Matters Arising 4. The Minutes Were Approved.
5.
Two matters arising remained outstanding: Ian Prosser would include a note on ORR's role in RSSB's constitution in his monthly report in October; John Larkinson updated the HS2 item in his oral report.
## Item 4: Headlines And Regular Reports
6.
Ian Prosser updated the Board on: investigations following derailments in
August, the industry working group on freight loading issues, continuing delays to SMIS+ (although the reduced PIM continues to be stable), the publication of a refreshed RM3, and Eurotunnel's Eleclink project. He pointed out one error in the report which would be corrected for October.
7.
The board noted the apparent benefits of international cooperation described by Ian and retrospectively approved an agreement with the South African rail safety regulator. A fuller report of the work ORR does internationally would be brought in
January **[Action: Ian Prosser/forward programme].**
8.
Graham Richards described changes to the information pack. He reported on:
the high number of possessions over August, noticeable differences in the level of snagging needed subsequently, progress with the Thameslink 2018 timetable,
work on IEP authorisations. The board asked for more explanation about what changes in the AMEM scores indicated. [Action: Graham Richards, October]
9.
John Larkinson reported that: ORR's approach to issues arising from access on
HS2 was shortly to be published; a short consultation by ORR on proposals for
an Ombudsman was open; and gave an update on current and anticipated access right applications.
10.
The board discussed ORR's locus to drive improvements in complaint handling by TOCs.
11.
Joanna Whittington reported on:
-
Work in Europe, including a recommendation that ORR propose
that Brian Kogan should continue to sit on the IGC for the UK to offer stability for this period. The board agreed to this proposal
[Action: Joanna Whittington].
-
External meetings with stakeholders over the summer, particularly
around PR18.
-
The IS programme.
12.
Peter Antolik reported on progress towards RIS1 optimisation,
RIS2 development and discussions on funding. User engagement continued to be an area of improvement for HE.
Feras Alshaker joined the meeting
## Item 5 Hs1 Periodic Review
13.
The board noted the report and the consultation document. Graham Mather and Bob Holland reported on their visit to HS1 in September. Change of ownership was not expected to have an impact on the process.
## Item 6 Road-Rail Integration
Gordon Cole, Robert Cook and Matt Westlake joined the meeting for this item.
14.
The board had commissioned this project to reflect two years after the addition of the role of Highways Monitor to ORR's railway functions and to ask if synergies were being exploited.
15.
Peter Antolik, who was leaving ORR this week, described his view of progress made and challenges remaining. The board noted the good progress made in terms of building internal capability, establishing our role and approach and developing our reputation among stakeholders.
16.
The team presented the findings of the project and outlined next steps.
17.
The board discussed: the degree of organisational integration possible and desirable between teams working in different areas, options for dealing with board work on highways issues, the use of external experts on highways, and wider strategic issues on roads funding and controls. The discussion would continue at
the board's awayday in October.
18.
The chair thanked Peter Antolik warmly for his successful work building the
Highways function and wished him well.
Peter Antolik and Freya Guinness left the meeting.
## Item 7 Waterloo Blockade
Feras Alshaker re-joined the meeting for this item
19.
Graham Richards described the delivery of this major blockade and some of the issues arising. There was an ongoing RSD investigation of the derailment during the blockade.
20.
The board discussed whether lessons, drawn from engineering overruns at Kings Cross and the prolonged programme of work at London Bridge, had been applied successfully. They discussed delivery including: passenger information, satisfaction and safety; the effectiveness of the alliance arrangements for delivery of the work; the impact of any
ongoing issues following the blockade on performance targets. NR would conduct a full lessons learned exercise. The board discussed the importance of comprehensive planning to deliver possessions that were effective and efficient. High quality information about the underlying asset condition was also essential to enable the right priorities to be identified and delivered. Capability in these areas would need to be addressed as part of NRs transformation programme. These issues highlighted the importance of system operation and infrastructure project management functions in the future NR.
21.
Directors described positive engagement and leadership by senior teams in both the outgoing and incoming TOCs to do their best for their passengers. NR's senior team had also been prominent in monitoring and responding to progress.
## Item 8 Tram Safety
22.
Ian Prosser updated the board on current investigations by ORR and others on the Sandilands multi-fatality tram accident. RSD continued to liaise with BTP and RAIB. He gave some background on the scale of the tram networks in the UK and the safety regimes that cover them.
23.
Ian described the likely draft recommendations by RAIB and the implications of two that were directed at ORR itself. ORR would have a role in ensuring that all recommendations were considered by the industry.
24.
It was agreed as a matter of good practice that the health and safety regulatory committee (HSRC) should have oversight of ORR's responses to the recommendations directed to it. The board would also continue to receive regular updates on the investigations and reports.
## Item 9 Dppp Research: Assisted Travel Marcus Clements, Scott Hamilton And Stephanie Tobyn Joined The Meeting
for this item.
25.
The team presented the findings of the research programme which covered Passenger Assist (PA) and Turn up and Go (TUAG). The board discussed the four key areas for action and the proposed next steps. Awareness of passenger assist was low, but the overall picture
on satisfaction with PA and TUAG was encouraging. This was an area where comparisons between operators could be expected to drive improvements. The board agreed to the proposed next steps, including an industry event and publication of the research.
Russell Grossman left the meeting Item 10
PR18 UPDATE
## This Item (Paragraphs 26-29) Has Been Redacted As Relating To Policy
development
## Item 11 Feedback From Committees
30.
Justin McCracken reported back from the Health and Safety
Regulatory Committee meeting. The committee discussed:
Occupational health: fitness for work guidance, the strategic
chapter and the future of the programme.
The interface system safety chapter, An update on assurance of RSD processes; Emerging business plan priorities;
Agreement to cease the internal 6 monthly interim health and
safety report which was now considered superfluous.
31.
Tracey Barlow reported on Highways Committee which had discussed:
-
progress on RIS2
-
the second year of regional benchmarking
-
HE work to rationalise performance measures,
-
The forthcoming publication by DfT of KSI raw data because of
disconnects between this data and previous reports.
32.
Michael Luger reported on RENCO activity over the summer including the finalisation of SCS bonuses and considering CMA SCS
performance appeals.
## Item 13 Any Other Business
33.
The board discussed plans for its visits and strategy awayday on 5/6 October.
34.
The Board noted the board forward programme and two sets of minutes from
HSRC and ARC, approved in July.
Signed: Stephen Glaister 25 October 2017 | en |
0757-pdf | A Briefing for Directors of Public Health March 2017
## © Crown Copyright 2017
You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open Government Licence v.2. To view this licence visit www.nationalarchives.gov.uk/doc/opengovernment-licence/version/2/ or email [email protected] Any enquiries regarding this publication should be sent to us at Email: [email protected]
## Contents
| Foreword by Dr Thérèse Coffey and Professor Paul Cosford | 4 |
|---------------------------------------------------------------------------------|-----|
| Introduction from Dr Andrew Furber and Councillor Izzi Seccombe | 6 |
| 1. Getting to grips with air pollution - the latest evidence and techniques | 8 |
| 2. Understanding air pollution in your area | 36 |
| 3. Engaging local decision-makers about air pollution | 52 |
| 4. Communicating with the public during air pollution episodes | 68 |
| 5. Communicating with the public on the long term impacts of air pollution | 78 |
| 6. Air Pollution: an emerging public health issue. Briefing for elected members | 98 |
# Foreword By Dr Thérèse Coffey And Professor Paul Cosford
Air pollution can damage lives with harmful effects on human health, the economy and the environment. It is the largest environmental risk to the public's health, contributing to cardiovascular disease, lung cancer and respiratory diseases. It increases the chances of hospital admissions, visits to Emergency Departments and respiratory and cardiovascular symptoms which interfere with everyday life, especially for people who are already vulnerable. Bad air quality affects everyone and it has a disproportionate impact on the young and old, the sick and the poor.
the goal of halving the number of deaths from poor air quality by 2030.
Air quality in the UK has improved significantly over recent decades: since 1970 sulphur dioxide emissions have decreased by 95%, particulate matter by 73% and nitrogen oxides by 69%. The government is firmly committed to seeing further improvements in the UK's air quality and cutting harmful emissions. The government has committed more than £2billion since 2011 to increase the uptake of ultra-low emission vehicles and support greener transport schemes. The government has also set out how they will improve air quality through a new programme of Clean Air Zones and is committed to doing more.
Alongside national measures, local leadership is essential. Local authorities have a central role in achieving improvements in air quality; their local knowledge and interaction with the communities that they serve mean that they know the issues on the ground in detail. They are best placed to decide and work with partners to implement the appropriate solutions in regards to local transport, smoke control, planning and public health. Directors of Public Health have a crucial role to play as leaders and influencers, shaping how local approaches can help clean up air in their area most effectively.
The air quality impacts of driving are already widely discussed and understood, but vehicles aren't the only source of air pollution. All sorts of other everyday activities, such as industrial processes, farming, heating homes and generating energy also affect air quality. These activities can't stop. They are an essential part of our daily lives and our economy. But there are cost-effective changes that can be implemented both locally and nationally to secure cleaner cities and a clean, green economy. That's why the UK has signed up to tougher legally binding ceilings for emissions of five major pollutants with
## Introduction By Dr Andrew Furber And Councillor Izzi Seccombe
Taking action to improve air quality is crucial in order to improve population health. There is growing evidence that air pollution is a significant contributor to preventable ill health and early death. These health impacts impose a cost on the UK economy that has been estimated to run into billions. Although significant progress has been made in improving air quality over previous decades, further progress is necessary and possible. This will require a combination of innovative national and local approaches.
Local authorities have a major role to play. The transfer of additional responsibilities for public health to local government in 2013 has presented a major opportunity for Directors of Public Health and Councillors to take action to enhance this leadership on air quality. Progress will be seen by designing and implementing the right policies and interventions and raising awareness of the issue. They will be able to do this even more effectively when equipped with the right data and tools. We look forward to seeing this toolkit put to good use to make a difference to the quality of the air across the country. We hope that it will be helpful for enabling local authorities to adopt a robust and effective local approach that will complement a national strategy from the government. We are delighted that ADPH and the LGA have worked collaboratively with Defra and PHE to generate this updated suite of tools which will help local authorities to take action to improve air quality. Local authorities are already well positioned to improve air quality but their role and ability needs to be strengthened. The toolkit is designed to make it easier for local authorities to be as effective as possible in improving it.
## 1. Getting To Grips With Air Pollution - The Latest Evidence And Techniques
| Introduction | 10 |
|-----------------------------------------------------------------------|------|
| The new evidence putting air quality on the agenda | 13 |
| What are the main air pollutants? | 16 |
| What is the current understanding of the health outcomes and impacts? | 19 |
| Where air pollutants go in our bodies and what they do | 20 |
| What are the sources of air pollution and where are people exposed? | 24 |
| Can local action on air pollution improve public health? | 27 |
| Case studies of local action | 30 |
| So what can I do next? | 32 |
| Where can I get more information? | 35 |
## Introduction
This briefing provides Directors of Public Health with the information you need to help you consider the appropriate public health response to air pollution in your area. There is extensive evidence about the health impacts of air pollution, growing media and public interest and an indicator on mortality attributed to particulate matter (PM) air pollution in the Public Health Outcomes Framework.
This guide describes the latest evidence, outlines the role that Public Health officials can play, highlights techniques to get a better understanding of the local issues, and presents evidence-based principles for communicating with the public on air pollution. This document is part of a resource pack for Public Health teams. The resource comprises of a further "Briefing for Elected Members" as well as four short guides to help Directors of Public Health and their teams to take action.
Briefing:
• Air Pollution: a public health issue.
A Briefing for Elected Members
Guides:
• Understanding air pollution in your area
• Engaging local decision-makers
about air pollution
• Communicating with the public during
air pollution episodes
• Communicating with the public about
air pollution
The briefings and guides have been informed by research with Directors of Public Health and their teams about their information needs, and research with the public to inform approaches to public communication. This resource was originally commissioned by Defra and its development was steered by Defra, Public Health England, the Department of Health, Department for Transport, Local Government Association and the Healthy Air Campaign. The work was reviewed and updated in early 2017 by Defra, Public Health England, the Local Government Association and the Association of Directors of Public Health.
Key points:
- Tackling air pollution is a priority
- Air pollution is a serious public health
for this government and that is why
issue. The Department of Health's
we have agreed legally binding UK
(DH) Committee on the Medical
targets to reduce emissions of the five
Effects of Air Pollutants (COMEAP)
key primary air pollutants1 by 2020
estimated the burden of particulate
(through the UNECE Gothenburg
matter (PM) air pollution in the UK
protocol) and 2030 (as part of the
in 2008 to be equivalent to nearly
National Emission Ceilings Directive).
29,000 deaths and an associated
- Legal limits are in place to
loss of population life of 340,000
protect human health. However,
life years lost. Defra has made an
it is recognised that there are no
initial estimate that nitrogen dioxide
absolutely safe levels of PM, one
(NO2) contributes to shortening lives
of the main pollutants of concern.
by an average of around 5 months
Evidence suggests that health effects
- ranging from healthy individuals
can still occur well below these limits.
experiencing negligible effects to
Any improvement in air quality will
susceptible individuals whose poor
have positive health consequences2
health is seriously exacerbated by
and the UK has a target to reduce
NO2 pollution. This overall population
average concentrations of PM2.5 at
burden is estimated to be equivalent to
urban background locations by
nearly 23,500 deaths in the UK per
2 µg/m3 (a reduction of 15% on 2010
year. There is likely to be an overlap
levels)" by 20203.
in the health burden associated
- Population exposure to particulate
with ambient concentrations of
matter. PM2.5 has been used as the
particulate matter (PM) and NO2, so it
basis of the Public Health Outcomes
is not possible to reliably estimate the
Framework (PHOF) Indicator 3.01
4. The
combined health burden of multiple
indicator provides a starting point but it
pollutants from the same sources,
is not hard to gain a more accurate and
although it is reasonable to assume
detailed picture of the local situation.
that some individuals will be adversely
- The local nature of pollution hotspots
affected by exposure to both pollutants
creates scope for local action to
at the same time and that the total
reduce local concentrations and
burden across the population will
reduce people's exposure to air
be increased to a certain extent.
pollution. Local authorities have
Further work is being undertaken to
a range of powers which can be
understand and quantify this overlap.
deployed effectively to improve air
quality - for example on transport, smoke control areas, environmental permitting, and planning.
- Local actions to address the health
impacts of air pollution on local
populations can play a critical role in supporting other local priorities such as active travel, health inequalities, integrated care, sustainability, growth and regeneration, and localism and community engagement.
- Public Health officials have a crucial role
to play in assessing the public health impacts of air pollution and providing advice and guidance on taking appropriate action to the public and their colleagues in local authorities.
## The New Evidence Putting Air Quality On The Agenda
series and cohorts studies, backed up by laboratory and toxicological studies. In 2011, the Department of Health (DH) included an indicator based on annual average PM2.5 concentrations in the new PHOF. In 2012, the International Agency for Research on Cancer listed diesel exhaust pollution as a Class 1
carcinogen7 and extended this to all ambient air pollution in 20138. In 2013, the World Health Organization (WHO) published a review2 of 2,200 studies concluding that:
• Annual PM2.5 concentrations are
In 2010 COMEAP undertook a study to quantify the effects of long term exposure to PM. In doing so, COMEAP estimated the burden of PM air pollution in the UK in 2008 to be equivalent to nearly 29,000 deaths and an associated loss of population life of 340,000 life years lost5. In comparison, a study in
2006 found that reducing PM by 10
µg/m3 would extend lifespan in the UK by five times more than eliminating casualties on the roads, or three times more than eliminating passive smoking6.
The main outcomes of PM air pollution are cardiovascular (CVD) and respiratory diseases. There are no safe levels of PM and impacts are observed below levels permitted by current legal limits.
associated with all-cause mortality to a high level of confidence, and with much greater certainty than in 2005
• "There is no evidence of a safe level
of exposure to PM or a threshold below which no adverse health effects occur". Negative health impacts have been found well below current EU & UK limits
Since 2005 when the most recent wave of EU air pollution policy was launched with the Thematic Strategy on Air Pollution, scientific understanding of the health effects of everyday air pollution has changed dramatically due to several thousand epidemiological panel, time-
Medicine, Report TM/06/01, 2006 http://www.iom-world.org/pubs/IOM_TM0601.pdf
7
IARC: Diesel engine exhaust carcinogenic, WHO International Agency for Research on Cancer, Press release No 213,
June 12, 2012. http://www.iarc.fr/en/media-centre/pr/2012/pdfs/pr213_E.pdf
8
IARC: Outdoor air pollution a leading environmental cause of cancer deaths, WHO International Agency for Research on
Cancer, Press release No 221, October 17, 2013. http://www.iarc.fr/en/media-centre/iarcnews/pdf/pr221_E.pdf
• Nitrogen dioxide (NO2) was associated
with "adverse health effects at concentrations that were at or below the current EU limit values"
The report considered detailed epidemiological, toxicological and laboratory evidence answering a series of policy and health questions. A further WHO report9 made recommendations for Health Impact Assessments of air pollution for policy purposes. In 2015, the Royal College of Physicians and the Royal College of Paediatrics and Child Health published a report on the lifelong impact of air pollution.
It considered the effects of chronic and persistent pollution exposure from conception to old age, taking into account both outdoor and indoor pollution exposure sources. It also viewed air pollution as a stressor that interacts with many other stressors such as diet, socio-economic deprivation and climatic conditions to create adverse health impacts and increased susceptibility to disease10.
The result is that the population effects of air pollution are now increasingly quantifiable for some of the key pollutants. This has allowed the resulting burden of disease to be assessed for public health policy purposes and has driven the development and implementation of new international and European commitments to reduce air pollution. In November 2016 the European Parliament voted to support the revised National Emission Ceilings Directive. The Council of the European Union adopted the revised Directive on 8 December and it entered into force on 31 December 2016; the UK has supported the revision of this legislation. The revised National Emission Ceilings Directive has stricter national emission ceilings for the 5 main air pollutants: sulphur dioxide, nitrogen oxides, non-methane volatile organic compounds, ammonia and fine particulate matter. Implementing these ceilings will save lives. The government is committed to ensuring that the UK is ready to meet these ceilings during this Parliament, including publishing an Air Pollution Emissions Reduction Plan for the UK by March 2019.
## What Are The Main Air Pollutants?
Air pollution is a mixture of particles and gases that can have adverse effects on human health. The most important primary air pollutants are particulate matter (PM) and nitrogen dioxide (NO2).
## Particulate Matter (Pm)
PM comprises micron sized particles (a micron is 1000th of a millimetre) and is studied in three main size fractions;
PM10, PM2.5 and PM0.1. PM10 includes all particles smaller than 10 microns11 (i.e.
including PM2.5 and PM0.1) and PM2.5
comprises all particles smaller than 2.5
microns (including PM0.1).
PM2.5 has the highest epidemiological link to health outcomes4 and is used for the Public Health Outcomes Framework indicator 3.01. At this size the particles can be inhaled deep into the lungs. The very smallest particles, ultrafine PM0.1 (the smallest fraction of PM2.5) are nano-particles smaller than 0.1 microns and are thought, once inhaled, to be able to pass directly into the bloodstream. See diagrams on pages 16 and 23.
PM can be composed of particles from combustion products, products from abrasion of engine components, brakes and tyres on road surfaces, generated during construction and agricultural processes, as well as components generated by chemical reactions in the air. Much of the PM in urban pollution hotspots, particularly those close to roads, can come from traffic sources and comprises soot, part burnt diesel and petrol compounds that form benzenebased carcinogens, heavy metals, silica, bitumen, rubber and organic and other waste matter from road surfaces. The proportions of each component vary strongly depending on location. In cities and along roads where highest concentrations tend to occur, traffic generated compounds make up a large or dominant portion of the overall composition. In the countryside, agriculture and upwind industry make a bigger contribution. However, nationally UK emissions only contribute around
50-55% of total annual average PM2.5
concentrations in the UK, with the rest coming from transboundary continental sources12.
In national emission terms (as opposed to urban pollution hotspots) approximately 38% of particulate matter
(PM2.5) is produced by UK householders burning wood, coal and other solid fuels in open fires and stoves. If they have an open fire householders can reduce PM emissions by using seasoned wood or smokeless fuel. Householders can also switch from open fires to stoves and make sure they burn the right type of fuel for the appliance they use and the area they live in. The Clean Air Act of 1956, establishing Smoke Control Areas, cleaned up the smogs of the 1950s and saw a shift away from domestic combustion of coal. However, the latest evidence shows a shift back towards domestic combustion of solid fuel such as wood and coal. 15% of wintertime PM2.5 in London is attributed to wood smoke and domestic wood burning has made a significant contribution to recent high pollution episodes in London. Smoke Control Areas can be declared by local authorities. In such areas people are only allowed to burn wood or house coal in an authorised appliance such as a stove and if using an open fire they are only allowed to burn authorised fuels such as smokeless coal.
## Nitrogen Dioxide (No2)
Nitrogen dioxide is a gas that is produced with nitric oxide (NO) by combustion processes and together they are often referred to as oxides of nitrogen
(NOx). On average around 80% of oxide of nitrogen (NOx) emissions in areas where the UK is exceeding NO2 limit values are due to transport, although urban and regional background, nontransport sources are still considerable13.
The largest source is emissions from diesel light duty vehicles (cars and vans) and there has been significant growth in these vehicle numbers over the last ten years in the UK.
## Ammonia (Nh3) Other Important Air Pollutants Include: Sulphur Dioxide (So2)
SO2 is a respiratory irritant that can cause constriction of the airways. People with asthma are considered to be particularly sensitive. Health effects can occur very rapidly, making short-term exposure to peak concentrations important.
Ammonia reacts in the atmosphere to produce secondary particulate matter (PM) (pollutants that are transformed into particles by photo-chemical reactions in the atmosphere). Ammonia can also cause damage to terrestrial and aquatic ecosystems by contributing to acidification and eutrophication. Farming, specifically the use and storage of slurries, manures, digestate from Anaerobic Digestion and fertilisers, is the biggest source of ammonia emissions (81%). Improvements to fertiliser use and storage are the principal means of reducing ammonia emissions.
## Ozone (O3)
Sulphur dioxide also contributes to acidification of terrestrial and aquatic ecosystems, damaging habitats and leading to biodiversity loss. 46% of total sulphur dioxide emissions come from the power generation sector. The principal mitigation measures are changes in fuel use (such as switching from coal to gas), reducing fuel use, changes to industrial processes, pollutant capture and flue gas desulphurisation.
## Non-Methane Volatile Organic Compounds (Nmvocs)
Ozone (O3) comes from a combination of natural and human processes. Ozone is a secondary air pollutant. Secondary air pollutants are not emitted directly to the environment; they are synthesized in the environment by chemical reactions involving chemicals and other air pollutants. During some weather conditions that lead to acute air pollution episodes, nitrogen dioxide, ozone and other pollutants react and condense into PM, adding to that which has been directly emitted. Unlike the five primary pollutants above, ozone cannot be managed locally, but forecasting services can help alert vulnerable individuals.
NMVOCs are ozone precursor pollutants. In the vicinity of their release many VOCs react with other air pollutants to produce ground level ozone (see below). Industry, both large and small, is responsible for 71% of VOC emissions. The principal mitigation measures include removing and reducing solvents from paints and coatings, as well as switching away from coal and oil for domestic energy generation.
## What Is The Current Understanding Of The Health Outcomes And Impacts?
Air pollution damages lives with harmful effects on human health, the economy and the environment. It is the largest environmental risk to the public's health, contributing to cardiovascular disease, lung cancer and respiratory diseases. It increases the chances of hospital admissions, visits to Emergency Departments and respiratory and cardiovascular symptoms which interfere with everyday life. In the most severe cases it increases the risk of death, especially for people who are already vulnerable. Poor air quality affects everyone. It can have long term impacts on all and immediate effects on vulnerable people, with a disproportionate impact on the young and old, the sick and the poor.
There is now an extensive body of evidence that long-term exposure to everyday air pollutants over several years contributes to the development of cardiovascular disease (CVD), lung cancer, and respiratory disease. PM is inhaled into the lungs and ultrafine PM0.1 is thought to pass into the blood causing many adverse outcomes including systemic inflammation. Air pollution is strongly associated with all-cause mortality statistics. The allcause mortality statistic captured in PHOF indicator 3.01 ranks air pollution in the top 5-7 causes of mortality in polluted areas, ahead of many other PHOF preventable mortality indicators like road deaths, excess winter deaths or communicable diseases14. New evidence also points to other damaging effects.
digitalassets/@dh/@en/documents/digitalasset/dh_132373.pdf
## Where Air Pollutants Go In Our Bodies And What They Do
A few hours of PM2.5 over
35 µg/m3 or NO2 over 200
µg/m3 irritates the eyes, nose and throat.
Heart and blood vessel diseases like strokes and hardening of the arteries are one of the main effects of air pollution. These can be caused by a few years exposure to even low levels of PM2.5.
Exposure for a few hours to high levels of PM2.5 can bring on existing illness or strokes and heart attacks in ill people.
PM has been found in the reproductive organs and in unborn children.
PM can cause strokes. Ultrafine PM has been found in samples of brain and central nervous system tissue. Poor air quality affects everyone. It can have long term impacts on all and immediate effects on vulnerable people, with a disproportionate impact on the young and old, the sick and the poor.
throughout the body. Ultrafine particles have been found in body organs.
development (lung function growth) and respiratory infections in early childhood and effects on lung function in adulthood.
Long term exposure (over several years)
to elevated concentrations of PM2.5 at levels typically experienced in urban areas reduces life expectancy by several months to a few years9. It is likely that air pollution acts as a contributory factor - along with many others - in affecting mortality with the major effect on deaths from CVD. It contributes to the development of atherosclerosis (thickening of arterial intima media are apparent after as little as six months'
exposure9), increased incidence of coronary events16, lung cancer
7,17 and other respiratory diseases7.
A number of studies have reported associations with long-term exposure to NO2 and adverse effects on health, including reduced life expectancy. It has been unclear whether these effects are caused by NO2 itself or by other pollutants emitted by the same sources (such as road traffic). Evidence associating NO2
with health effects has strengthened substantially in recent years and it is now thought that, on the balance of probabilities, NO2 itself is responsible for some of the health impacts found to be associated with it in epidemiological studies
18. COMEAP is currently finalising a report on the mortality effects associated with long-term average concentrations of NO2.
Respiratory health effects and effects on mortality are associated with short-term exposure to O3. The effects from long term exposure to O3 are uncertain.7,19
Short-term exposure to PM2.5 episodes over a period of a few hours to weeks can cause respiratory effects such as wheezing, coughing and exacerbations of asthma and chronic bronchitis. It can trigger CVD-related mortality and non-fatal events including myocardial ischemia and myocardial infarctions (MI), acute decompensated MI, arrhythmias and strokes13.
The health effects of air pollution are distributed unequally across the population, with the heaviest burden borne by those with greatest vulnerability and/or exposure. The elderly, children and those with cardiovascular and/or respiratory disease are at greater risk NO2, particularly at high concentrations over a short time (hours), is a respiratory irritant that can cause inflammation of the airways leading to, for example, coughing, production of mucus and shortness of breath. Studies have shown associations of NO2 in outdoor air with reduced lung from the health effects of air pollution. Those who spend more time in highly polluted locations will be affected more. Since air pollution levels are typically as high within vehicles as just outside, this is likely to include not only those who live and work near busy roads, but also those who drive for a living. Deprived communities are more likely to be situated near polluted busy roads, and are more likely to experience adverse health impacts. Analysis of environmental quality and social deprivation carried out for the Environment Agency (2003) looked at the social distribution of the wards with the highest pollutant concentrations, and concluded that more than half of the most exposed 5% of the population (2.5 million people) were resident in the 20% most deprived wards. In London, research has shown that primary schools which are in areas of nitrogen dioxide exceedance are more likely to be in deprived areas. There is also emerging evidence of links between long term PM2.5 exposure and the health of the central nervous system, the progression of Alzheimer's and Parkinson's diseases, developmental outcomes in children, and such reproductive health outcomes as low birth weight, as well as other chronic conditions such as diabetes.
The UK's Daily Air Quality Index20 and air quality forecast21 routinely provides air pollution forecasts and real-time monitoring data, which shows air pollution levels across the UK. Daily tweets are also issued from the UK-Air Twitter account, which provide the latest information about current air pollution levels and health advice. These are followed by journalists who use this to inform their reporting, as well as health charities and campaign groups who regularly retweet information to vulnerable populations. In some local areas, vulnerable people can sign up to air pollution information services, which send text messages via mobile phones to alert them when air pollution is high, e.g. airAlert22 in Sussex and airTEXT23
in London.
## Comparing Size
gaseous emissions, e.g. sulphur dioxide emissions from power plants and industrial facilities; nitrates formed from nitrogen oxides released from power plants; and other combustion sources PM2.5 (2.5 microns) leads to high plaque deposits in arteries, which contribute to hardening of the arteries, which can lead to heart attacks and other cardiovascular problems.
emissions, construction and agricultural emissions
## What Are The Sources Of Air Pollution And Where Are People Exposed?
create primary PM and emitted from industry can also contribute to secondary PM.
wear as well as road surface from exhausts can add to secondary PM. Rail can contribute to PM
Road vehicles are the main pollution source that people are exposed to in the most populated urban environments and the pollutants they cause and emit have the greatest health impacts. Combustion for heating, farming activities and certain industrial processes also contribute to air pollutant emissions, but these tend to be more dilute contributing to background levels of air pollution. Small changes in distance from the source, street layouts and physical barriers can make a big difference to exposure because air pollution levels can decrease over very short distances depending on the sources and the local situation.
Combustion of fuels, agriculture and industrial processes all contribute to total emissions of air pollutants. However, road transport and combustion of solid fuels (wood and coal) are particularly important as a source of contemporary air pollution in urban hotspots because the emissions are often co-located with exposed pedestrians, homes, hospitals, schools, shops and other places where people congregate. There are considerable differences in emissions between different vehicles and fuels. In general, diesel exhaust contains up to 30 times more PM than petrol or LPG/CNG, but all vehicles generate additional PM from friction of brakes and tyres and through resuspension of dust from road surfaces. Air pollution varies substantially over small distances. It is typically highest near to emission sources and the amounts can decline rapidly as you move further away from the source. For example, pollution levels next to a busy road can vary from the part of the pavement nearest to the traffic to the part of the pavement farthest away. Intense sources, such as busy roads and junctions, lead to the creation of localised pollution 'hotspots' where very high levels of pollution can occur. The proximity to an emissions source is not the only factor that affects the amount of pollution in a given locale. Tall buildings along narrow streets can lead to the 'canyon effect' where pollution is trapped along the street, which can intensify hotspots. Air pollution reaches people from every source that is upwind. However, it will be heavily diluted if more than a few hundred metres away, especially in windy conditions. Nonetheless in dense or heavily polluted conurbations these many dilute sources can add up to a significant background concentration. Sometimes weather patterns encourage this background to accumulate over hours or days to cause an air pollution
'episode.' During this time changes in the chemical composition of the air can also take place, creating more nitrogen dioxide, ozone and particulate matter. The highly localised distribution of air pollution leads to highly unequal patterns of exposure to different individuals resulting from their day-to-day behaviour. For example ambulance drivers, taxi drivers and other professional road users will inhale significantly higher amounts of pollution compared to those working outside but away from a busy road. Similarly, those close to an open fire will be most affected by small particles of soot and dust. Building design can also influence the amount of pollution individuals are exposed to. School children in a passively ventilated school will be exposed to much higher levels of pollution compared to office workers in a well air-conditioned office block, even if both are the same distance downwind of the same emissions source.
## Can Local Action On Air Pollution Improve Public Health?
Local knowledge, the ability to make local decisions and local interaction with the communities that local authorities and Public Health officials serve means that by working together you can determine the issues on the ground in detail and the solutions that are best suited to local circumstances. Where local authorities identify an issue with air quality they can declare an Air Quality Management Area (AQMA) and put in place an action plan to reduce concentrations.
Opportunities exist for local action on air pollution. Local authorities have many powers that can reduce local air pollution concentration or exposure. In any given local area, much of the air pollution will derive from local sources, in particular road transport, creating significant scope for local action. Local authorities have opportunities to improve air quality for the protection of public health and the environment through their decisions on local land use planning, environmental health, Smoke Control Areas, roads, highways, environmental permitting and local air quality management. Actions to address the health impacts of air pollution can play a critical role in supporting other local priorities, such as active travel, health inequalities, localism and community engagement, sustainability and growth and regeneration.
Regardless of whether you currently have AQMAs declared in your area, any improvement in air quality (either following an intervention or as a result of unplanned external factors) will have positive health consequences. Improvements to air quality are also an important co-benefit of interventions targeting other health outcomes, such as active travel and increased physical activity.
While overarching regulations like vehicle emissions standards are controlled by governments and the EU and new vehicle designs by industry, local authorities have many powers in:
• traffic and parking management • street design and road layouts • planning • public and school transport policies • restricting access to the dirtiest vehicles • idling of vehicles • favouring clean vehicle fuels like
petrol, LPG or CNG over diesel and bio-diesel
• freight consolidation, delivery
management and low or zero
emission last mile services
• fleet management and car clubs • installation and maintenance of
electric vehicle charging points
• vehicle and building air conditioning • building energy efficiency
• permitting and regulation of certain
types of industrial processes, factories and other activities that can cause pollution (Environmental Permitting)
• location and enforcement of Smoke
Control Areas (SCA)
All these actions are potential avenues to reducing emissions and thus decreasing public exposure to pollution.
## The Business Case For Public Health Action On Air Pollution
The King's Fund (2013) report on *Improving the Public's Health*24 found that: "The cost-benefit evidence for investing in air quality is substantial". They cite a review for the London Royal Borough of Kensington and Chelsea25 which identified a series of options for reducing air pollution that were "cost-beneficial, with potential for significant revenue generation, and spill over benefits including noise reduction. The overall benefit-to-cost return was £620 in benefits for every £100 spent". Cost-beneficial options for reducing air pollution include measures to encourage people to make more journeys by bike or on foot, and other studies have produced similar findings.26
24 http://www.kingsfund.org.uk/publications/improving-publics-health 25 Cost Effective Actions to Reduce Air Pollution In Central London, I. Kilbane-Dawe, Parliament Hill Research, 2012
http://www.rbkc.gov.uk/pdf/air_quality_cost_effective_actions_full_report.pdf
26 Air Quality And Road Transport, RAC Foundation, 2014 http://www.racfoundation.org/research/environment/air-qualityroad-transport-report-ricardo-aea
## Case Studies Of Local Action
• A number of councils have
retrofitted some or all of their vehicles to run on gas fuels (LPG,
CNG or biogas). These emit as little
as 1/30th of the PM as diesel and
can have positive impacts on NO2
emissions. It is also cheaper to run as the fuel costs less.
• Plymouth Hospital **Travel Plan** resulted
in a reduction in staff arriving by car (from 90% to 54%). The plan included restricted and charged parking permit allocation, supplemented with improved Public Transport services, discounted Public Transport tickets and promotion of car sharing.
• City of York Council is retrofitting all
the sightseeing buses from diesel to electric. This will not only provide
significant improvements in air quality but also reduce fuel costs by £15k a year. The council have also paid to retrofit some passenger service buses, as part of the council's Low Emissions Strategy.
- California has introduced restrictions
on where new schools can be sited in relation to the major sources of
air pollution. Since 2003 state law prohibits new schools being sited within 500 feet of a highway.
Guidance suggests how the siting of new schools, day care centres, and other public buildings needs to be considered to reduce the exposure of vulnerable young people to high levels of air pollution.
- Camden Council has installed a
series of cycle-friendly measures on a key route in the borough.
Two metre-wide lanes along Royal College Street are separated from the rest of the highway by round rubber blocks or 'light segregation,' making the cycle lane safer for cyclists and reducing air pollution by encouraging more cycling. Light segregation methods are used more extensively in many European cities, such as Barcelona, and are considerably cheaper to install than many of the types of cycle lanes typically seen in this country.
• In several areas local communities
are taking control of the measurement of local air pollution. The East End Quality
of Life Initiative community group
works with Sheffield City Council to run local monitoring using low cost diffusion tubes. This has built local understanding of air pollution and engaged local communities in assessing and taking action on local issues. Similar programmes are underway in the City of London, Kings Lynn and elsewhere.
• Local authorities can encourage
local businesses to reduce their emissions. A Zero Emissions Network (ZEN) has been established by local businesses in Shoreditch with the help of Hackney Council. The network offers advice to businesses who wish to reduce their emissions, free trials of electric vehicles and cargo bikes, consultation on reducing energy demand and on reducing emissions resulting from supply chains.
• Oxford City Council and Oxfordshire
County Council have implemented
a Low Emission Zone (LEZ) for buses in Oxford city centre. An
LEZ encourages the uptake of less polluting vehicles by banning highly polluting vehicles from highly polluted areas, usually a city centre. In Oxford this has targeted the highly polluting local buses.
- Wandsworth Council reviewed all its
Smoke Control Areas, merged them
into a single borough-wide Smoke Control Area, and put in place a
communications campaign locally to
raise awareness of the rules.
- Some local authorities have set up
SMS messaging services that warn
vulnerable individuals that air pollution levels are high so that they can take steps to reduce their exposure or ensure they have medication.
Examples include airAlert17 which is
run by a partnership of councils in Sussex and airTEXT18 which covers
Greater London.
## So What Can I Do Next?
health effects from air pollution occur at air pollution concentrations well below those permitted under LAQM.
## 1. Assess And Appropriately Prioritise Air Pollution In Your Local Area
Please refer to resource pack guide
"Understanding air pollution in your area" for more information.
Directors of Public Health can conduct a basic assessment of comparing rates of mortality attributable to air pollution with other mortality rates locally. By taking this simple step it is not hard to gain a more detailed picture of the local situation.
## 2. Engage Senior Local Decisionmakers To Take Action On Air Pollution
An additional guide in this pack "Understanding air pollution in your area" explains how to conduct the basic assessment and more on how you can use air pollution measurements and model data to determine:
• Higher risk locations, and thus
Every Director of Public Health will want to ensure that local air pollution is assessed and appropriately prioritised. What action you take next, however, will depend on your assessment of the scale of the air pollution problem in your area and how this compares to other public health issues.
potential vulnerable groups
• Local sources of air pollution • How to rank and prioritise air quality
in your Joint Strategic Needs Assessment.
In most cases these depend on air pollution information that can be supplied by your council's Environmental Health Team. They will be very familiar with air pollution due to their responsibilities under Local Air Quality Management (LAQM) regulations. However, it is important to be aware that In areas with significant air pollution, Directors of Public Health can play a critical leadership role in making air pollution a strategic priority for senior local decision makers with shared goals and purposeful, co-ordinated action across local government and local health services, working closely with the community. Directors of Public Health can promote the active scrutiny of local policies for their impact on air quality and galvanise action across local government on local pollution hotspots.
Strategic focus
You can make reducing air pollution a local priority and get agreement for goals and programmes for improving air quality from senior local decision makers
Championing action
You can bring senior decision makers and the public together to
devise effective solutions for local problems
Scrutiny
You can encourage the scrutiny of local authority policies for their impacts on air pollution
Recognising AQ co-benefits
You can celebrate things you, your local partners and the public are already doing to improve air quality
Informing
You can educate the local authority, Clinical Commissioning Group (CCG) and the public about the local issues and possible solutions
Assessing
You can lead the assessment of the local air pollution public health risks and possible interventions
Whatever level of involvement you judge appropriate in your local area, action to reduce the local health impacts of air pollution will require co-ordinated effort by multiple partners. It will be important to give people the facts about contemporary air pollution in the UK, and correct some common myths.
Please refer to resource pack guide "Engaging local decision-makers about air pollution" for more information.
## 3. Communicate With The Public About Local Air Pollution
Whatever the level of your local involvement, public health teams can play a critical role in ensuring that the health impacts of air pollution are effectively communicated to public audiences - especially as air pollution continues to move up the agenda. There are many reasons why effective public communication of the health impacts of air pollution is important. Over and above the fact that people ought to be informed about risks to their health, people want and expect to be informed. Members of the public can also play a critical role in realising opportunities for health improvement, whether by reducing their personal exposure to air pollution, reducing their personal contribution to air pollution, or supporting and advocating actions to tackle air pollution locally. Through citizen science initiatives, people can even get involved in the measurement of air pollution or evaluation of interventions.
As with so many public health issues care is needed around how information is communicated. Air pollution has many of the characteristics that make a threat to health more worrying, creating a real risk of counter-productive reactions if communication is poorly handled.
## Six Principles For Public Communication About Air Pollution Based On Qualitative Research In 2013 For Defra
A. Explain what air pollution is: Use information about what particulate
matter, and other air pollutants are made of and where they can go to get air pollution onto the local agenda - not statistics about health consequences.
B. Help people understand how they can protect themselves: Don't raise
public concern about air pollution unless you can at the same time satisfy people's desire to do something to reduce their exposure.
C. Explain the health impacts: Focus on what is known for certain about the
health consequences of air pollution.
D. Make it local: Talk about air pollution as a problem linked to specific places
- and not as a general problem of the atmosphere.
E. Explain how individuals can make a difference: Keep the focus on
practical improvements - not long-term solutions.
F.
Demonstrate leadership and empower communities, instead of simply
expecting individuals to change their behaviour.
Please refer to resource pack guide "Communicating with the Public about Air Pollution" for more information.
## Where Can I Get More Information?
This guide is part of a resource pack for Public Health teams. The resource comprises a further "Briefing for Elected Members" as well as three short guides to help Directors of Public Health and their teams to take action.
## Briefing: • Air Pollution: A Public Health Issue.
A Briefing for elected members
Guides:
• Understanding air pollution in your area • Engaging local decision-makers about air
pollution
• Communicating with the public during air
pollution episodes
• Communicating with the public on the longterm impacts of air pollution
This guide and the above resources were developed as part of a 2013 Defracommissioned project led by Parliament Hill Research Ltd, aided by Defra, the Department of Health, Public Health England, the Department for Transport and the Healthy Air Campaign. The final project reports, including the conclusions of a public workshop, can be found here: http://randd.defra.gov.uk/Default.aspx
?Menu=Menu&Module=More&Loca tion=None&Completed=0&ProjectID=18580. Estimates of the number of deaths in UK local authorities that can be attributed to long term exposure to particle air pollution have been published by PHE.
• Public Health England - Estimating
Local Mortality Burdens associated with Particulate Air Pollution https://www.gov.
uk/government/publications/estimatinglocal-mortality-burdens-associated-withparticulate-air-pollution
Information on the Public Health Outcomes Framework Indicator 3.01 can be found here:
• http://www.phoutcomes.info/ • http://www.phoutcomes.info/public-health-
outcomes-framework#gid/1000043/ pat/6/ati/102/page/6/par/E12000004/are/ E06000015
The Office for National Statistics has published a bulletin on air pollution in the UK over the last three decades:
• Air quality statistics in the UK, 1987 to
2013: http://www.gov.uk/government/ publications/air-quality-statistics
The Department of Health's Committee on the Medical Effects of Air Pollutants (COMEAP) has published a series of reviews of the effects of air pollution on health:
• http://www.comeap.org.uk Defra has produced a series of resources for Local Authorities on air pollution, which are available from its website:
• http://laqm.defra.gov.uk/public-health/
roleforlas.html
Air quality forecasts, near real time measurement data, national modelling data as well as general information on air pollution, published research reports and reports on national compliance can be found on Defra's Air Information Resource website - UK Air.
• http://uk-air.defra.gov.uk/
Information on local air pollution campaigns is provided by the Healthy Air Campaign
• http://healthyair.org.uk
## 2. Understanding Air Pollution In Your Area
| Introduction | 38 |
|------------------------------------------------------------------------------------|------|
| How to conduct the basic assessment | 40 |
| Steps to develop a better understanding of a local air pollution problem | 43 |
| Consider whether UK objectives/WHO air quality guidelines are being exceeded 44 | |
| Reducing uncertainty in the indicator's estimate of the local public health effect 45 | |
| Identify higher risk locations using existing AQMAs | 46 |
| Identify higher risk locations using maps of local air pollution from models | 47 |
| Identifying key sources of pollution using local source apportionment studies | 48 |
| Identifying other health outcomes using a Health Impact Assessment | 49 |
| Assessing Air Pollution as part of a Joint Strategic Needs Assessment | 49 |
| Is air pollution an issue that affects a significant proportion of the population? | 49 |
| How does air pollution affect the health of individuals? | |
| Which individuals are affected? | 50 |
| Does air pollution contribute to inequalities in health and wellbeing? | 50 |
| Is there evidence that the scale and impact of air pollution can be reduced | |
| through action by local authorities? | 50 |
| What to do next? | 51 |
## Introduction
This guide supports a briefing produced for Directors of Public Health - 'Getting to grips with air pollution - the latest evidence and techniques.'
It provides simple steps required to understand the health impacts of air pollution in your Local Authority area. These range from the most basic assessment that all Directors of Public Health can conduct, to more detailed options to identify key locations of concern, sources of pollution and how to correctly rank air pollution in your Joint Strategic Needs Assessment (JSNA). In general, the effort required to take any of the steps mentioned above is small, not least as much of the work has already been done by Public Health England for the Public Health Outcomes Framework (PHOF) 3.01 air pollution indicator: the fraction of mortality attributable to particulate air pollution and in recent studies, or through the Local Air Quality Management (LAQM) process set out in Section (IV) of the Environment Act 1995. Under this process, Local authorities Environmental Health Teams have monitored air pollution and its causes locally for 10-15 years, and will have produced most of the data you need to get a detailed picture.
It is important to be aware of the discrepancy between the pollution limits set under LAQM and concentrations of air pollution at which public health effects are observed, as given in the 3.01 indicator. Health effects from air pollution are observed at air pollution concentrations well below those permitted under LAQM. In particular this means that areas that do not exceed LAQM limits could still have a public health problem relating to air pollution. It should also be noted that within the PHOF indicator, deaths are not individually attributed to air pollution, rather, air pollution is considered to be a contributory factor in many deaths, including other causes, such as respiratory disease or cardiovascular disease (CVD). Thus the first datum to study is the 3.01 indicator and its ranking against other mortality indicators. Thereafter, and if air pollution appears to be ranked as a high priority, the LAQM data can be used to develop a more detailed picture. The steps on the following pages use both data from the PHOF indicator set, and data from various national and local air pollution databases. In the vast majority of situations, there will not be a requirement for new measurements or new local air pollution mapping, since the UK has urban background27
monitoring stations in most cities and full coverage using modelled data, and because under the LAQM regime maps of local air pollution concentrations are likely to have been updated regularly.
## How To Conduct The Basic Assessment
Camden: 6.3% x 289
= 18.2 attributable deaths
per 100,000 pa East Devon: 3.8% x 268
= 10.2 attributable deaths per 100,000 pa
The most basic assessment possible is to rank the local mortality attributed to air pollution (particulate matter) against local mortality due to other sources of disease. The PHOF Data Tool contains most of the data required to do this, although some minor manipulation is required using local population data.
Leicester: 5.4% x 427
= 23.1 attributable deaths per 100,000 pa
This simple method is suitable to set the burden of air pollution in the context of other mortality indicators in the PHOF, for example those shown in Example 1. However, it is important to note that unlike the other indicators that are based on recorded mortality data for specific causes of death, the figures for air pollution are estimates of mortality attributable to a risk factor. Deaths are not individually attributed to air pollution, rather, air pollution is considered to be a contributory factor in many deaths, including other causes, such as respiratory disease or cardiovascular disease.
The key to conducting the ranking is to convert the 3.01 indicator, which is expressed as a percentage of the adult mortality in a given year, as found in the PHOF Data Tool28 into the same statistical units as most of the other mortality indicators in the PHOF, that is age-standardised (<75 years) premature mortality per 100,000 population per year29. A crude conversion is simple:
multiply the 3.01 indicator30 by the age standardised premature mortality rate per 100,000 population. For example, using 2013-2015 data on premature deaths per 100,000 for districts & unitary authorities obtained from Public Health England31, in Camden, East Devon and Leicester:
These tables can also be used as a powerful communication tool when speaking to colleagues.
| Camden | East Devon | Leicester |
|------------------|--------------|-------------|
| Indicator in | | |
| PHOF | | |
| Indicator | | |
| in PHOF | | |
| Mortality | | |
| rate, per | | |
| 100,000 | | |
| Preventable | | |
| mortality (4.03) | | |
| 159.7 | Preventable | |
| mortality | | |
| 74.4 | Preventable | |
| cancer <75 | | |
| Preventable | | |
| cancer | | |
| <75(4.05ii) | | |
| 34.7 | Preventable | |
| CVD <75 | | |
| Preventable | | |
| CVD <75 | | |
| (4.04ii) | | |
| 19.0 | Suicide | 10.9 |
| Liver disease | | |
| <75 | | |
| Preventable | | |
| Respiratory | | |
| disease | | |
| <75(4.07ii) | | |
| 18.2 | Communicable | |
| diseases | | |
| Mortality | | |
| attributable | | |
| to PM | | |
| 2.5 | | |
| | | |
| <75 (3.01) | | |
| 15.9 | Preventable | |
| Liver disease | | |
| Preventable | | |
| Liver disease | | |
| <75 (4.06ii) | | |
| Communicable | | |
| diseases (4.08) | | |
| 12.0 | | |
| Mortality | | |
| attributable to | | |
| PM | | |
| 2.5 | | |
| <75 | | |
| Suicide rate | | |
| Persons (4.10) | | |
| 11.3 | Preventable | |
| respiratory | | |
| disease <75 | | |
Indicator in PHOF
Mortality rate, per 100,000
Mortality rate, per 100,000
241.0
146.1
Preventable mortality
90
67.6
Preventable cancer <75
77.8
28.2
Preventable
CVD <75
24.2
23.1
10.7
Mortality attributable to
PM2.5 <75
22.0
10.5
Preventable respiratory disease <75
11.2
10.2
Communicable diseases
10.2
Suicide
9.6
## Mortality Burden Estimates And The Phof Indicator 3.01
This section outlines the strengths and limitations of the available estimates of mortality burdens attributable to air pollution, and discusses the implications for their use.
Calculation:
Estimates of mortality associated with particulate air pollution are usually calculated by combining three types of information:
a. level of PM2.5 in outdoor air
(long-term average concentrations)
b. relationship between long-term
average concentrations of PM2.5
in outdoor air and mortality risk
c. Mortality statistics in the population
of interest
Metrics:
The mortality burden can be expressed as: attributable fraction, attributable deaths; years of life lost; or loss of lifeexpectancy from birth. These estimates describe the effect of air pollution on mortality across the population: long-term exposure to air pollution is a contributory factor to deaths from respiratory and cardiovascular disease and is unlikely to be the sole cause of death. The PHOF indicator is expressed as the fraction of adult mortality attributable to long-term exposure to particulate air pollution, i.e. as a percentage33.
PHE has also published estimates of local mortality burdens expressed as attributable deaths and years of life lost34. These are calculated by applying the attributable fraction to adult mortality statistics in the local area.
Although 'percentage of mortality' or 'number of deaths' are widely used in communicating public health risks, 'attributable deaths' is not the number of individuals who have died prematurely. Air pollution contributes a small amount to the deaths of a large number of exposed individuals rather than being solely responsible for a certain proportion, or number, of deaths. Attributable deaths can be described as 'an effect on mortality equivalent to 'X' deaths at typical ages' while 'Years of life lost' combines both attributable deaths and age at death35,36. Methods and metrics are discussed in more detail elsewhere36,37,38.
The PHOF indicator and other mortality burden estimates should not be used to evaluate policies or interventions to reduce air pollution. These are best assessed using life-table methods to estimate years of life gained from the reduction in exposure of the population37.
Local initiatives to reduce air pollution, or exposure to it, are likely to improve health of the population. However, the PHOF indicator is not well suited to tracking progress in addressing air pollution within local areas. It is intended to inform Directors of Public Health and other local decision makers about the scale of the public health impact of air pollution in their local area and to enable them to prioritise action on air pollution appropriately. Caution is also needed when considering trends over time. Some of the reasons for this are outlined below.
## Meteorological And Atmospheric Influences
Concentrations of PM2.5 vary from year to year due to the weather. This variation due to weather is generally greater than the year to year variation from changes in emissions.
## Modelling Of Pm2.5 Concentrations
The PHOF indicator is calculated using modelled concentrations of PM2.5
using information from the national atmospheric emissions inventory (NAEI). As a national inventory is used, local initiatives to reduce emissions are unlikely to alter the modelled PM2.5
concentrations for that local area although they may have an important impact on the local population's exposure and health.
## Steps To Develop A Better Understanding Of A Local Air Pollution Problem
Where air pollution is agreed to be a priority issue, there are additional steps you can take to improve your understanding of your local air pollution problem. In most cases your Environmental Health Team will be familiar with the data required. These steps are:
- Testing whether local air quality is
below the UK/EU air quality standards and the WHO air quality guidelines
- Reducing uncertainty in the indicator
estimate of the public health effects
- Identifying locations where the risks to
health are likely to be greatest
- Identifying key sources of air pollution - Broadening the scope of the health
impacts considered
- Correctly scoring air pollution in your
Joint Strategic Needs Assessment.
## Consider Whether Uk Objectives/ Who Air Quality Guidelines Are Being Exceeded
roadside or other locations can be used for sensitivity analysis. Annual averages of the data from these stations can be obtained from the Defra website39, or from your Environmental Health Team. The WHO recently completed a major review of the health risks of air pollution40and this reinforced the findings of the 2005 assessment.
## Example - Birmingham Tyburn
Measurements from the Birmingham Tyburn urban background monitoring station give an annual mean value of
16 µg/m3 for PM2.5 and 23 µg/m3 for PM10. These are both above the WHO
guidelines, suggesting that reducing these levels to improve local public health should be a high priority.
The WHO guidelines for air pollution37
are based on review of thousands of epidemiological, laboratory and toxicology studies. They are intended to minimize the public health impact of air pollution while still being economically achievable. Guidelines38 for short-term and long-term exposure are given. For example, for long-term exposure, the WHO guideline is not to exceed annual average concentrations of PM of:
• 10 µg/m3 of PM2.5
• 20 µg/m3 of PM10.
Most major conurbations have at least one PM2.5 or PM10 monitoring station that is used for LAQM and EU reporting. For population wide comparisons, only measurements from urban background monitoring stations should be used, although measurements at
## Box 1. Understand The Different Roles Of Modelled And Measured Pollution Data Reducing Uncertainty In The Indicator'S Estimate Of The Local Public Health Effect
The 3.01 indicator is based on model data (see Box 1) generated for Defra by leading experts on air pollution.
In most cases these are accurate to within ±20% or better, but the model cannot include all crucial local details so in some areas it may be less accurate. In order to reduce this possible uncertainty, the measured statistics discussed above can also be compared with Defra's model generated Background Maps for your area41, which are the data used to calculate the 3.01 indicator.
Example - Birmingham Tyburn Many local, regional and national authorities perform air pollution modelling that produces maps of local, regional or national air pollution concentrations. Modelling is used because air pollution varies so strongly from place to place that it is impossible to install sufficient monitoring stations to accurately reflect the way the pollution is distributed. While air pollution models are inevitably weaker at determining the precise concentrations of pollutants at any given location, they are very good at capturing the variation of the pollutant concentrations from place to place, which is essential to understanding the problem. Pollution is also strongly affected by weather patterns, so models allow different weather scenarios to be considered. Models can also allow the effects of policy measures to be estimated, or pollution sources to be identified. In general, measurements and model data combined together give the best possible picture.
In the example above, the annual mean of measurements at the site were
16 µg/m3 for PM2.5 and 23 µg/m3 of PM10.
At the same location, Defra's model background map diagnosed an annual average PM2.5 concentration of
14.6 µg/m3, slightly lower than the measurements for the same period. This suggests that in this case, the indicator 3.01 slightly understates the local problem, though not by a large margin.
## Identify Higher Risk Locations Using Existing Aqmas
Areas that have an Air Quality Management Area (AQMA) designation are likely to be higher risk locations, as the pollution levels at which an AQMA is declared are well above the level at which health effects are observed for PM, and similar to the levels at which they are observed for NO2. So locations that breach the LAQM limits will usually have air pollutant concentrations that significantly increase risks to health. By contrast, the absence of an AQMA does NOT necessarily mean that air pollution is not a public health issue.
## Example - Runnymede, Surrey
A major contributor to air pollution in Runnymede is the M25 motorway. This has led to AQMAs being declared for NO2 along sections of the M25, as shown in yellow in Map 1.
## Identify Higher Risk Locations Using Maps Of Local Air Pollution From Models
As part of the LAQM process, local authorities often perform modelling of local air pollution to produce maps of its distribution. Most often these are for PM10 or NO2, but in some cases PM2.5
is mapped also. As PM10, PM2.5 and NO2 tend to be highly correlated, maps showing high concentrations of any of these pollutants are likely to be indicative of higher risk locations for public health. Model-generated maps, can be compared with the WHO annual mean objective of 10 µg/m3 for PM2.5, 20 µg/m3
for PM10 and 40 µg/m3 for NO2.
## Identifying Key Sources Of Pollution Using Local Source Apportionment Studies
Source apportionment uses air pollution models to estimate which local activities (e.g. buses, HGVs, cars, industry etc.) are responsible for the air pollution at a particular place. This can identify sources of pollution in several different ways, including
• By the geographic origin of the
pollution e.g. local vs. non-local
• By the sector generating the pollution
e.g. transport vs. industry
• By the sub-sector generating the
pollution e.g. buses vs. HGVs
• By the activity in the source that
generates the pollution e.g. exhaust emissions vs. brake wear & tyre wear of road surfaces.
These can be used to target actions to address specific sources.
much evidence of the health effects of air pollution there is understood to be, by the person conducting the assessment.
## Identifying Other Health Outcomes Using A Health Impact Assessment
Some typical MCDA assessment questions from JSNAs are listed below, along with details of where you can find further information in this resource pack to help you assess air pollution appropriately in your local area.
## Is Air Pollution An Issue That Affects A Significant Proportion Of The Population?
The WHO HRAPIE42 report provides concentration-response functions for PM2.5, PM10, NO2 (and the non-local air pollutant ozone) for many pollutantoutcome pairs. If you have daily or hourly local measured data available for PM2.5, PM10 and NO2, you can use these to estimate other health outcomes than all-cause mortality, such as the acute effects of air pollution on hospital admissions and respiratory disease. This is likely to be a major exercise, and to be scientifically meaningful is likely to require considerable investment of suitably qualified manpower.
## Assessing Air Pollution As Part Of A Joint Strategic Needs Assessment
All populations are exposed to air pollution. If your local area has an AQMA individuals are being exposed to levels of air pollution that are harmful. However the latest epidemiology demonstrates that harm occurs at pollution levels below EU limit values, so if your area doesn't have an AQMA it doesn't mean there isn't a public health issue to consider. Also, consider what proportion of your population is exposed to air pollution levels above the WHO annual guidelines for PM. See 'The new evidence putting air pollution on the public health agenda' in 'Getting to Grips with Air Pollution - a Briefing for Directors of Public Health' for further information.
JSNAs often use Multi-Criteria Decision Analysis (MCDA) methods, such as the modified Portsmouth Scorecard, to provide the evidence for priority setting for public health priorities. JSNAs rely on a comparative assessment of air pollution against other public health issues. Assessment criteria require air pollution to be scored according to how See section 'What is the current understanding of the health outcomes and impacts?' in 'Getting to Grips with Air Pollution - a Briefing for Directors of Public Health' for further information.
## How Does Air Pollution Affect The Health Of Individuals? Which Individuals Are Affected? Is There Evidence That The Scale And Impact Of Air Pollution Can Be Reduced Through Action By Local Authorities?
Air pollution is a contributory cause of cardiovascular disease (CVD) and respiratory diseases and vehicle exhaust is listed as a Class 1 carcinogen. As well as having an impact on mortality, air pollution is increasingly being associated with other conditions.
Local authorities can take costeffective action to reduce emissions, to reduce the concentrations of air pollution, and to reduce individuals exposure to air pollution.
See section 'What is the current understanding of the health outcomes and impacts?' in 'Getting to Grips with Air Pollution - a Briefing for Directors of Public Health' for further information.
See section 'The business case for public health action on air pollution' in
'Getting to Grips with Air Pollution - a Briefing for Directors of Public Health'
and case studies throughout this resource pack for further information.
## Does Air Pollution Contribute To Inequalities In Health And Wellbeing?
Air quality is often worse in areas of higher deprivation, i.e. in areas that have other poor health outcomes. This is partly due to geography, as in many localities deprived wards are near emission sources such as busy roads. However, there is evidence that the elderly, children and those with cardiovascular and/or respiratory disease are more susceptible to the harm from air pollution.
## What To Do Next?
Having correctly assessed the scale and location of any local problems, you can then go on to help set strategy or develop actions or communications on the local problem.
Briefings:
- Getting to grips with air pollution - a
Briefing for Directors of Public Health
- Air Pollution: an emerging public
health issue - a Briefing for Elected Members
This guide is part of a resource pack for Public Health teams. The resource comprises two briefings, one for elected members and one for Directors of Public Health as well as three short guides to help Directors of Public Health and their teams to take action.
Guides:
- Communicating with the Public during
Air Pollution Episodes
- Communicating with the Public on the
long-term impacts of Air Pollution
- Engaging Local Decision Makers
## 3. Engaging Local Decisionmakers About Air Pollution
| Introduction | 54 |
|---------------------------------------------------------------------|------|
| Is there evidence that the scale and impact of air pollution can be | |
| reduced through action by local authorities? | 55 |
| Case study | 55 |
| Making the case for action | 60 |
| Explaining contemporary air pollution | 60 |
| Air pollution and local priorities | 63 |
| Active travel | 63 |
| Health inequalities | 64 |
| Self-management and integrated care | 64 |
| Sustainability | 64 |
| Growth and regeneration | 65 |
| Localism and community engagement | 65 |
| Reasons and emotions | 66 |
| Where can I get more information? | 67 |
## Introduction
This guide supports a briefing produced for Directors of Public Health - 'Getting to grips with air pollution - the latest evidence and techniques.'
Every Director of Public Health will want to ensure that local air pollution is appropriately assessed and prioritised (for more information see the accompanying guide "Understanding air pollution in your area"). What action you take next, however, will depend on your assessment of the scale of the problem. In areas with significant air pollution, Directors of Public Health can play a critical leadership role in making air pollution a strategic priority for senior local decision makers with shared goals and purposeful, co-ordinated action across local government and local health services, working closely with the community. Directors of Public Health can promote the active scrutiny of local policies for their impact on air quality and galvanise action across local government on local pollution hotspots.
Strategic focus
You can make reducing air pollution a local priority and get agreement for goals and programmes for improving air quality from senior local decision makers
Championing action
You can bring senior decision makers and the public together to devise effective solutions for local problems
Scrutiny
You can encourage the scrutiny of local authority policies for their impacts on air pollution
Recognising air quality co-benefits
You can celebrate things you, your local partners and the public are already doing to improve air quality
Informing
You can educate the local authority, Clinical Commissioning Group (CCG) and the public about the local issues and possible
solutions
Assessing
You can lead the assessment of the local air pollution public health risks and possible interventions
# Is There Evidence That The Scale And Impact Of Air Pollution Can Be Reduced Through Action By Local Authorities?
Whatever level of involvement you judge appropriate in your local area, action to reduce the local health impacts of air pollution will require co-ordinated effort by multiple partners across the Council, as in the following Case Study.
## Case Study: City Of London Health & Wellbeing Board Strategic Review
Recognising the new strategic role that public health officials can play in tackling air pollution, the City's environmental heath team decided to engage their Health and Wellbeing Board (H&WB). To prepare for this, they commissioned a scientific review of how air pollution affects public health in the City, and a review of the policies the H&WB would have powers to affect. The scientific review43 gathered together the latest evidence on air pollution to determine the severity of the problem for the City. The policy review drew together the air quality elements embedded in the City's strategy documents, including public health, urban realm, transport, development and planning. It also examined how air pollution could affect local area enhancement strategies and other smaller scale plans, such as for gyratories. Taken together, these were developed into a set of strategic recommendations to the H&WB for how they could improve air quality in the City, along the following key themes:
• Ensuring their Joint Strategic Needs Assessment reflects the severity of the
local air pollution problem;
• Ensuring air pollution impacts are considered in all transport planning in dealing
with neighbouring transport authorities;
• Reinforcing planning policies to minimise pollution from new developments and
keeping them up-to-date with best practice;
• Improving the urban realm to minimise exposure to pollution and - where
possible - emissions and concentrations;
These were presented to the H&WB and accepted. The strategies were then converted to actionable plans through a series of workshops with officers from all departments and subsequent policy analysis.
On the following pages key stakeholders that you may need to engage and work with are listed along with the main ways in which they can play a role. These lie in several different domains of activity including:
• Members and officers in the Local Authority
• Officers, practitioners and service providers in the local Health Sector • The wider community, including the general public, vulnerable groups and the
local media.
While details vary between local authorities, the checklist also suggests the role each partner may typically play in tackling air pollution.
| Stakeholders | Roles |
|------------------------------------------------------------|------------------------------------------------------------|
| Local Authority | |
| Local authority chief | |
| executive/other | |
| directors | |
| Recognise the importance of air quality and the role that | |
| the local authority could play as an employer, through | |
| the services it commissions and delivers, its public | |
| health role, regulatory powers, community leadership | |
| and well-being power | |
| Elected officials | Represent their residents if they raise concerns, find out |
| about local pollution hotspots, raise the issue with the | |
| HWBB, encourage overview and scrutiny across the | |
| range of council strategies, consider the issues as part | |
| of local planning decisions, and ensure the council is | |
| encouraging others to act and informing the public | |
| Ensure planning applications always consider the health | |
| impacts of air pollution | |
| Planning policy | |
| & control | |
| Ensure local facilities and services are easily accessible | |
| by low-pollution means and promote ways of accessing | |
| them without polluting. Encourage installation of electric | |
| vehicle charging points and cleaner building heating | |
| wherever possible. | |
| Use development management policies and section | |
| 106 agreements for individual developments to mitigate | |
| against particulate matter generated from construction | |
| and demolition | |
Ensure transport strategies encourage active travel and other low or zero pollution modes
Local transport authorities, transport planners
Recognise that reducing congestion also reduces air pollution
Street management
& urban realm
Ensure that public squares and parks are designed and managed in such a way to ensure that those that use them are not exposed to high levels of pollution Provide cyclists and pedestrians with routes that are safe and clearly signed to encourage their use
Environmental Health Team (s)/ Environmental Protection Team (s)
Support the Council's Environmental Protection (EP) or Environmental Health (EH) team(s) in the work they do to reduce air pollution through a local Air Quality Action
Plan, clear communication about and enforcement of Smoke Control Areas (SCAs) and the regulation and permitting of industrial activities. Work with the expertise within your EH team(s) to identify new ways of tackling air pollution and reducing exposure to emissions Share health outcomes data that will support the justification of the EH team(s) for action(s) that will reduce the harm caused by air pollution
Communications teams
Support the Council's Air Quality Managers in the EH team(s) and Public Health teams to build understanding of the issues
Local Authority
Health & Wellbeing Board
Carefully consider the scale of air pollution and identify areas for action, using the latest evidence and information about effective actions Encourage action across the members of the board Consider the co-benefits of measures to improve air pollution Celebrate improvements in air quality
NHS England local area teams responsible for commissioning primary care services
When commissioning primary care services to prevent or treat conditions such as cardiovascular and respiratory disease, ensure advice on exposure to air pollution is incorporated into the care pathway,
as recommended to clinicians by the American Heart Association Identify groups of the population who are disproportionately affected and develop strategies with them to address their needs Understand the health impacts of air pollution, identify individuals who might be affected and use professional judgement to inform these individuals
Primary care practitioners - exercise professionals, GPs, health trainers, health visitors, midwives, pharmacists and practice nurses
Understand how air pollution could contribute to NHS Outcomes Framework indicators
Clinical commissioning group
Also, how improving air quality could support the duty to address health inequalities Champion action on air pollution by public health and local government through the Joint Health and Wellbeing Strategy Build understanding of the impact of local air pollution on emergency admissions Ensure air pollution advice is incorporated into how community health services are commissioned e.g. health visiting and school nursing, community pharmacy, chronic disease management Raise awareness of the issues with primary care practitioners Ensure air pollution issues are built into local long-term disease management strategies
NHS providers
Encourage active travel and reduce emissions from their fleets and energy generation on site (e.g. reducing the use of diesel generators or biomass, and if these are used putting in place appropriate chimneys or other
emission abatement measures)
Wider Community
Industry
Work together to reduce the impact of air pollution created by economic development
Voluntary sector and community institutions
Get involved in community action to reduce air pollution and help raise awareness of local people and in particular vulnerable groups
Local people
Find out about local air pollution levels and measures to reduce their exposure Let their councillor know about concerns and get involved in community activities to make improvements
Vulnerable groups
Talk to their doctor or health professional about any concerns they may have and understand how they can reduce their exposure on high pollution days Utilise national and localised air pollution forecast services to minimise exposure and manage symptoms
Local media
Report on action being taken to improve air quality and encourage awareness of information
## Making The Case For Action Explaining Contemporary Air Pollution
The phrase 'air pollution' can still bring to mind for some people the smogs of the early twentieth century, or of modern-day Beijing. It is important to give people the facts about contemporary air pollution in the UK, and correct some common myths.
Myth Air pollution is not a
significant public health problem in the UK
and/or exposed. Exposure to air pollution contributes to the development of cardiovascular disease (including heart disease and stroke), and lung cancer, as well as exacerbating respiratory diseases such as asthma. In the short term, individuals with cardiovascular disease (as well as those with respiratory conditions) may be affected by episodes of high pollution, with increased risk of becoming ill and needing treatment. Adults and children with asthma may notice that they need to increase their use of inhaled reliever medication on days when levels of air pollution are higher than average. Follow your doctor's usual advice about exercising and managing your condition.
Myth There is nothing people can
Fact
In the UK, the Committee on the
Medical Effects of Air Pollutants (COMEAP) estimated the burden of particulate air pollution in the UK in 2008 to be equivalent to nearly 29,000 deaths and an associated loss of population life of 340,000 life years lost.
## Do To Protect Themselves From Air Pollution
Myth Air pollution just causes
short-term symptoms for people with respiratory conditions
Fact
People can take steps to reduce
their exposure - for instance, by choosing to walk or cycle by routes that avoid pollution hotspots. Exposure to air pollution inside vehicles can be as high, or higher, particularly
Fact
Everyone can be affected by
air pollution - although it is true that some are more vulnerable
Myth We don't have an Air Quality
Management Area (AQMA), so we don't have a problem
Fact
AQMAs are very likely to be air
pollution public health hotspots but health impacts will not be confined to designated AQMAs. There is no safe level
for particulate matter (PM10 and
PM2.5), while NO2 is associated
with adverse health effects at concentrations at and below the legal limits. The World Health Organization proposes limit values that are lower than current European limit and target
values for PM10 and PM2.5.
Myth We are already tackling air
in slow moving traffic. Therefore walking or cycling is a good way to reduce exposure and gain wider benefits. People can choose a lower emission vehicle, such as an electric vehicle, when they change vehicles. Reducing the use of wood and coal, switching to a cleaner modern wood stove, and burning quality wood or smokeless fuels on open fires instead of wet/green wood or house coal will reduce exposure to particulate matter. Vulnerable individuals can also take steps to manage symptoms in consultation with their GP, for example by managing their medication.
pollution with our carbon reduction strategy
Myth Air quality is bad in cities and
good in the countryside
Fact
The environmental problems
associated with CO2 emissions
are completely different from the health problems associated with contemporary air pollution. Some measures to reduce
CO2 emissions, such as active
travel schemes, will also have a positive effect on air pollution. But others - such as the use of diesel, biodiesel, Combined Heat and Power and biofuels - if not carefully controlled, often create air pollution problems.
Myth Air pollution is primarily
caused by road vehicles
Fact
The amount of air pollution can
vary over very small distances and does not just come from transport. For example open fires emit dangerous particles of soot and dust (particulates). On a broad pavement the amount of pollution found at the kerbside of a busy road is typically significantly higher than the amount of pollution found on the far side of the pavement away from the road. Also, as air pollution is so localised, many rural areas have pollution 'hotspots' around busy road junctions or industrial sources.
Fact
Transport is an important source
of pollution, especially in urban hotspots around roads. But there are many pollutants and many
other sources including biomass, domestic wood burning, agriculture and industry.
Myth Air pollution is an inevitable
by-product of economic
growth
Fact
Tackling air pollution can be
a key element of growth and regeneration policies. Town centres can benefit in many different ways from measures that reduce air pollution and increase their appeal as places to visit or do business.
Myth Tackling air pollution will
require fundamental - and very expensive - changes to our modern lifestyle
Fact
There are simple and costeffective things we can do now to improve air quality - even if we can't completely eliminate air pollution. Any reduction in levels of pollutants such as particulate matter will lead to improvements in public health.
## Air Pollution And Local Priorities
Tackling air pollution may not be in itself a strategic priority in your area, either for the Public Health team or for the local authority as a whole. Nevertheless, actions to address the health impacts of air pollution can play a critical role in supporting other local priorities.
## Active Travel
to make active travel more attractive as an option. Getting people cycling and walking can also in itself help to reduce air pollution. Walking and cycling are good for our physical and mental health. Switching more journeys to active travel will improve health, quality of life and the environment, and local productivity, while at the same time reducing costs to the public purse. These are substantial 'winwins' that benefit individual people and the community as a whole45.
Public health initiatives such as PHE's Healthy People, Healthy Places44
encourage action by public health teams to increase cycling and walking to tackle obesity. People may be discouraged from cycling and walking in areas of high air pollution (even though the benefits of the physical activity in fact outweigh the risks of exposure by an order of magnitude). Tackling air pollution, or creating routes that avoid pollution hotspots, can help
## Health Inequalities
exercise, on days when pollution is particularly high; while walking maps can enable exercise to be taken away from or minimise exposure to pollution hotspots.
## Sustainability
The greatest burden of air pollution often falls on the most deprived communities and the most vulnerable individuals. It is often (though not always) the most deprived communities that live closest to the busiest roads, therefore increasing their exposure to air pollution.
Moreover, the Marmot Review46 notes that individuals in deprived areas experience more adverse health effects at the same level of exposure compared to those from less deprived areas. The Marmot Review also highlights the role that action to tackle air pollution can play in addressing health inequalities. For example, although the London Congestion Charge was a populationwide intervention, it is areas of highest deprivation within the charging zone that have seen the biggest reductions in levels of NO2 and PM10.
## Self-Management And Integrated Care
Many local authorities have produced climate change strategies or CO2
emission reduction plans, but the co-benefits for air pollution and health are rarely identified. Nor are the risks:
not all interventions to reduce CO2
emissions have a positive impact on air pollution and health. The use of diesel cars rose in the early 2000s. This was primarily due to technological advances in performance, their fuel efficiency and through the promotion of low CO2
emissions vehicles whether they be petrol or diesel. However, diesel fuel produces four more times NO2 and up to 30 times more PM10 than petrol.
It is now known that both NO2 and PM are damaging to people's health. Choosing a petrol vehicle over a diesel vehicle can significantly reduce the amount of harmful air pollution being emitted. Choosing a hybrid or electric vehicle would reduce harmful pollution emissions even further. Similarly the location of combined heat and power (CHP) plants is important when considering impacts on air quality that might not be taken into consideration if considered purely as a CO2 reduction measure. It is crucial then that sustainability plans have Individuals with cardiovascular disease or respiratory conditions, such as chronic obstructive pulmonary disease (COPD), can be helped to manage the impact of air pollution on their health in a number of ways. Air pollution information services and Defra's daily air quality forecasts47 enable such individuals to take mitigating action, such as increasing the use of their reliever inhaler medication (if appropriate48) or reducing appropriate consideration to air quality and public health.
## Growth And Regeneration
People sometimes imagine, mistakenly, that air pollution is a necessary consequence of economic growth. In fact, tackling air pollution can be a key element of growth and regeneration policies. Local businesses and town centres can benefit in many different ways from measures that reduce air pollution. For example, pedestrianisation and creating green spaces can improve a town centre's appeal as a place to visit or do business; while taking action to reduce traffic emissions can also help save money on cleaning buildings.
## Localism And Community Engagement
Many local authorities are looking at ways of involving local communities, neighbourhood groups and parish councils in decision-making processes as part of the localism agenda. Localised air pollution hotspots are a potential focal point for measures to encourage community engagement and ownership. For example, local community groups or schools can be equipped to measure NO2 levels in their area using diffusion tubes.
## Reasons And Emotions
Even the most rational decisionmakers are human. Local decisions about whether air pollution is a priority should be based solely on rational consideration of the evidence; but emotions can play a vital role in ensuring that the evidence gets properly considered in the first place. A short guide is available in this resource presenting six principles for communicating with the public about air pollution.
In the final analysis, however, we are all members of the public and these principles are also applicable to communication with local decision-makers.
## Where Can I Get More Information?
Briefings:
• Getting to grips with air pollution - a
Briefing for Directors of Public Health
• Air Pollution: a public health issue - a
Briefing for Elected Members
This guide is part of a resource pack for Public Health teams. The resource comprises two briefings, one for elected members and one for Directors of Public Health as well as three short guides to help Directors of Public Health and their teams to take action.
Guides:
• Understanding air pollution in your
area
• Communicating with the Public during
Air Pollution Episodes
• Communicating with the Public on the
long-term impacts of Air Pollution
## 4. Communicating With The Public During Air Pollution Episodes
Introduction
70
Short-term air pollution episodes - background
71
Health messages for short–term air pollution episodes
74
Where can I get more information?
76
## Introduction
This guide is part of a resource pack for Public Health teams and supports a briefing produced for Directors of Public Health - 'Getting to grips with air pollution - the latest evidence and techniques.'
Despite improvements in air quality in the UK over recent decades, current levels of air pollution continue to have a significant effect on our health. Both long and short-term exposure to air pollution are known to adversely affect health and air pollution is still the largest environmental risk linked to deaths every year. Short-term exposure (over hours or days) to elevated levels of air pollution can cause a range of effects including exacerbation of asthma, effects on lung function, increases in hospital admissions and mortality. It is important to understand the associated short-term and long-term impacts of air pollution on health in order to communicate balanced and accurate public health messages. The long term impacts are explained in the accompanying guide to this one 'Communicating with the public on the long term impacts of air pollution'.
## Short-Term Air Pollution Episodes - Background
At Very High levels of air pollution, some people amongst the general population may experience a sore or dry throat, sore eyes or, in some cases, a tickly cough even in healthy individuals.
Short–term ambient air pollution episodes routinely occur across the UK, particularly during spring and summer but also during autumn and winter. Short-term pollution episodes are associated with a number of adverse health effects including exacerbation of asthma, effects on lung function, increased daily mortality and admissions to hospital.
Short-term increases in levels of air pollutants have been shown to increase daily mortality rates. On average, mortality is a little higher on days of higher air pollution, or days immediately afterwards.
Directors of Public Health and their teams have a part to play in supporting and disseminating local health messages to the public during ambient air pollution episodes.
Clear public health messages enable the public to reduce their personal exposure by avoiding areas of higher pollution; this is beneficial for the general population and those with existing health conditions. Examples of successful implementation of health communication include air quality services such as airTEXT, airALERT and 'Know and Respond'. All of these services provide free information about the quality of outdoor air they breathe. The consideration of measures that foster awareness of the effects of air pollution in the local population can enable local residents to make informed decisions on how to reduce their exposure and if required, to better manage their health conditions49.
The evidence suggests that when levels of air pollutants are high, adults suffering from cardio-vascular disease, and adults and children with lung conditions, are at increased risk of showing symptoms and needing treatment. Only a minority of those who suffer from these conditions are likely to be affected but it is not possible to predict in advance who these people will be. Some people are aware that air pollution affects their health: adults and children with asthma may notice that they need to increase their use of inhaled reliever medication on days when levels of ambient air pollution are high.
Air pollution is forecast by the Met Office and presented using the Daily Air Quality Index (DAQI). Up to 5 day air pollution forecasts50 can be found on Defra's UK Air website51 along with the latest measured and summary air quality data52. Within the DAQI, air pollution is given a value from 1-10 with 1 being the lowest pollutant concentrations and 10 being the highest. These values are banded into Low (1 - 3), Moderate (4 - 6), High (7 - 9) and Very High (10)53.
## Index Bands
The DAQI was developed by the Committee on the Medical Effects of Air Pollutants54
and includes health advice for those more likely to be affected by short-term increases in pollution, in particular those with heart and lung problems. Broadly, the following public health advice for an air pollution banding is the same whatever the pollutant and is publically available on the UK-Air website55.
Air Pollution Level (DAQI score)
Accompanying health messages for at-risk individuals*
Low (DAQI 1-3)
Enjoy your usual outdoor
activities.
The 'Low' bands indicate air pollution levels where it is unlikely that anyone will suffer any adverse effects of short-term exposure, including people with lung or heart conditions who may be more susceptible to the effects of air pollution
Moderate (DAQI 4-6
Adults and children with lung
problems, and adults with heart
problems, who experience symptoms, should consider reducing strenuous physical
activity, particularly outdoors.
The 'Moderate' band
represents levels of air pollutants at which there are likely to be small effects for susceptible people only
High (DAQI 7-9)
Values for the 'High' bands are associated with significant effects in susceptible people
Adults and children with lung problems, and adults with
heart problems, should **reduce**
strenuous physical exertion, particularly outdoors, and particularly if they experience symptoms. People with asthma may find they need to use their reliever inhaler more often. Older
people should also reduce
physical exertion.
Very High (DAQI 10)
Adults and children with lung problems, adults with heart problems, and older people,
should **avoid** strenuous physical
activity. People with asthma may find they need to use their reliever inhaler more often.
At 'Very High' levels of air pollution even healthy individuals may experience adverse effects of short-term exposure
*Adults and children with heart or lung problems are at greater risk of symptoms. They should follow their doctor's usual advice about exercising and managing their condition. It is possible that very sensitive individuals may experience health effects even on Low air pollution days. Anyone experiencing symptoms should follow the guidance provided above.
Accompanying health messages for the general population
Enjoy your usual
outdoor activities.
Enjoy your usual
outdoor activities. Anyone experiencing discomfort such as sore eyes, cough or sore
throat should consider reducing activity,
particularly outdoors.
Reduce physical
exertion, particularly outdoors, especially if you experience symptoms such as cough or sore throat.
## Health Messages For Short–Term Air Pollution Episodes
We are all exposed to low levels of ambient air pollution all the time but short-term episodes of increased air pollution can have pronounced effects on some particularly the old, the young and those with existing heart and lung conditions. If an ambient air pollution episode is on-going/forecast it is important to know what the impact is in your area and, if appropriate, tailor your communication plans around it. People should not fear going outdoors, but some people may experience some noticeable symptoms. The following messages are aligned to the DAQI advice and appropriate for episodes of High and Very High air pollution (which are the levels when action 'should' be taken, according to the DAQI):
## Messages For High Air Pollution Episodes
While most people will not On occasions where levels
be affected by short-term peaks
in ambient air pollution, some
individuals, such as those with
existing heart or lung conditions,
may experience increased
symptoms.
are high, adults and children with
lung problems, and adults with
heart problems, should reduce
strenuous physical exertion,
particularly outdoors, and
particularly if they experience
symptoms. People with asthma
may find they need to use their
reliever inhaler more often.
Older people should also reduce
physical exertion. Anyone
experiencing discomfort such as
sore eyes, cough or sore throat
should consider reducing activity,
particularly outdoors.
See http://uk-air.defra.gov.uk/latest/
for the latest UK air pollution data
and maps.
## Messages For Very High Air Pollution Episodes
Some parts of the country have recorded / are forecast to have very high levels of ambient air pollution. People in those areas should reduce physical exertion, particularly when outdoors and especially if they experience symptoms such as a cough or sore throat. Adults and children with lung problems, adults with heart problems, and older people, in areas where very high levels are recorded should avoid strenuous physical activity. People with asthma may find they need to use their reliever inhaler more often.
See http://uk-air.defra.gov.uk/latest/ for the latest UK air pollution data and maps.
See *'The new evidence putting air pollution on the public health agenda'* in
'Getting to Grips with Air Pollution - a Briefing for Directors of Public Health' for further information.
## Where Can I Get More Information?
This guide is part of a resource pack for Public Health teams. The resource comprises two briefings for elected members and Directors of Public Health as well as three short guides to help Directors of Public Health and their teams to take action.
Briefings:
• Getting to grips with air pollution - a
Briefing for Directors of Public Health
• Air Pollution: an emerging public
health issue - a Briefing for Elected Members
Guides:
• Engaging local decision makers on air
pollution
• Understanding air pollution in your
area
• Communicating with the public on the
long term impacts of air pollution
## 5. Communicating With The Public On The Long Term Impacts Of Air Pollution
| Introduction | 80 |
|---------------------------------------------------------------------|------|
| Long-term air pollution - background | 82 |
| Explaining long–term air pollution | 82 |
| Risks | 82 |
| Explaining the mortality effect of long term exposure to particulate air pollution 84 | |
| Sources of air pollution | 84 |
| Working together - Everyone can do their bit | 84 |
| Six principles for public communication about air pollution | |
| - conclusions of a workshop | 86 |
| Principle A: Explain what air pollution is | 88 |
| Principle B: Help people understand how they can protect themselves | 89 |
| Principle C: Explain the health impacts | 90 |
| Principle D: Make it local | 91 |
| Principle E: Explain how individuals can make a difference | 92 |
| Principle F: Demonstrate leadership and empower communities | 93 |
| Case Study | 94 |
| Engaging the media | 95 |
| Working with your in-house communications team | 96 |
| Where can I get more information? | 97 |
## Introduction
This guide is part of a resource pack for Public Health teams and supports a briefing produced for Directors of Public Health - 'Getting to grips with air pollution - the latest evidence and techniques.'
about the sources and consequences of air pollution in their local areas.
Defra has commissioned focus group research to test the health messaging in this document with members of the public. The messages will be initially tested with vulnerable groups and then non-vulnerable groups. Defra will use the results of the focus groups to produce an insight pack which will help to inform future messaging in the toolkit.
Participants in research workshops carried out in development of this resource were clear that they wanted and expected to be informed about the health impacts of air pollution. Members of the public can play a critical role in realising opportunities for health improvement, whether by reducing their personal exposure to air pollution, reducing their personal contribution to air pollution, or supporting and advocating actions to tackle air pollution locally. As with so many public health issues, care is needed around how information is communicated. Air pollution - including the main pollutants of particulate matter
(PM), nitrogen dioxide (NO2) and ozone
(O3) - has many of the characteristics that make a threat to health more worrying - so-called 'fright factors' - creating a real risk of counter-productive reactions if communication is poorly handled. With air pollution high on the national and local media agenda, it is important that local communities have access to balanced and accurate information
## Fright Factors: Risks Are Generally More Worrying, And Less Acceptable, If Perceived56:
• to be **involuntary** (e.g. exposure to pollution) rather than voluntary
(e.g. dangerous sports or smoking)
• as **inequitably distributed** (some benefit while others suffer the
consequences)
• as **inescapable** even by taking personal precautions • to arise from an **unfamiliar or novel** source
• to result from **man-made, rather than natural** sources • to cause **hidden and irreversible** damage, e.g. through onset of illness
many years after exposure
• to pose some particular danger to **small children or pregnant women** or
more generally to fertility issues
• to threaten a form of death (or illness/injury) arousing particular dread • to damage **identifiable rather than anonymous victims** • **to be poorly understood** by science • as subject to **contradictory statements** from responsible sources
(or, even worse, from the same source)
with much greater public health risk than was understood even a decade ago, and more associated adverse health effects are emerging.
Despite improvements in air quality in the UK over recent decades, current levels of air pollution continue to have a significant effect on our health. Both long and shortterm exposure to air pollution is known to adversely affect health and air pollution is still the largest environmental risk linked to deaths every year.
It is important to understand the long-term and short term impacts of air pollution on health in order to communicate balanced and accurate public health messages. The short term impacts are explained in the accompanying guide to this one
'Communicating with the public during air pollution episodes'.
Studies have shown that long-term exposure **(over several years)** reduces life-expectancy, mainly due to increased risk of mortality from cardiovascular and respiratory causes and from lung cancer. Air pollution is now associated
## Long-Term Air Pollution - Background
There is strong scientific evidence linking air pollution with increased mortality and ill health. Health effects associated with air pollution include exacerbation of asthma, effects on lung function and increases in respiratory and cardiovascular hospital admissions. There is evidence that older people, children and those with pre-existing illness are more vulnerable to the adverse health effects of air pollution.56
Long-term exposure (over several years) to elevated concentrations of particulate matter (PM2.5) at levels typically experienced in urban areas reduces life expectancy between several months and a few years. Air pollution acts as a contributory factor - along with many others - in affecting mortality with the major effect on deaths from cardiovascular disease (CVD) and to a lesser extent lung cancer and other respiratory diseases.
For example, long-term exposure to air pollution impairs lung development in children. Reducing exposure to air pollution minimises this effect, thereby allowing more young people to achieve their maximum lung function growth potential57.
## Explaining Long–Term Air Pollution Risks
Note: mortality numbers for each local
authority have been calculated in the
PHE report: Estimating Local Mortality
Burdens Associated with Particulate
Air Pollution59.
Nearly 5% of 'deaths' in England are
attributable to long-term exposure to
particulate air pollution, according to the
latest data published in the Public Health
Outcomes Framework (PHOF)58.
The Committee on the Medical Effects
of Air Pollutants (COMEAP) published its
assessment of the effects on mortality of
long-term exposure to air pollution in the
UK in December 2010.
This estimate makes air pollution the largest environmental risk linked to deaths every year. It is estimated that long-term exposure to particulate air pollution has 'an effect equivalent to' around 25,000 deaths a year in England (29,000 in UK).
But action can lead to improvements. If the annual average concentration of particulate matter (measured as PM2.5)
were to be reduced by just 1 microgram per cubic metre, there would be an increase in life expectancy from birth of about 20 days.
## Explaining The Mortality Effect Of Long Term Exposure To Particulate Air Pollution
various sources, such as road transport, industry, agriculture and domestic fires, were still having a considerable effect on health. This type of air pollution is so small that it can't be seen by the naked eye, but can get into our respiratory system. Other air pollutants, such as the gases nitrogen dioxide, sulphur dioxide and ozone, can also affect our health. Nitrogen dioxide and sulphur dioxide are produced by burning fuel, whilst ozone is formed by chemical reactions in the air.
It is important to understand that long-term exposure to air pollution is not thought to be the sole cause of deaths. Rather, it is considered to be a contributory factor.
## Working Together - Everyone Can Do Their Bit
There is evidence that outdoor air pollution causes lung cancer. Diesel engine exhaust, outdoor air pollution and particulate matter have all been classified by the World Health Organization as carcinogenic to humans.60,61
National and local government can help reduce air pollution by promoting a shift from cars to walking and cycling.
Air pollution affects our daily quality of life as it can exacerbate lung conditions such as Chronic Obstructive Pulmonary Disease (COPD) and asthma. People with COPD have difficulties breathing, primarily due to the narrowing of their airways.
In addition, they can promote integrated public transport systems to help reduce congestion; the introduction of Clean Air Zones and parking restrictions; ensuring that new developments reduce the dust and other emissions produced during Additionally, air pollution can reduce lung development in children, which may increase symptoms in children who develop conditions such as asthma.
## Sources Of Air Pollution
In the 1990s it was felt that air pollution was no longer a major health issue in the United Kingdom. Legislation had made the great smogs of the 1950s a thing of the past. But evidence started to emerge that small particles emitted to the air from construction and put in place cleaner infrastructure such as electric charging points and lower emission building heating; and actively enforcing existing regulatory measures such as smoke control areas. Businesses also have an important role to play by introducing incentives for staff to walk or cycle to work, take up car sharing or work from home. We can all do our bit to improve air quality. For example, by walking or cycling to work and school we can improve our health through exercise, limit air pollution and reduce carbon dioxide emissions which are responsible for climate change.
We can choose lower emission fuels and heating appliances for our homes, like gas central heating, or modern wood stoves rather than open fires, smokeless coal rather than house coal or dry high quality wood rather than green wood. We can also move to lower emission vehicles. Everyone will need to take some action if we are to significantly improve air quality. While the impact of the individual household or business may be small, the combined impact of actions taken by national and local government, large and small businesses and individuals could be great.
## Six Principles For Public Communication About Air Pollution - Conclusions Of A Workshop
As part of the development of the briefing and guides, qualitative research62
was undertaken with members of the public to understand more about their existing understanding of the nature, causes, and consequences of air pollution, their interpretation of and responses to new information about air pollution, and the implications for public communication about air pollution. Six principles were identified:
A. Explain what air pollution is: Use information about **what particulate**
matter is made of and **where it goes** to get the broader topic of air pollution
onto the agenda - not statistics about health consequences.
B. Help people understand how they can protect themselves: Don't raise
public concern about air pollution unless you can at the same time satisfy people's desire to do something to reduce their exposure.
C. Explain the health impacts: Focus on w**hat is known for certain** about
the health consequences of air pollution.
D. Make it local: Talk about air pollution as a problem linked to specific
places - and not as a general problem of the atmosphere.
E. Explain how individuals can make a difference: Keep the focus of
communications on **actions people can take** - not long-term solutions.
F.
Demonstrate leadership and empower communities, instead of just
expecting individuals to change their behaviour.
These six principles - discussed in more depth below - reflect specific aspects of air pollution and its health impacts. The accompanying report covers the findings of these workshops in much more detail, including examples of how participants responded.63
Of course, public communication about air pollution should also follow generic best practice for communicating with the public, for instance:
• **Listen and empathise:** take
emotions seriously, and remember that logic and evidence alone have limited impact when a topic prompts
strong emotional reactions, as air pollution does.
• **Focus:** be clear about your situation,
identify risks, set tight objectives
around specific audiences, and don't confuse activity with results.
• **Exchange:** build relationships and
involvement, because communication
is a two-way process in which both sides have something to give and to learn.
• **Sustain:** build trust by ensuring
communication is regular and consistent.
• **Honesty:** be open about what is
known and any uncertainties.
• **Connect:** recognise you can't control
communication, and that people talk to people.
It is particularly important to build an on-going two-way dialogue for persistent environmental risks.
## Principle A: Explain What Air Pollution Is
Use information about **what particulate matter** is made of and where it goes to get the broader topic of air pollution onto the agenda - not statistics about health consequences.
Insight
Hearing what particulate matter is made of prompts powerful emotional reactions of disgust. Hearing that the smallest nanoparticles can pass into one's body links this disgust to everyday conceptions of 'miasma' - bad air with unknown long-term impacts on one's health. These emotional reactions can help to get air pollution onto the agenda in the first place. They provide a 'hook' for powerful communications.
Only once air pollution is on the agenda do statistics about health consequences have a vital role to play in establishing rationally the scale of the problem and the need for action.
• Particulate matter is a type of air pollution made up of microscopic
Example messages
particles. The smallest are also called nanoparticles.
• You can neither see nor smell particulate matter. • Particulate matter is made of lots of different sorts of things including:
vehicle exhausts; smoke or soot from fires; particles of metal from engine chambers; bits worn from brake pads; bitumen, asphalt or concrete dust work from the road; biological and other waste ground up on the road; and it's formed by reactions between other pollution in the air too.
• Particles can land and then be blown back up into the air: each time this
happens they can pick up bits of whatever they landed on.
• Larger (but still microscopic particles) stick in our throat and windpipe;
smaller particles go down into our lungs; the smallest nanoparticles pass into our blood, transported around the body and may be found in organs of the body.
Watch-outs
Disgust is a powerful emotion, and people can easily switch off.
## Principle B: Help People Understand How They Can Protect Themselves
Don't raise public concern about air pollution unless you can at the same time satisfy people's desire to do something to reduce their exposure.
Insight
People's instinctive response to hearing about what particulate matter is made of and where it goes is to look for ways to protect themselves. For instance, they wonder if wearing a mask could help. (Unfortunately it doesn't.)
If this 'protection reflex' is not satisfied, then people may simply switch off. If there is nothing you can do to protect yourself from a threat, they reason, why waste time worrying about it? Raising concern without satisfying the 'protection reflex' could actually end up making it harder to engage people on air pollution issues. Because people imagine they are safer in their cars, there's also a risk that people try to 'protect' themselves by driving more.
• Particulate matter levels vary over very short distances: in general, the
Example messages
closer you are to the sources, the more you breathe in.
• If you're walking or cycling, you can easily avoid the worst pollution by
travelling along quieter streets.
• If you are burning wood on an open fire make sure it's well seasoned
(less than 20% moisture content) quality fuel as this will reduce the particulate emissions, or use a smokeless fuel.
• The health benefits of physical activity (walking or cycling) outweigh the
risks from air pollution. If you're in a vehicle, you just get the risks with none of the benefits.
Also provide local information about air pollution hotspots, times of high pollution, and practical ways for pedestrians and cyclists to avoid these. This information is best provided in visual (map) form.
Watch-outs
People's immediate responses to hearing about air pollution are focused on not breathing it in (e.g. wearing a mask). People don't typically think that choosing a different route can reduce exposure to pollution without being prompted.
## Principle C: Explain The Health Impacts
Focus on **what is known for certain** about the health consequences of air pollution.
Insight
Faced by a new threat, and uncertain how best to protect themselves from it, people look for ways to rationalise the problem away - for example, by questioning the motivations of the messenger. Scientific uncertainty can reinforce this questioning - especially provides an opportunity to do this - especially in a context when people are used to being bombarded by the media with dubious statistics about health.
• Particulates are now known to contribute to heart disease and lung
Example messages
cancer.
• Many years of life are lost each year in the UK as a result of air pollution. • Air pollution can affect some individuals who are more vulnerable to harm
including those with heart and lung disease, children, the elderly.
• People's behaviour can also affect their exposure to air pollution- for
example, people could choose to walk or cycle on routes away from busy roads.
Also provide information to put the scale of the problem locally in context.
Watch-outs
If you don't inform people about the health impacts of air quality, they may ask why you hid this information this information from them when they eventually find out.
## Principle D: Make It Local
Talk about air pollution as a problem **linked to specific places** - and not as a general problem of the atmosphere.
Insight
Once the nature of air pollution and its strong links to road transportation are explained, there is a tendency for people to put the problem in the 'too hard to tackle' category. One possible reason for this is that, superficially, the problem sounds a bit like the ultimate 'too hard to tackle' problem, climate change. That too is associated with road transport. However, if the problem is firmly linked to specific locations - neighbourhoods, streets, junctions or schools - then it becomes possible to start discussing practical measures to improve air quality in those locations.
Arguably, air pollution has more in common with road safety: air pollution 'hotspots' are like road safety 'blackspots'. Linking air pollution to specific places also helps to deal with the 'protection reflex' - see Principle B.
• Air pollution is a local, national and international problem. We all need to
Example messages
do our bit to tackle it.
• There are clear air pollution hotspots, where the problems of air pollution
are at their worst.
Also provide local information about air pollution hotspots, times of high pollution, and practical ways for pedestrians and cyclists to avoid these. This information is best provided in visual (map) form.
Watch-outs
Linking air pollution to specific places obviously raises particular problems for the communities living or working in those places. Helping these communities to take collective action is essential.
## Principle E: Explain How Individuals Can Make A Difference
Keep the focus of communications on **actions people can take**
- not long-term solutions.
Insight
As with Principle D, another reason people start to think air pollution is "too hard to tackle" is they start thinking of what would be necessary to completely eliminate particulate matter - and quickly realise that this would entail a radical transformation of our current lifestyles. They forget that any reduction in levels of particulate matter will lead to an improvement in health outcomes.
For example, people tend to interpret 'cleaner vehicles' as referring to electric cars, and forget that the simple choice of a petrol car rather than a diesel can already make a big difference especially in towns and cities where nitrogen dioxide levels are likely to be highest. People may not know that dry wood rather than wet wood, smokeless fuel rather than house coal, or a modern stove rather than an open fire, can significantly reduce emissions.
• Any reduction in levels of particulate matter will lead to improvements in
Example messages
health benefits
• There are simple and cost-effective things we can do now to improve air
quality.
Also provide simple examples of simple things that could be done locally to improve air quality. Ideally, talk about the simple things you are already doing.
Watch-outs
Talk about longer-term solutions, such as electric vehicles, with great care and only in the right contexts. Debates about what may or not be practical in the long-term can easily distract people from the important things they could be doing now.
## Principle F: Demonstrate Leadership And Empower Communities
Demonstrate leadership and empower communities, instead of just expecting individuals to change their behaviour.
Insight
Many people argue strongly that individuals cannot change their transport behaviour in the absence of larger, systemic changes - affordable transport alternatives, planning decisions which do not assume road transport, more flexible working practices or school timetables, and so forth. They may react defensively to suggestions that they should change their own behaviour in the absence of these larger systemic changes. They may also point to those who could set a better example: polluting buses, local authority fleets, vehicles used by health providers, businesses, etc.
By contrast, communities empowered to understand air pollution in their
local area - for instance, by being equipped to monitor NO2 levels - have
become powerful advocates for local improvement.
Example messages
Demonstrate what key players, including the local authority, are doing to reduce their own contribution to air pollution. Start talking up the air quality co-benefits of measures primarily targeted at other problems. Give local communities control of the agenda, by equipping them with evidence and information about air pollution in their areas.
Watch-outs
Thanks to the way in which issues such as climate change have been presented, people are now primed to assume anyone telling them about a problem linked to road transport is trying to get them out of their cars. There is a risk of defensiveness even when individuals are not being asked to change their behaviour.
## Case Study: Empowering Local Communities- Community Air Quality Groups In Wiltshire
Following a local government reorganisation which saw Wiltshire become a unitary council, eighteen Area Boards were set up across the county to ensure local communities had a say over issues that affect them. The development of the Wiltshire Air Quality Action Plan has enabled area boards to take more ownership of the air pollution 'hotspots' in their areas. 'Community Air Quality Groups' were set up in areas with AQMAs; with elected members, parish councils and members of the public meeting quarterly to decide how to tackle air pollution problems locally. These groups produce their own local action plans and then report back annually to their respective Area Boards on their progress. In Bradford-on-Avon, where locals thought that the local air pollution problem was caused by commuters travelling through the town, the community air quality group decided to find out if this was true. The group commissioned an origin and destination study, a report that found out that over 80% of traffic air pollution in the town was caused by 'locally' generated traffic from residents. This has focused minds on the local nature of the issue and there is growing support for measures that encourage residents to change their behaviour, as well as re-visiting past initiatives such as a one-way system. Maggie Rae, Corporate Director notes: "Community Air Quality Groups have made a real difference in Wiltshire-building support at a local level for interventions to tackle air pollution".64
## Engaging The Media
Media reporting on air pollution can influence public understanding and acceptance of measures. Local media can be helpful in building understanding and support.
However, there is a significant risk that air pollution issues are misreported because the general level of understanding is poor, the science is complex and the measures to address air pollution can be contentious. To effectively engage the media, you need to provide short, simple, credible briefings to journalists on:
• the nature of local air pollution issues
and their effects
• the things that people can do
individually to help themselves
• the steps the local authority has taken
and is taking to address the issues
and how people can get involved
• stories of local people taking action • stories of success (including vox pops
from local people)
• how other organisations are
contributing
Editors like statistics, hard facts, comparisons and images to bring a story to life. Provide the statistics in a simple but credible form, and create images that help visualize what is often seen as an invisible problem. Your media team will be able to advise on making stories newsworthy - for example, the importance of timeliness and human interest.
## Working With Your In-House Communications Team You Can Work Most Effectively With The Communications Team By:
• Informing them about the issues (in
simple terms), your activities and getting their advice
• Highlighting potential reputation risks
as early as possible and discussing how these can be mitigated (e.g. being ready with potential solutions and action to address problems)
• Developing clear messages to help
The communications team of your local authority will be expected to support the agreed priorities of the council and to protect the reputation of the council. They are likely to be stretched and might not have gained additional resources to support the public health agenda when it transferred. The support they will be able to offer will depend on whether air pollution has been identified as a priority and whether air pollution is likely to impact on the reputation of the council.
them explain the local air pollution problems and solutions to the media and other interested stakeholders (e.g. using headlines with supporting proof points)
• Involving them in agreeing objectives
for communications activities at an early stage
• Being available to act as a champion
and spokesperson
• Working together to make the
case for additional resources to support proactive communications e.g. internal business cases or incorporating communications support in applications for external grants
## Where Can I Get More Information?
This guide is part of a resource pack for Public Health teams. The resource comprises two briefings for elected members and Directors of Public Health as well as three further short guides to help Directors of Public Health and their teams to take action.
## Briefings: • Getting To Grips With Air Pollution - A
Briefing for Directors of Public Health
• Air Pollution: a public health issue - a
Briefing for Elected Members
## Guides: • Engaging Local Decision Makers On Air
pollution
• Understanding air pollution in your
area
• Communicating with the public during
air pollution episodes
## 6. Air Pollution: An Emerging Public Health Issue. Briefing For Elected Members
| Introduction | 100 |
|-------------------------------------------------------------|-------|
| Did you know? | 102 |
| Recent research findings | 107 |
| What can local authorities do? | 108 |
| The business case for public health action on air pollution | 109 |
| What can elected members do? | 110 |
| What questions should elected members ask? | 111 |
| What are other local authorities doing in this area? | 112 |
| Where can I get more information? | 115 |
## Introduction
New evidence of the serious public health impacts of everyday air pollution is driving increased political, public and media interest in the issue. The good news is that there are cost-effective actions local authorities can take to tackle the health impacts of air pollution. This briefing is designed to get you up to speed, and help you ask the right questions of the right people. It is published alongside more detailed resources for local public health teams.
## What Are The Main Pollutants?
Air pollution is a mixture of particles and gases that can have adverse effects on human health. The most important pollutant is **particulate matter (PM)**. PM has three size fractions PM10, PM2.5 and PM0.1. PM10 includes all particles smaller than
10 microns65 (including PM2.5 and PM0.1) and PM2.5 comprises all particles smaller than 2.5 microns (including PM0.1).
PM2.5 has the strongest epidemiological link to health outcomes66 and is used for the Public Health Outcomes Framework indicator 3.0167. At this size the particles can be inhaled deep into the lungs.
The very smallest particles, ultrafine PM0.1, (the smallest fraction of PM2.5) are nano-particles smaller than 0.1 microns and are thought, once inhaled, to be able to **pass directly into the bloodstream**.68
PM can be composed of particles from combustion products, products from abrasion of engine components, brakes and tyres on road surfaces, generated during construction and agricultural processes, as well as components generated by chemical reactions in the air. Much of the PM in urban environments, particularly that close to roads, can come from traffic sources and comprises soot, part burnt diesel and petrol compounds that form benzene-based carcinogens, heavy metals, silica, bitumen, rubber and organic and other waste matter from road surfaces. Domestic burning of wood and coal is a significant source (38% of primary emissions of PM2.5 in the UK), producing smoke and soot. The proportions of each component vary strongly depending on location. In cities and along roads where most exposure tends to occur, traffic generated compounds make up a large or dominant portion of the overall composition.
In the countryside, agriculture and upwind industry make a bigger contribution.
The gaseous pollutant **nitrogen dioxide** (NO2) is a gas produced along with nitric oxide (NO) by combustion processes and together they are often referred to as oxides of nitrogen (NOx). Evidence associating NO2 with health effects however, has strengthened substantially in recent years and it is now thought that, on the balance of probability, NO2 itself is responsible for some of the health impact found to be associated with it in epidemiological studies69.
On average around 80% of oxides of nitrogen (NOx) emissions in areas where the UK is exceeding NO2 limit values is due to transport, although urban and regional background non-transport sources are still considerable70. The largest source is emissions from diesel light duty vehicles (cars and vans) and there has been significant growth in these vehicle numbers over the last ten years in the UK.
Ozone (O3) comes from a combination of natural and human processes; unlike the pollutants above, it cannot be managed locally but forecasting services can help alert vulnerable individuals.
During some weather conditions that lead to acute air pollution episodes NO2, O3 and other pollutants react and condense into PM, adding to that which has been emitted.
## Did You Know
1. Air pollution is a serious public health
3. EU and UK limit values are in place
issue. In 2010 the Department of
to protect human health. However,
Health's (DH) Committee on the
it is recognised that there are no
Medical Effects of Air Pollutants
absolutely safe levels of the main
(COMEAP) estimated the burden
pollutant of concern, PM, and
of particulate air pollution in the UK
impacts are observed below levels
in 2008 to be equivalent to nearly
permitted by EU and UK limits. Any
29,000 deaths and an associated
improvement in air quality will have
loss of population life of 340,000 life
positive health consequences71
years lost. Reducing PM by
and the UK has a target to reduce
10 µg/m3 would extend lifespan
average concentrations of PM
at
in the UK by five times more than
2.5
urban background locations by 2 µg/
eliminating casualties on the roads,
m3 by 2020.72
or three times more than eliminating passive smoking.
4. Vehicle exhaust pollution was
classified as carcinogenic in 2013.73
2. The scientific understanding of the
health effects of everyday air pollution
5. The absence of an Air Quality
has changed dramatically in recent
Management Area does not mean
years. Population effects of air pollution
there is no public health problem
that were largely unknown in 1998
from air pollution.
and uncertain in 2005 when air quality limits were set - such as all-cause mortality - are now quantifiable.
There is now clear evidence that longterm exposure to everyday air pollutants contributes to cardiovascular disease (CVD, including heart diseases and stroke), lung cancer, and respiratory disease (which includes asthma and chronic bronchitis). The heaviest burden is borne by those with greatest vulnerability and/ or exposure. The elderly, children and those with cardiovascular disease and/or respiratory disease are more susceptible to air pollution than others. Those who spend more time in highly polluted locations will be affected more. Since air pollution levels are typically as high within vehicles as just outside, this is likely to include not only those who live and work near busy roads, but also those who drive for a living. Road vehicles are the main pollution sources that people are exposed to in most populated environments and the pollution they generate (PM) is the most harmful. Combustion for heating, agriculture and industry also contributes, accumulate over hours or days to cause an air pollution 'episode.' During this time additional changes in the chemical composition and toxicity of the air can take place.
but tends to be more dilute. The contribution of each source category varies enormously by location. Near busy roads local traffic pollution dominates, while further from roads regional transport, commercial and industrial emissions are the major contributors. There is a vast difference in emissions of different vehicles and fuels. In general diesel exhaust contains up to 30 times more PM than petrol or Liquid Petroleum Gas (LPG) or Compressed Natural Gas (CNG), but all vehicles generate additional PM from friction of brakes and tyres.
The highly localised distribution of air pollution leads to highly unequal patterns of exposure to different individuals resulting from their day-to-day behaviour. For example ambulance drivers, taxi drivers and other professional road users will inhale significantly higher amounts of pollution compared to those working outside but away from a busy road. Building design can also influence the amount of exposure to pollution individuals receive. School children in a passively ventilated school will receive much higher levels of pollution compared to office workers in a well air-conditioned office block, even if both groups are the same distance downwind of the same emission source.
Small changes in distance from the source, street layouts and physical barriers can make a big difference to exposure. For example, pollution levels next to a busy road can vary from the part of the pavement nearest to the traffic to the part of the pavement farthest away, and will be much lower on a parallel side street. Intense sources such as busy junctions lead to the creation of localised pollution 'hotspots' where very high levels of pollution are reached.
The local nature of pollution hotspots creates scope for local action to reduce local concentrations and reduce people's exposure to emissions. Recent data from BEIS, based on a domestic wood burning survey, has shown a significant increase (2.5 times) in domestic wood burning which in turn has increased PM emissions projections. Domestic combustion accounted for 38%
of total PM2.5 emissions in 2014 and is forecast to account for 41% by 2020. Of this 84% are attributed to domestic wood burning in 2014 and 88% by 2020.
The proximity to an emissions source is not the only factor that affects the amount of pollution in a given locale. Tall buildings along narrow streets can lead to the 'canyon effect' where pollution is trapped along the street which can intensify hotspots. Air pollution reaches people from every source that is upwind. However, it will be heavily diluted if more than a few hundred metres away, especially in windy conditions. Nonetheless in dense or heavily polluted conurbations these many, dilute sources can add up to a significant background concentration. Sometimes weather patterns encourage this background to The table below shows the variability in emissions based on fuel type.
2014 PM2.5 emission factors for residential heating by fuel type
## Domestic Combustion - Pm2.5 Emissions Factors (G/Gj)
An Ecodesign domestic stove is likely to emit a higher mass of PM on an equivalent hourly operational basis, than diesel cars & all but the most polluting Euro III HGVs. This is illustrated in the following table.
Comparison of estimated PM emission rates from a 5 kW stove (g/h) compared to typical exhaust PM emissions (g/h) from vehicles
## Recent Research Findings
In 2010 COMEAP estimated the burden of particular air pollution in the UK in 2008 to be equivalent to nearly 29,000 deaths and an associated loss of population life of 340,000 life years lost74.
In 2011, DH included an indicator based on annual average PM2.5 concentrations in the new Public Health Outcomes Framework75. The indicator estimates the percentage of deaths attributable to long term exposure to man-made particulate air pollution in upper and lower tier local authorities in England. In 2012, the International Agency for Research on Cancer listed diesel exhaust pollution as a Class 1 carcinogen and extended this to all ambient air pollution in 201376.
In 2013 the World Health Organization (WHO) published a major review of 2,200
studies69 concluding that:
• Annual PM2.5 concentrations are
associated with all-cause mortality to a high level of confidence, and with
much greater certainty than in 2005
- "There is no evidence of a safe level
of exposure to PM or a threshold below which no adverse health effects occur". Negative health impacts have been found well below current EU &
UK limits
- NO2 was associated with "adverse
health effects at concentrations that were at or below the current EU limit values"
In 2015, the Royal College of Physicians and the Royal College of Paediatrics and Child Health published a report on the lifelong impact on air pollution77.
It considered the effects of chronic and persistent pollution exposure from conception to old age, taking into account both outdoor and indoor pollution exposure sources. It also viewed air pollution as a stressor that interacts with many other stressors such as diet, socio-economic deprivation and climatic conditions to create reduced health and increased susceptibility to disease78.
## What Can Local Authorities Do?
There are many things local authorities can do to tackle the health impacts of local air pollution - and to do so costeffectively. (See the examples of good practice at the end of this briefing.)
While overarching regulations like vehicle emissions standards are controlled by governments and the EU and new vehicle and appliance designs by industry, local authorities have many powers in:
• traffic and parking management • street design and road layouts • planning • using idling powers • public and school transport policies • forbidding the dirtiest vehicles or
favouring clean vehicle fuels like petrol, LPG or CNG over diesel and bio-diesel
• installing electric vehicle charging
points
• reviewing and enforcing Smoke
Control Areas
• low or zero emission last mile services • fleet management and car clubs • vehicle and building air conditioning • building energy efficiency and cleaner
heat sources
All these actions are potential ways to reducing emissions, concentrations or exposure to pollution. Any improvement in air quality will have positive health consequences.
Improvements to air quality are also an important co-benefit of interventions targeting other health outcomes, such as active travel and increased physical activity. Actions to address the health impacts of air pollution can also play a critical role in supporting other local priorities such as health inequalities, care integration and supported self-management, sustainability, growth and regeneration and localism and community engagement.
## The Business Case For Public Health Action On Air Pollution
The King's Fund (2013) report on *Improving the Public's Health*79 found that:
"The cost-benefit evidence for investing in air quality is substantial". They cite a review for the London Royal Borough of Kensington and Chelsea which identified a series of options for reducing air pollution that were cost-beneficial, with potential for significant revenue generation, and spillover benefits including noise reduction. The overall benefit-to-cost return was £620 in benefits for every £100 spent.
Cost-beneficial options for reducing air pollution include measures to encourage people to make more journeys by bike or on foot.
## What Can Elected Members Do?
• Raise concerns amongst your
residents and businesses
• Find out if you have local pollution hot
spots (remembering that there may be a public health problem even where
there isn't an Air Quality Management Area)
• Find out if your local authority has any
Smoke Control Areas (SCAs), and ensure they are clearly communicated to support enforcement
• Raise the issue with your health and
well-being board
• Encourage Cabinet understanding and
overview and scrutiny across a range of council strategies which will have an impact, direct or indirect, on air pollution
• Engage your Local Enterprise
Partnership (LEP) about considering mitigation of air pollution along economic development
• Consider air pollution issues from
construction, transport and building heating as part of planning decisions
• Consider using your powers to
implement a Clean Air Zone
• Celebrate successes in reducing air
pollution
• Ensure your council is encouraging
others in the community to act
• Ensure your council is informing and
engaging the public.
## What Questions Should Elected Members Ask?
• Do we have a problem of air pollution
in our area? Are we considering levels of pollution below the EU limit? Where are our local hot spots?
• Does the council have a robust way
of understanding local levels of air pollution and its effects on the health of local people?
• What does the Joint Strategic Needs
Assessment (JSNA) say about air pollution? Should it say more?
• Does the council have a strategy and
action plan for improving air quality or reducing exposure to pollution?
• Is the council considering air pollution
when it decides its health and wellbeing priorities? What does the Health and Well-being Strategy say about air pollution?
• Is the council considering how action
on air pollution might support its work on active travel, health inequalities, self-management and integrated care, sustainability, growth and regeneration, and localism and community engagement?
- Is the council working with local
businesses, the NHS and the voluntary sector to ensure they are playing their role in improving air quality?
- Are members of the public aware of air
pollution and do they know what to do if they have concerns about it? Could the council do more to get people engaged, for instance with community measurement schemes?
## What Are Other Local Authorities Doing In This Area?
• Some local authorities have set
supplemented with improved Public Transport services, discounted Public Transport tickets and promotion of car sharing (from the lowemissionhub.org).
• City of York Council is retrofitting all
the sightseeing buses from diesel to electric. This will not only provide
significant improvements in air quality but also reduce fuel costs by £15k a year. The council have also paid for the retrofit of some passenger service buses, as part of the council's Low Emissions Strategy.
• In the US, California has introduced
up SMS messaging services that warn vulnerable individuals that air pollution levels are high so that they can take steps to reduce their exposure or ensure they have medication. Examples include airAlert80 which is run by a partnership of councils in Sussex and airTEXT81 which covers Greater London. Defra publishes a daily air quality forecast82 based on the Daily Air Quality Index (DAQI)83 to inform the public when air pollution is expected to be elevated as well as providing associated health advice.
• A number of councils have retrofitted
some or all of their vehicles to run on gas fuels (LPG, CNG or biogas).
These emit as little as 1/30th of the PM
caused by diesel. It is also cheaper to run as the fuel costs are less.
• Plymouth Hospital Travel Plan
restrictions on where new schools can be sited in relation to the major sources of air pollution. Since 2003 California state law prohibits new schools being sited within 500 feet of a highway. Guidance suggests how the siting of new schools, day care centres, and other public buildings needs to be considered to reduce the exposure of vulnerable young people to high levels of air pollution.
resulted in a reduction in staff arriving by car (from 90% to 54%). The plan included restricted and charged parking permit allocation,
• Camden Council has installed a
series of cycle-friendly measures on a key route in the borough. Two
metre-wide lanes along Royal College Street are separated from the rest of
the highway by round rubber blocks or 'light segregation,' making the cycle lane safer for cyclists and reducing air pollution by encouraging more cycling. Light segregation methods are used more extensively in many European cities, such as Barcelona, and are considerably cheaper to install than many of the types of cycle lanes you typically see in the UK.
• In several areas local communities
are taking control of the measurement of local air pollution.
The East End Quality of Life Initiative community group works with Sheffield City Council to run local monitoring using low cost diffusion tubes. This has built local understanding of air pollution and engaged local communities in assessing and taking action on local issues. Similar programmes are underway in the City of London, Kings Lynn and elsewhere.
• Many local authorities have
undertaken studies to understand the nature and sources of local air pollution and some are undertaking feasibility studies to understand whether the introduction of a Clean Air Zone could make a positive difference to local air quality.
• Local authorities can encourage local
businesses to reduce their emissions.
A Zero Emissions Network (ZEN)
has been established by local businesses in Shoreditch with the help of Hackney Council. The
network offers advice to businesses who wish to reduce their emissions, free trials of electric vehicles and cargo bikes, consultation on reducing energy demand and on reducing emissions
resulting from supply chains.
• Oxford City Council and Oxfordshire
County Council have implemented
a Low Emission Zone (LEZ) for buses in Oxford city centre. An LEZ
encourages the uptake of less polluting vehicles by banning highly polluting vehicles from highly polluted areas, usually a city centre. In Oxford this has targeted the highly polluting local buses.
• Wandsworth council reviewed its old
Smoke Control Areas, merged
them into a single borough-wide SCA, and put in place a communication campaign to support enforcement.
## Where Can I Get More Information?
This Briefing is part of a resource pack for Public Health teams. The resource comprises an additional briefing for Directors of Public Health - Getting to Grips with Air Pollution as well as three short guides to help Directors of Public Health and their teams to take action.
- Public Health England - Estimating
Local Mortality Burdens associated with Particulate Air Pollution https:// www.gov.uk/government/publications/ estimating-local-mortality-burdensassociated-with-particulate-airpollution
## Briefing: • Getting To Grips With Air Pollution - A
briefing for Directors of Public Health
Guides:
• Understanding air pollution in your area • Engaging local decision-makers about
air pollution
Information on the Public Health Outcomes Framework Indicator 3.01 can be found here: - http://www.phoutcomes.info/ - http://www.phoutcomes.
info/public-health-outcomesframework#gid/1000043/pat/6/ ati/102/page/6/par/E12000004/are/ E06000015
• Communicating with the public during
air pollution episodes
• Communicating with the public on the
long-term impacts of air pollution
Estimates of the number of deaths in UK local authorities that can be attributed to long-term exposure to particle air pollution have been published by PHE.
The Office for National Statistics has published a bulletin on air pollution in the UK over the last three decades - Air quality statistics in the UK - Has been published 1987 - 2015 to
date
- http://www.gov.uk/government/
publications/air-quality-statistics
The Department of Health's Committee on the Medical Effects of Air Pollutants (COMEAP) has published a series of reviews of the effects of air pollution on health: - http://www.comeap.org.uk Defra has produced a series of resources for Local Authorities on air pollution, which are available from its website: • http://laqm.defra.gov.uk/public-
health/roleforlas.html
Air quality forecasts, near real time measurement data, national modelling data as well as general information on air pollution, published research reports and reports on national compliance can be found on Defra's Air Information Resource website - UK Air.
• http://uk-air.defra.gov.uk/ • Additional information on local air
pollution campaigns is provided by the Healthy Air Campaign
• http://healthyair.org.uk
Department for Environment, Food and Rural Affairs Nobel House
17 Smith Square London SW1P 3JR | en |
0420-pdf | Disclosure ref: 65 Sent: 19th December 2019
## Freedom Of Information Act 2000 Request List Of Prosecutions For Murder Where A Body Has Not Been Found
Request I wonder if you are able to help me. I'm conducting doctoral research in forensic archaeology and in particular, I'm examining forensic archaeological reporting practices in cases of missing persons presumed deceased. As part of my research I need to consider no body murder investigations and prosecutions. I'd be grateful if you are willing to provide me with a list of prosecutions for murder where a body has not been found. Preferably from 1950 onwards but if that is too onerous I'd happily readjust the timescale. Response Since the inception of the Crown Prosecution Service (CPS) in 1986, the number of prosecutions in England and Wales, as described in your request, has not been centrally recorded. In order to establish whether the circumstances described in question one of your request are contained within a case, a manual examination of relevant cases within our Case Management System (CMS) would be required. Our CMS holds recorded data since April 2005. This data includes the number of prosecutions that have commenced in respect of murder offences. As an indication of the work a manual examination would involve, records indicate that there have been an equivalent of 7,173 cases involving murder offences since 2005 to the end of September 2019. Section 12(1) of the FOI Act means public authorities are not obliged to comply with a request for information if it estimates the cost of complying would exceed the appropriate limit. The appropriate limit for central government it is set at £600. This represents the estimated cost of one person spending 3.5 working days determining whether the department holds the information, and locating, retrieving and extracting the information. We believe that the cost of reviewing the equivalent of 7,173 cases would exceed the appropriate limit and are therefore unable to respond to parts one and two of your request.
Floor 8, 102 Petty France, London SW1H 9AJ
United Kingdom
020 3357 0788 [email protected]
| en |
0278-pdf | 01 June 2018 By Email
Rail industry representatives;
Rail passenger and freight companies;
Dear Rail Industry representatives,
## Orr Investigation And Monitoring Of Current Informed Traveller/T-12 Problems
As you are aware, in response to the informed traveller and T-12 problems we are investigating a set of linked issues. In particular we are focusing on root causes to the T-12 issues, informed passenger information provided by TOCs and the development and delivery of the T-12 recovery plan. We have been progressing work on these three strands, engaging with Network Rail, industry and funders over the past few months. This letter covers the root causes part of our work.
## Root Causes Thank You To Those Organisations Who Provided Information To Us As Part Of Our Initial Information Gathering Process In March.
From our initial review, we have identified particular concerns with:
Infrastructure Projects (IP) and System Operator (SO) interfaces and their management, both as a potential root cause of the current T-12 problems and as a risk to the recovery plan and future timetables;
whether prioritisation decisions, such as whether to delay an enhancement, are being taken with passengers and a whole system perspective in mind; and
the management of late notice timetable changes and their impact on services and the availability of passenger information.
We have therefore started a formal licence compliance investigation, which we will be carrying out in line with our economic enforcement policy procedures.
As part of this investigation we will use the evidence gathered from our own monitoring, from Network Rail and from industry to assess whether there are any mitigating factors, whether issues are a one-off or a symptom of a wider problem, and the steps Network Rail has taken or is taking to address issues and make improvements. We welcome any further information you would like us to consider as relevant to this investigation. We would ask for any written submissions by 4pm on Friday 8 June 2018. We are not asking you to repeat points already made to us. Any information you provide to us may be used in our final evidence report which will be published after our investigation has concluded.
Yours sincerely, John Larkinson Director, Railway Markets & Economics
| en |
4055-pdf | PLANNING COMMITTEE:
6th **September 2016**
DIRECTORATE:
Regeneration, Enterprise and Planning DIRECTOR:
Steven Boyes
APPLICATION REF:
N/2016/0581 and N/2016/0582
20 High Street, Great Billing
LOCATION: DESCRIPTION:
Listed building consent and planning permission for alterations and extensions to studio WARD:
Billing Ward APPLICANT:
Mrs Mandi Boydell
AGENT:
JSP Design Associates
REFERRED BY:
Councillor Suresh Patel
REASON:
Overdevelopment
| | | | |
|-----|------|-----|---------------|
DEPARTURE:
No
## Application For Determination: 1. Recommendation N/2016/0581 - Listed Building Consent Application
1.1
APPROVAL subject to the conditions as set out below and for the following reason:
The proposed works would not harm the character and significance of this Grade II listed building and as a consequence the proposal is compliant with the requirements of the National Planning Policy Framework, Policies S10 and BN5 of the West Northamptonshire Joint Core Strategy and Policies E20, E26 and H18 of the Northampton Local Plan.
N/2016/0582 - Planning Application
1.2
APPROVAL subject to the conditions as set out below and for the following reason:
Having regard to the existing pattern of development in the area, it is considered that subject to compliance with the conditions attached to this permission, the proposed development would not have an undue detrimental impact on the character and appearance of the host dwelling, Great Billing Conservation Area and the amenity of adjoining occupiers in accordance with the requirements of the National Planning Policy Framework, Policies S10 and BN5 of the West Northamptonshire Joint Core Strategy and Policies E20, E26 and H18 of the Northampton Local Plan.
## 2. The Proposal
2.1 The proposal is to extend and build above the existing flat roof garage to be is used as a
studio/workshop by the applicant ancillary to the existing dwelling.
## 3. Site Description
3.1
The application site consists of a Grade II* listed building which lies within the Great Billing Conservation Area. The listed property consists of the main 2 storey dwelling and a newer single storey element that was formerly used as a post office but is now in residential use. Adjoining the single storey building is a flat roof garage which is used by the applicant as a workshop/studio. The application site is surrounded by residential development. Ground levels of the site vary as
the site rises to the north.
## 4. Planning History
4.1
N/2012/0431 and 0432 - Alterations to include link to garage, lean to greenhouse, new gate and change of use of former post office to residential - Approved
82/0816 and 82/LB25 - 2 dormer windows at the post office - Approved (not implemented)
NR/71/0412 - Change of use of shop to dwelling and conversion of store to shop - Approved
NR/67/222 - Access - Approved
NR/63/496 - Private garage and motor access - Approved
## 5. Planning Policy 5.1 Statutory Duty
Section 38(6) of the Planning and Compulsory Purchase Act 2004 requires a planning application to be determined in accordance with the Development Plan unless material planning considerations indicate otherwise. The Development Plan for the purposes of this application comprises the adopted West Northamptonshire Joint Core Strategy (2014) and Northampton Local Plan (1997) saved policies.
Section 16 of the Planning (Listed Buildings and Conservation Areas) Act 1990 requires Local Planning Authorities in considering whether to grant listed building consent for any works to have special regard to the desirability of preserving the building or its setting or any features of special architectural or historic interest which it possesses. Sections 66 and 72 of the Planning (Listed Buildings and Conservation Areas) Act 1990 require Local Planning Authorities when considering development to pay special attention to preserving a listed building or its setting and to the desirability of preserving or enhancing the character or appearance of a conservation area.
## 5.2 National Policies
The National Planning Policy Framework (NPPF) sets out the current aims and objectives for the planning system and how these should be applied. In delivering sustainable development, decisions should have regard to the mutually dependent social, economic and environmental roles of the planning system. The NPPF should be read as one complete document. However, the following sections are of particular relevance to this application:
Paragraph 17 requires that planning decisions should seek to secure developments of a high
quality design, whilst conserving heritage assets in a manner appropriate to their significance.
Section 12 of the NPPF elaborates upon the importance of heritage as a material consideration.
In particular, it is made clear that it is desirable to sustain and enhance the significance of heritage assets and put them to a viable use consistent with their conservation. It states that where a development proposal would lead to less than substantial harm to the significance of a listed building the harm should be weighed against the public benefits of the proposal, including securing its optimum viable use.
Paragraph 131 and 132 encourage the consideration of the impact on the significance of heritage assets and their settings.
5.3
West Northamptonshire Joint Core Strategy (2014)
The West Northamptonshire Joint Core Strategy (JCS) provides an up to date evidence base and considers the current Government requirements for plan making as it has been prepared in full conformity with the NPPF. Policies of particular relevance are: S10: Sustainable Development Principles - requires development to satisfy a range of sustainable development principles including through achieving the highest standards of sustainable design; maximising opportunities for reuse and recycling; promoting walking and cycling and protecting, conserving and enhancing the natural and built environment and heritage assets and their settings.
Policy BN5: The Historic Environment and Landscape - seeks to conserve and enhance heritage assets in a manner commensurate with their significance.
## 5.4 Northampton Local Plan 1997 (Saved Policies)
Due to the age of the plan, the amount of weight that can be attributed to the aims and objectives of this document are diminished, however, the following policies are material to this application:
Policy E20 - New Development - seeks to secure development which has an acceptable design and layout and achieves acceptable standards of amenity.
Policy E26 - development will be permitted provided it preserves or enhances the character and appearance of those areas.
Policy H18 - Extensions to dwellings - permission will be granted subject to acceptable design and appearance and in keeping with the character and appearance of the host dwelling and the effect upon adjoining properties.
## 5.5 Supplementary Planning Documents
Residential Extensions and Alterations Design Guide SPD
6.
CONSULTATIONS/ REPRESENTATIONS
Comments received are summarised as follows:
6.1
Historic England - Recommend the application should be determined in accordance with
national and local policy guidance, and on the basis of the Council's expert conservation advice.
6.2
NBC Conservation - No objection. The existing flat roofed garage detracts from the setting of
the listed house and the proposed pitched roof extension will not have an adverse impact on the setting. The area is characterised by a high density of development and the proposed studio will
not cause harm to the character of the conservation area.
6.3
Councillor Suresh Patel - wishes to call the application in to be determined by the Planning
Committee as considers the proposal is overdevelopment of the site. 6.4
Great Billing Parish Council - object; consider proposal is superfluous to requirements and an
erosion of the Conservation Area. Appreciate that the garage itself is not of historical value but consider the proposal will affect the existing footprint and privacy of neighbours. Consider the proposal would destroy the historic roofline of the shared courtyard in Pound Lane.
6.5 **Objections** have been received from 16, **18, 19, 21 High Street, 1, Cattle Hill, 2, 4, 6, 8, 10, 12,**
Pound Lane, 54 Main Road, Wilby (as owner of property in High Street, Pound Lane and
Cattle Hill). Comments can be summarised as follows:
Spoiling the historic roofline of the Pound Lane courtyard
Overdevelopment of the site
Effect on listed building
Impact on conservation area
Overlooking and loss of privacy
Overshadowing
Materials out of character with the area
Concerns about proposed use of the building
Loss of view
Impact on value of property
Concerns about future maintenance of Pound Lane outbuildings
Concerns that foundations of rear wall of outbuildings would be undermined
Consider need for light and space could be met with a ground floor extension
Concerned about lack of consultation
## 7. Appraisal
7.1 **** The main issues are to consider are what impact the proposed development would have on the
character and appearance of the listed building, the conservation area and neighbouring amenity. ****
Impact on listed building
7.2
The proposal is to extend the existing flat roof studio by extending part of the south east elevation of the building outwards by 1.3 metres, and building above the studio to provide a second storey. The proposal to extend the building outwards is on an area that already has planning permission for the erection of a greenhouse. This formed part of the previous consent for alterations and change of use of the post office to residential and can still be implemented. The principle of extending at ground floor level has already been established by the previous permission 7.3
The second storey extension would have a ridge height of 5.4 metres above ground level with the side walls of the existing building raised by 0.7 metres. Whilst the existing studio is within the curtilage of a Grade II* listed dwelling, it is attached to outbuildings which formed the former post office and is a 1960s building of no historic interest. It is considered that the flat roofed garage detracts from the setting of the listed house and that the proposed pitched roof extension will not have an adverse impact on the listed building's setting.
## Impact On Character And Appearance Of The Conservation Area
7.4 With regard to the impact on the character of the conservation area, No. 20 High Street is sited at
the centre of the village which is characterised by a non-uniform layout with close relationships between buildings and buildings with varying roof slopes and ridge heights. The garage/studio
building is sited 11 metres from the front boundary of the property and is partially screened from High Street by tree and shrub planting. The building would not be visible from any public viewpoint in Pound Lane and would be scarcely visible from public viewpoints in Cattle Hill. The building will have design elements copied from the existing building (cladding at first floor level on the end elevations to match that on the front face of the garage and link building), other traditional materials (reclaimed bricks, wooden doors and window frames and roof tiles to match the main building) will ensure that it blends with its surroundings. Historic England have recommended that the application is determined in accordance with planning policy and on the basis of the Conservation Officers advice. The Conservation Officer has no objection to the proposal and it is considered therefore that the proposal would not unduly impact on the character or appearance of the conservation area.
## Impact On Neighbouring Properties 7.5 The Studio Is Sited Immediately Adjacent To The Outbuildings To The Rear Of Properties 2-12 Pound
Lane. The external ridge of the new roof will be visible by 1.1 metres above the ridge of part of these outbuildings. A dormer window feature in the south east elevation will provide light and head room to the first floor. Further light is also provided to the first floor by windows in the north east and south west elevations. Ground floor windows in the south east elevations and a partially glazed door in the north east elevation provide light to the ground floor accommodation. 7.6 Various objections have been received from the occupiers of the cottages in Pound Lane. With
regard to overshadowing, it is considered that due to the limited height of the proposed building above the adjacent outbuildings, overshadowing of the adjacent courtyard will not occur. With regard to overlooking, there are no windows or rooflights in the elevation facing Pound Lane and a proposed window in the north east elevation gable is below the ridge line of the neighbouring outbuildings. It is not considered that the proposal will lead to overlooking of properties in Pound Lane. With regard to comments received regarding loss of view, there are no legal rights to a view and this is not a planning consideration. Whilst the ridge height of the proposed dwelling will be visible above the ridge height of the outbuildings, varying roof heights are a characteristic of the area and it is considered that the increase in height will not be to such a degree to justify
refusal of the application. Concerns about the impact of the proposal on property value is not a planning consideration. 7.7
Other objections received from occupiers in Pound Lane relate mainly to private property matters. Questions have been raised by residents about how they will access and maintain their outbuildings but this is the same situation that exists at present and is a matter for the individual parties to resolve. It can be noted however that the applicant states that he has taken this into consideration by making the first course of bricks a row of snapped headers corbelled out to allow a ridge ladder to be seated against it for safe access. 7.8
In terms of the relationship of the proposed extension to other neighbouring properties, the extension will be sited approximately 10 metres away from the side/rear of 18 High Street and approximately 20 metres from 1 Cattle Hill. The site is located at a higher level than no. 18 High Street, however shrub/tree and fence screening would largely obscure the proposal from view. To ensure there is no overlooking between the shrubs/trees especially in the winter when vegetation cover may not be so dense, it is considered necessary to impose a condition requiring that all first floor windows on the south east elevation are obscure glazed. Due to the separation distance between the north east elevation and 1 Cattle Hill, it is not considered that there will be undue overlooking of this property.
7.9
Concerns have been raised about the proposed use of the studio stating that it could be converted into a separate dwelling. A condition will be imposed stating that the use of the studio shall be used only for purposes incidental to the main use of the site as a dwellinghouse. Planning permission would therefore be required to use the studio as a separate unit of
accommodation.
## Other Matters
7.10 Concerns have also been raised from neighbouring properties about the lack of consultation. It
should be noted that all neighbouring properties were consulted, a site notice was erected and the application was advertised in the press. This, in addition to the necessary statutory consultees being notified, means that all statutory requirements in terms of publicity have been met. 7.11 The application has been called in to be determined by the Planning Committee due to concerns
about overdevelopment of the site In terms of the footprint of buildings on the site, these will not be increased over and above what is already approved by the greenhouse extension. The proposal will provide an additional internal floorspace of approximately 21 square metres at first floor level which will be used for purposes ancillary to the main dwellinghouse. Any existing amenity space will not be impacted upon. It is not considered that the proposal represents overdevelopment of the site.
## 8. Conclusion
8.1
It is not considered that the proposed extension will harm the appearance or setting of the listed building or detract from the appearance or character of the Great Billing Conservation Area and will not unduly impact on neighbouring amenity. Subject to conditions the proposal is therefore considered to be acceptable.
## 9. Conditions Listed Building Consent Application N/2016/ 0581
(1)
The works hereby permitted shall be begun before the expiration of three years from the date of this permission.
Reason: To comply with Section 18 of the (Listed Building and Conservation Areas) Act 1990
(2)
The development hereby permitted shall be carried out in accordance with the following approved plans: Site Location Plan, Block Plan, 122.4445, 122.4446, 122.4447, 122.4448, 122.4478, 122.4479, 122.4480.
Reason: For the avoidance of doubt and to accord with the terms of the planning application.
##
(3)
Details and/or samples of all proposed external facing materials shall be first submitted to and approved in writing by the Local Planning Authority. Development shall be carried out in accordance with the approved details.
##
Reason: In the interests of visual amenity and to ensure that the development will harmonise with its surroundings in accordance with Policy S10 of the West Northamptonshire Joint Core Strategy and Policies E20 and H18 of the Northampton Local Plan.
## Planning Application N/2016/0582
(1)
The development hereby permitted shall be begun before the expiration of three years from the
date of this permission.
Reason: To comply with Section 91 of the Town and Country Planning Act 1990.
(2)
The development hereby permitted shall be carried out in accordance with the following approved plans: Site Location Plan, Block Plan, 122.4445, 122.4446, 122.4447, 122.4448, 122.4478, 122.4479, 122.4480.
Reason: For the avoidance of doubt and to accord with the terms of the planning application.
(3)
Details and/or samples of all proposed external facing materials shall be first submitted to and approved in writing by the Local Planning Authority. Development shall be carried out in accordance with the approved details.
Reason: In the interests of visual amenity and to ensure that the development will harmonise with its surroundings in accordance with Policy S10 of the West Northamptonshire Joint Core Strategy and Policies E20 and H18 of the Northampton Local Plan.
(4)
Notwithstanding the details submitted, the first floor south east elevation windows hereby permitted shall be glazed with obscured glass to level 3 or higher of the Pilkington scale of privacy or equivalent as may be agreed in writing by the Local Planning Authority before the development hereby permitted is first occupied and thereafter retained in that form at all times.
Reason: To safeguard the privacy of adjoining occupiers of nearby property in accordance with Policies E20 and H18 of the Northampton Local Plan.
(5)
The proposed studio shall remain ancillary to the existing residential use of the premises and at no time shall it form a separate planning unit.
Reason: For the avoidance of doubt and to protect the residential amenities of nearby properties in accordance with Policies E20 and H18 of the Northampton Local Plan.
(6)
Notwithstanding the provisions of the Town and Country Planning (General Permitted Development) (England) Order 2015 (or any order revoking and re-enacting that Order with or
without modification), no additional windows shall be installed in the south east elevation of the proposed development.
Reason: To safeguard the privacy of adjoining properties in accordance with Policies E20 and H18 of the Northampton Local Plan.
## 10. Background Papers
10.1
N/2012/0431 and N/2012/0432, N/2016/0581 and N/0582
## 11. Legal Implications
11.1 None
## 12. Summary And Links To Corporate Plan
12.1
In reaching the attached recommendations regard has been given to securing the objectives, visions and priorities outlined in the Corporate Plan together with those of associated Frameworks and Strategies. | en |
4443-pdf |
##
# Operational Selection Policy Osp17 The Preservation Of The Built Environment 1970-1999
##
## Contents
List of abbreviations used in the text
1
Authority
2
Scope
3
Departmental responsibilities
3.1
Overview
3.2
The Department of the Environment (DoE)
3.3
The Historic Buildings and Monuments Commission for England
(known as English Heritage)
3.4
The Royal Commission on the Historical Monuments of England
(RCHME)
3.5
The Royal Commission on the Ancient and Historical
Monuments of Wales (RCAHMW)
3.6
The Welsh Office
3.7
The Historic Royal Palaces Agency (HRPA)
3.8
Parliamentary Works Directorate
3.9
Planning Inspectorate (PINS)
3.10
The Department of National Heritage
3.11
The Royal Parks Agency (RPA)
3.12
The Department for Culture, Media and Sport (DCMS)
3.13
The Department of the Environment, Transport and the Regions
(DETR)
3.14
Crown Estate Office and the Crown Estate
4
Relevant collection themes in The National Archives' Acquisition and
Disposition Policies
5
Key themes for selection of records relating to preservation of the built
environment 5.1
(general note)
5.2
Sponsored bodies
5.3
Identification for protection
5.4
Surveying and recording
5.5
Assistance with preservation
5.5.1
Grants and funds
5.5.2
Fiscal policy
5.6
Management
5.7
Planning control
5.8
Exemptions from control
5.8.1
Churches and cathedrals
5.8.2
Crown property
5.9
Presentation and the heritage industry
5.10
World Heritage Sites
6
Structure of filing systems
7
Implementation of Operational Selection Policy
Key events/legislation (Annex A) Application to specific departments (Annex B)
## List Of Abbreviations Used In The Text Achws Advisory Committee On Historic Wreck Sites
| BMS | | Buildings, Monuments and Sites Division |
|--------|-----------------------------------------------------------|--------------------------------------------|
| CABE | Commission for Architecture and the Built Environment | |
| Cadw | Cadw: Welsh Historic Monuments | |
| Capel | Chapels Heritage Society | |
| CAPS | Conservation Area Partnership Scheme | |
| CBMAG | Crown Buildings Advisory Group | |
| CCT | | Churches Conservation Trust |
| DCMS | Department for Culture, Media and Sport | |
| DETR | Department of the Environment, Transport and the Regions | |
| DNH | | Department of National Heritage |
| DoE | | Department of the Environment |
| DTLR | Department of Transport, Local Government and the Regions | |
| DTp | | Department of Transport |
| EAHY | European Architectural Heritage Year | |
| ENDEX | Extended National Database for Wales | |
| GLA | | Greater London Authority |
| GLC | | Greater London Council |
| HBAAC | Historic Buildings and Areas Advisory Committee | |
| HERS | Heritage Economic Regeneration Scheme | |
| HLF | | Heritage Lottery Fund |
| HM | | Her Majesty's |
| HRP | | Historic Royal Palaces |
| HRPA | Historic Royal Palaces Agency | |
| HRPE | Historic Royal Palaces Enterprises Limited | |
| LBS | | Listed Building System |
| MAFF | Ministry of Agriculture, Fisheries and Food | |
| MPP | | Monument Protection Programme |
| NAW | | National Assembly for Wales |
| NBR | | National Buildings Record |
| NDAD | National Digital Archive of Datasets | |
| NHMF | National Heritage Memorial Fund | |
| NMR | | National Monuments Record |
| NMRC | National Monuments Record Centre | |
| NMRW | National Monuments Record of Wales | |
| OAL | | Office of Arts and Libraries |
| OS | | Ordnance Survey |
| OSP | | Operational Selection Policy |
| PACE | Property Advisers to the Civil Estate | |
| PINS | | Planning Inspectorate |
| PPG 15 | | Planning Policy Guidance Note 15 |
| PPG 16 | | Planning Policy Guidance Note 16 |
| PRO | | Public Record Office |
| PSA | | Property Services Agency |
| RCAHMW | Royal Commission on the Ancient and Historical Monuments of |
|-----------|------------------------------------------------------------------|
| Wales | |
| RCHME | Royal Commission on the Historical Monuments of England |
| RIBA | |
| RPA | |
| RPC | |
| RSM | |
| s | |
| SI | |
| SMR | |
| UK | |
| UNESCO | United Nations Educational, Scientific and Cultural Organization |
| WCED | World Commission on Environment and Development |
| WHC | |
| | |
| | |
## 1 Authority
1.1
The National Archives' Acquisition and Disposition Policy statements
announced the Office's intention of developing, in consultation with departments, Operational Selection Policies across government. These
policies would apply the collection themes described in the overall policies to the records of individual departments and agencies.
1.2
Operational Selection Policies are intended to be working tools for those
involved in the selection of public records. This Policy may, therefore, be reviewed and revised in the light of comments received from the users of
the records or from archive professionals, the relevant government departments' and agencies' experience of using the policy, or as a result
of newly discovered information. There is no formal cycle of review but we would welcome comments at any time. The extent of any review and revision exercise will be determined according to the nature of the comments received.
1.3
If you have any comments upon this policy, please e-mail [email protected] or write to:
Acquisition and Disposition Policy Project Manager Records Management Department The National Archives Kew Richmond Surrey
TW9 4DU
1.4
Operational Selection Policies do not provide guidance on access to
selected records.
## 2 Scope
2.1
This policy relates to all records created between 1970 and 1999 about
government policy on the preservation of the built environment (structures and landscapes), and to casework records relating to scheduled ancient monuments and research surveys. It does not cover other site-related casework records that, since they involve many government departments, will be the subject of a separate Preservation Casework Operational Selection Policy.
2.2
The records of the Parliamentary Works Directorate and of the Royal
Household are not public records and are therefore beyond the scope of this Operational Selection Policy.
2.3
This Operational Selection Policy focuses on the period from the creation
of the Department of the Environment (DoE) in 1970, to the merger of English Heritage with the Royal Commission on the Historical
Monuments of England in 1999. This includes the establishment of the Historic Buildings and Monuments Commission for England (English Heritage) within DoE in 1983, and the creation of the Department of National Heritage (DNH) in 1992 (renamed the Department for Culture, Media and Sport (DCMS) in 1997).
2.4
The records of the Office of Arts and Libraries are beyond the scope of
this Operational Selection Policy.
2.5
English Heritage provides advice and guidance to central and local
government, voluntary bodies and the private sector on conservation issues; and is responsible for protecting historic buildings, landscapes and archaeological sites. It manages and presents to the public an
extensive estate of publicly owned historic properties. It is also responsible for education and research relevant to these matters and generates income for the benefit of the historic environment. As the lead government department on the historic environment in England, the majority of records selected through this Operational Selection Policy come from English Heritage and its interaction with other government departments and non-government organisations. It also relates to records created by the Royal Commission on the Historical Monuments of England (RCHME), Historic Royal Palaces (HRP), the Royal Parks Agency (RPA), the DoE, the Department of the Environment, Transport and the Regions (DETR), the Crown Estate and Crown Estate Paving Commission.
2.6
This Operational Selection Policy covers the operational records of the
bodies responsible for the preservation and recording of the built environment in Wales in the period 1970 to 1999. This includes the Welsh Office, the Ancient Monuments Board for Wales, the Historic Buildings Council for Wales, Cadw: Welsh Historic Monuments, the Royal Commission on the Ancient and Historical Monuments of Wales (RCAHMW) and the National Assembly for Wales (NAW).
2.7
The Operational Selection Policy OSP7 for the *Welsh Office, 1979-97*
will be used for selection criteria for records relating to the establishment of Cadw and to the monuments in its control.
2.8
The Operational Selection Policy OSP2 for the *Crown Estate* will be used
for selection criteria for records of the Crown Estate relating to the preservation of the urban estate for the period 1975-1985. Crown Estate
policy records from 1986 to 1999 will be covered by this Policy.
2.9
This Operational Selection Policy is not an exhaustive statement of all
the records that will be acquired but is intended to provide a clear direction to archival selection and to those who are making review decisions. There will inevitably be policy records held by other public record bodies which were in some way involved in the preservation of
the built environment, for example the Ministry of Defence (Defence Estate), the Home Office (Works Directorate, Prisons), and Property Advisers to the Civil Estate (PACE). The principles established in this policy will be followed by those reviewing records relating to the preservation of the built environment across government.
2.10
English Heritage is currently reviewing DoE policy files closed from 1980
onwards. HRP is reviewing Property Services Agency files closed from the mid 1970s to 1992. RPA is reviewing DoE files closed in 1971. The Office of the Deputy Prime Minister, successor to DETR, is currently reviewing records closed in the early 1970s. The NAW and Cadw are currently reviewing records closed in the early 1980s. The Crown Estate is currently reviewing records opened in or before 1976.
2.11
This Operational Selection Policy is not retrospective and will not be
used to re-review files that have already been selected for permanent preservation.
## 3 Departmental Responsibilities 3.1 Overview
3.1.1
In England the period 1970 to 1999 began with consolidation of
responsibility for preservation of the built environment into one department of state, the DoE. Later, responsibilities for advice, care and maintenance were devolved to sponsored bodies, whilst the DoE retained responsibility for policy, decisions on listing, scheduling and taking monuments into care, and planning issues. Government reorganization following the general election in 1992 transferred the sponsorship responsibilities to the newly created DNH and split responsibility for policy matters between DNH (later DCMS) for conservation and DoE for planning (subsequently passed to DETR). At the same time, many more government departments were being involved in the preservation of the built environment partly due to a policy change
in the allocation of responsibility for the maintenance of the government estate, but also as a result of the widening scope of the protected built environment.
3.1.2
In Wales by 1970 the Welsh Office had responsibility for the preservation
of the built environment, with advice supplied by two independent bodies,
the Ancient Monuments Board for Wales and the Historic Buildings Council for Wales. Responsibilities for advice, management, marketing and presentation were subsequently devolved to a single executive agency (Cadw), whilst the Welsh Office retained responsibility for policy, decisions on listing, scheduling, taking monuments into care, and planning issues. Responsibilities for certain UK-wide issues remained with the DoE, resulting in joint sponsorship of a second executive agency, the Planning Inspectorate. All Welsh Office responsibilities were
transferred to the National Assembly for Wales (NAW) under the Government of Wales Act 1998.
## 3.2 The Department Of The Environment (Doe)
3.2.1
The DoE was established in November 1970 at the beginning of the
Heath administration and following the publication of the Reorganisation
of Central Government White Paper. The areas of DoE's responsibility
relating to preservation of the built environment in England were inherited from the Ministry of Public Buildings and Works (care and preservation of ancient monuments and royal palaces), and the Ministry of Housing and Local Government (care and preservation of listed buildings and conservation areas and planning control). Within DoE
duties remained divided between Division 1 of Planning Directorate C, and a small Directorate of Ancient Monuments and Special Services, until a new unified Directorate was established in 1972. The role of the new Directorate of Ancient Monuments and Historic Buildings was to carry out archaeological excavation; advise on the treatment, care and preservation,
display
and
commercial
management
of
ancient
monuments and historic buildings, including those on the government estate; advise on the payment of grants to owners of listed buildings and
ancient monuments; to administer and regulate the royal parks and have
special responsibility for the royal palaces. The Directorate was renamed the Heritage and Royal Estate Directorate in 1987.
3.2.2
Three bodies continued to function as separate units within the new DoE
Directorate of Ancient Monuments and Historic Buildings until 1984: the Ancient Monuments Board for England, the Inspectorate of Ancient Monuments and the Historic Buildings Council for England.
3.2.2.1 The Ancient Monuments Board for England had been set up under the
Ancient Monuments Act of 1913, to advise the Office of Works on the
compilation of a list of ancient monuments and on the preservation of
monuments in danger of destruction or damage. The Board worked
closely with the standing Royal Commission on the Historical Monuments of England.
3.2.2.2 Powers of inspection were held by the Inspectorate of Ancient
Monuments (with separate Inspectors for England and Wales) established in 1914 and attached to the Ancient Monuments Branch of the Office of Works. The Inspectorate became responsible for advice on preservation, for scrutiny of planning proposals as they affected protected sites, for excavations and the preparation of guidebooks to ancient monuments.
3.2.2.3 The Historic Buildings Council for England, set up under the Historic
Buildings and Ancient Monuments Act of 1953, advised the Minister of Works on the exercise of powers to make grants and loans towards the
repair and maintenance of historic buildings; to acquire such buildings or to assist other organisations (such as the National Trust) to do so.
3.2.3
Legislation in 1980 added the responsibility (shared with the Duchy of
Lancaster) for the National Heritage Memorial Fund. The Fund was able
to make grants or loans towards acquisition, maintenance or preservation of land, buildings or objects of outstanding historic or other interest throughout the UK.
3.2.4
Much of the responsibility for ancient monuments and historic buildings
in England subsequently moved to English Heritage in April 1984, but the DoE Directorate of Ancient Monuments and Historic Buildings retained responsibility for the royal palaces, royal parks, the Tower of London (the
Armouries were the responsibility of a separate Board of Trustees from April 1984), Trafalgar Square, and Osborne House. A new Heritage Sponsorship Division was created within the DoE Directorate to take responsibility for heritage policy, European and international heritage matters (including The World Heritage Convention (WHC)), listing and scheduling, building consent casework and policy, conservation areas policy, heritage taxation, and sponsorship of heritage bodies such as English Heritage and The Royal Commission on the Historical Monuments of England. It became responsible subsequently for heritage funds. The DoE's Property Services Agency (PSA) retained responsibility for the maintenance of the historic buildings in the government estate throughout the UK (*see paragraph* 3.2.7); and the Planning Inspectorate (PINS), continued to process planning and enforcement appeals, public inquiries and other appeals casework (see paragraph 3.9).
3.2.5
Responsibility for all matters relating to those royal palaces open to the
public (including the Tower of London) was transferred to Historic Royal Palaces Agency (HRPA) in 1989, DoE retaining responsibility for the occupied royal palaces and Osborne House, as well as for statues and
monuments.
3.2.6
In 1991 DoE began reviewing its responsibility for the royal parks and the
Royal Parks Constabulary. However, matters were not resolved until after the transfer of responsibilities to DNH in 1992.
3.2.7
The maintenance of the historic buildings in the government estate
throughout the UK was the responsibility of PSA from 1972 to 1990. This departmental agency was created in September 1972 largely from the former works departments of the Ministry of Public Buildings and Works, which by then included responsibility for the Armed Services Works Directorates. The Defence Lands Service was added from the Ministry of Defence in 1972. The PSA Directorate of Home Regional Services was responsible for the seven English regions and for PSA Wales. By 1988 individual government departments had been encouraged to assume
financial responsibility for their own accommodation. In 1990 PSA was restructured and, as PSA Services, was grouped within a new organizational unit within DoE called Property Holdings. PSA Services was eventually privatized in 1992.
3.2.8
Property Holdings was created in April 1990 with responsibility to
manage the Common User Estate (those buildings in the government estate that were shared by several departments) and to carry out certain other former PSA functions retained within government, including responsibility for the Parliamentary Works Office. Property Holdings functioned within DoE Planning Directorates until 1995 when its functions were assumed by individual government departments.
3.2.9
In April 1991 The Heritage and Royal Estate Directorate of DoE took
over responsibility for historic wrecks in English territorial waters from the Department of Transport (DTp) (except for those that are dangerous to shipping). This responsibility was passed to DNH in 1992.
3.2.10 In 1992 responsibility for most of DoE's heritage matters (including
sponsorship of English Heritage) passed to the Department of National Heritage (DNH), later renamed the Department for Culture, Media and Sport (DCMS). However, DoE's Planning and Development Control Directorate continued to sponsor the Planning Inspectorate and to be responsible for building consent casework until this passed to the Department of the Environment, Transport and the Regions in 1997.
## 3.3 The Historic Buildings And Monuments Commission For England (Known As English Heritage)
3.3.1
English Heritage was established as an independent body sponsored by
the DoE under the National Heritage Act 1983. Its Board of Commissioners was set up in October 1983; formal operation began in April 1984, taking over from the DoE's Directorate of Ancient Monuments and Historic Buildings responsibility for the care and preservation of
England's national monuments, including the protection, management and presentation of 400 publicly owned historic properties. Former advisory bodies which had continued to function within the DoE Directorate (The Ancient Monuments Board for England and The Historic Buildings Council for England) ceased to exist.
3.3.2
English Heritage was from its inception the statutory adviser to the
Secretary of State, who retained responsibility for decisions affecting private property (listing and scheduling, and preservation orders) and normal planning control where it impinges on ancient monuments and historic buildings. Its role was to advise on listing and scheduling proposals, applications for scheduled monument consent and the designation of areas of archaeological importance. It had a duty to secure the preservation of ancient monuments and historic buildings; to
promote public enjoyment and advance knowledge of ancient monuments and historic buildings and their preservation; to promote the preservation and enhancement of the character and appearance of conservation areas; and to provide funding for archaeological excavations and research. Responsibilities for preservation and conservation were inherited from DoE, but to these was added a new statutory responsibility for education.
3.3.3
As its name suggests, the Crown Buildings and Monuments Advisory
Group (CBMAG) within DoE provided advice on preservation policy matters as applied to Crown buildings. By 1992 the Group's advisory role had extended to include the government estate, and it was renamed the
Central Government and Palaces Team. Subsequently this team took
over the functions of the DNH Conservation Unit and from 1996 was renamed the Government Historic Buildings Advisory Unit, providing advice on behalf of the Secretary of State for National Heritage (subsequently the Secretary of State for Culture, Media and Sport).
3.3.4
English Heritage was not responsible for the royal palaces or the royal
parks, nor did it have responsibility for the Royal Commission on the Historical Monuments of England (RCHME).
3.3.5
At the abolition of the Greater London Council (GLC) in 1986 (under the
Local Government Bill 1984) English Heritage took on the responsibilities formerly carried out by the GLC's Historic Buildings Division. These included care of the historic buildings formerly owned by the GLC, and responsibility for the London Sites and Monuments Register and for historic building planning consent within the former GLC area. Records created by the former GLC are not public records and are therefore beyond the scope of this Operational Selection Policy.
3.3.6
Sponsorship of English Heritage passed to DNH in 1992 (from DoE) and
to DCMS in 1997. On 1 April 1999 English Heritage was merged by
administrative action with the Royal Commission on the Historical
Monuments of England (RCHME).
## 3.4 The Royal Commission On The Historical Monuments Of England (Rchme)
3.4.1
RCHME was established in 1908 by Royal Warrant. Sponsored from
1970 by DoE and subsequently by DNH/DCMS, it was a recording body whose role was to identify, interpret, survey and record sites and buildings of archaeological and architectural interest in England and its territorial waters (including the statutory recording of threatened listed buildings). RCHME also had responsibility for national standards in surveying. It provided archaeological information for Ordnance Survey maps and from 1986 had responsibility for the Survey of London. It has
responsibility for compiling, coordinating and maintaining the National Monuments Record (NMR), and for promoting access to its information.
3.4.2
The NMR is an archive of architectural and archaeological records, that
has developed from the National Buildings Record (NBR) set up in 1940
to make photographic and other records of historic buildings threatened with destruction; the English section of NBR was transferred to RCHME in 1963. Holdings include photographs, plans, reports and drawings, including record cards created by the Ordnance Survey Archaeology Division and aerial photographs from both Ordnance Survey and the Ministry of Defence. It also provides access to digital datasets and computerized versions of the statutory lists of scheduled monuments and historic buildings created and maintained by the National Programmes
Coordination Section of English Heritage. The National Monuments Record Centre (NMRC) is a Place of Deposit for the records of RCHME, under s 4(1) of the Public Records Act 1958.
3.4.3
RCHME, including the NMR, was merged administratively with English
Heritage in April 1999.
## 3.5 The Royal Commission On The Ancient And Historical Monuments Of Wales (Rcahmw)
3.5.1
The Royal Commission on the Ancient and Historical Monuments of
Wales and Monmouthshire was established by Royal Warrant in 1908, to make an inventory of ancient and historical monuments, and to specify those that were worthy of preservation. It had no powers to implement its
recommendations. It was renamed The Royal Commission on the Ancient and Historical Monuments of Wales (RCAHMW) in 1974. Its current role is to survey, record, publish and maintain a database of ancient and historical and maritime sites and structures, and landscapes in Wales and its territorial waters (including the statutory recording of
threatened listed buildings). It supplies archaeological information to the
Ordnance Survey for mapping purposes, and is responsible for
archaeological aerial photography in Wales. It sponsors the regional Sites and Monuments Records (SMRs), and has responsibility for compiling, coordinating and maintaining the National Monuments Record
of Wales (NMRW) including promoting public access to its information.
3.5.2
NMRW was formally established in 1963 through the transfer of the
Welsh section of the National Buildings Record (NBR) to the Royal Commission. It is an archive of archaeological, architectural and historical records for Wales. It holds electronic records/datasets, photographs, maps, plans, reports and drawings, including records created by the Ordnance Survey Archaeology Division and aerial photographs for the Ordnance Survey and the Ministry of Defence. NMRW holds records from Cadw and its predecessors and from other government organizations. The archive is an approved Place of Deposit
for the records of RCAHMW, under s 4(1) of the Public Records Act 1958.
## 3.6 The Welsh Office
3.6.1
Under the Transfer of Functions (Building Control and Historic Buildings)
Order 1966 and the Transfer of Functions (Wales) Order 1969, responsibility for preservation of the built environment in Wales had been passed from the Ministry of Public Buildings and Works to the Welsh Office by 1969. The Ancient Monuments Board for Wales and the Historic Buildings Council for Wales continued to function as independent advisory bodies within the Welsh Office until 1973. Specific responsibility for preservation of the built environment was held by the
General Division 1973-77, the Conservation and Land Division 1977-82 (within the Land Use Planning Group) and the Ancient Monuments and Historic Buildings Division (within the Establishment Group) 1983, renamed Cadw: Welsh Historic Monuments in 1984. Devolved functions included the care and maintenance of properties in public ownership in Wales, and control of the Historic Buildings Council for Wales and the Ancient Monuments Board for Wales. Certain responsibilities remained with the Ministry of Public Building and Works and were passed on to DoE, including care of the government estate (PSA Wales) and the processing of planning appeals (Planning Inspectorate).
3.6.2
In April 1991 Cadw: Welsh Historic Monuments became an executive
agency of the Welsh Office under the *Next Steps* initiative. It was responsible for the discharge of the Secretary of State's statutory functions relating to the preservation, protection and maintenance of ancient monuments, historic buildings and conservation areas within Wales; also for maintaining and presenting to the public for their appreciation, enjoyment and education those monuments in the care of the Welsh Office.
3.6.3
In April 1991 The Welsh Office took over responsibility for historic wrecks
in Welsh territorial waters from the Department of Transport (DTp) (except for those that are dangerous to shipping). This responsibility was passed to the National Assembly for Wales (NAW) in 1998.
3.6.4
In 1992 the Planning Inspectorate became an executive agency of the
Welsh Office and DoE (*see paragraph* 3.9).
3.6.5
Under s 22 of the Government of Wales Act 1998 the devolved powers
and responsibilities of the Secretary of State for Wales were transferred to the NAW, including sponsorship of Cadw and joint sponsorship of the Planning Inspectorate with DETR (as successor to DoE). Cadw's role is to advise the Assembly on policy matters relating to the preservation of the built environment, to carry out the statutory duties of scheduling,
listing, and grant in aid (as advised by the Historic Buildings Council for
Wales) on its behalf, and to manage the 130 monuments in the care of the Assembly. The Ancient Monuments Board for Wales advises the Assembly on all matters relating to ancient monuments.
## 3.7 The Historic Royal Palaces Agency (Hrpa)
3.7.1
HRPA was established in October 1989 as an executive agency of the
DoE as part of the *Next Step*s initiative. It was responsible for the care, preservation and presentation to the public of the five unoccupied historic royal palaces in England, which are owned by The Queen on behalf of the nation. These are HM Tower of London (excluding The Armouries), Hampton Court Palace, Kensington Palace State Apartments, the Banqueting House at Whitehall, Kew Palace and Queen Charlotte's
Cottage. The Agency was responsible for maintaining them to a high standard and ensuring a good commercial return - performance targets being set by the Secretary of State. In 1992 HRPA was moved to the new DNH, later the DCMS.
3.7.2
On 1 April 1998 all the activities of the Agency were transferred to a royal
charter body with charitable status, called Historic Royal Palaces (HRP). Its trustees were appointed to manage the palaces on behalf of the Secretary of State who is accountable to Parliament for HRP's policy and operations.
## 3.8 Parliamentary Works Directorate
3.8.1
Responsibility for the Parliamentary Works Office within DoE had been
transferred to Property Holdings from PSA in 1990. Following legislation in 1992 (Parliamentary Corporate Bodies Act) responsibility for the care and maintenance of the Parliamentary Estate was passed from DoE to the Parliamentary Works Directorate of the Serjeant at Arms Department. All records relating to Parliamentary Works are deposited with Parliament. These are not public records and are therefore beyond
the scope of this Operational Selection Policy.
## 3.9 Planning Inspectorate (Pins)
3.9.1
The Planning Inspectorate was part of the DoE Planning Group until
1976 with responsibilities for England and Wales. From 1976 it was a shared resource within the Departments of Environment and Transport Common Services until in 1988 it was returned to DoE. It became an executive agency of DoE and the Welsh Office in April 1992, with responsibility for public inquiries into local authority development plans, compulsory purchase orders and appeals against local authority refusals of planning permission, or against enforcement notices relating (amongst other things) to listed buildings, architecture, archaeology, and conservation areas. It remained a part of DoE's Directorate of Planning
and Development Control until it was transferred to DETR in 1997. In 1998 it became a joint executive agency of DETR and the NAW.
## 3.10 The Department Of National Heritage (Dnh)
3.10.1 DNH was created in May 1992 amalgamating functions previously
scattered between several government departments. In terms of the preservation of the built environment, responsibility for most of DoE's heritage matters passed to DNH's Heritage and Royal Estate Divisions, including its sponsorship of heritage bodies and heritage funds, and liaison with the voluntary sector. Responsibility for planning decisions remained with the DoE.
3.10.2 Statutory responsibility for the Royal Household Works programme (care
and maintenance of the occupied royal palaces in England) passed to DNH (DCMS in 1997).
3.10.3 The Conservation Unit within Branch 5 of the Buildings, Monuments and
Sites Division of DNH provided advice on conservation policy as applied to historic buildings in the government estate until 1996 when its functions and records were transferred to English Heritage.
3.10.4 In addition DNH became responsible for the development and
implementation of the National Lottery in 1993 and, through sponsorship of the National Heritage Memorial Fund, for the Heritage Lottery Fund.
3.10.5 Responsibilities held by the Royal Parks Division of DNH were
subsequently passed to a newly created agency (*see paragraph* 3.11).
3.10.6 DNH was renamed the Department for Culture, Media and Sport (DCMS)
in 1997 following a change in government.
## 3.11 The Royal Parks Agency (Rpa)
3.11.1 RPA was established in 1993 as a *Next Steps* executive agency within
the DNH (from 1997 DCMS), to manage and police the eight royal parks in London (St James's Park, The Green Park, Hyde Park, Kensington Gardens, Regent's Park/Primrose Hill, Greenwich Park, Richmond Park, and Bushy Park) and some other open spaces in central London (Brompton Cemetery, Victoria Tower Gardens, Parliament Square Gardens and Grosvenor Square Gardens). In addition RPA was to maintain (but not police) Nos. 10, 11, and 12 Downing Street Gardens, Canning Green, St Margaret's Church Green, Poets Green and the Longford River (except in Hampton Court Park). The gardens at Buckingham Palace and Clarence House were transferred to the Royal Household. The parks belong to the Queen in right of the Crown, but the Secretary of State had responsibility under the Crown Lands Act of 1851 for funding, management, upkeep, security and presentation to the public. The RPA, which included the Royal Parks Constabulary, was
responsible to the Secretary of State for National Heritage who determined policy through the Buildings, Monuments and Sites Division of the Arts, Buildings and Millennium Group.
3.11.2 Under the Greater London Authority Act 1999, the function of the
Secretary of State under s. 22 of the Crown Lands Act 1851 relating to responsibility for the care, control, management and regulation of Parliament Square Gardens was transferred to the Greater London Authority (GLA) with effect from October 2000.
3.11.3 The Park Keeping Force of the Royal Parks had been created as a
special force under the Parks Regulations Act 1872 as amended by the Parks Regulations Act 1926. Provision for the Park Keepers to be called
Parks Constables was made in the Parks Regulations (Amendment) Act 1974, and the Force was renamed The Royal Parks Constabulary (RPC). Its duty had simply been to enforce the Parks Regulations; post 1974 its role was extended to include law enforcement; by 1999 responsibility for the security of state and Crown property adjoining the Parks, and for security on Parks land and property on state ceremonial occasions had been added. DoE inherited responsibility for the Force in 1970, which it passed to DNH in 1992. RPC was included in the Royal Parks Agency on its establishment in 1993.
3.11.4 The area policed by the RPC is not identical to that managed by the
Royal Parks Agency (RPA). RPC has additional responsibility for Tower Gardens, the Natural History Museum Gardens, Abingdon Street Garden, and Hampton Court Park Gardens and Green. Policing of Hyde Park was the responsibility of the Metropolitan Police until it was transferred to RPC in 1993 on the recommendation of the Jenkins Review Group, to coincide with the establishment of the RPA.
3.11.5 Responsibility for regulations in force in the Royal Parks rests with the
Secretary of State. The regulations were amended through The Royal Parks and Other Open Spaces Regulations 1997 (SI 1639), made by the
Secretary of State for National Heritage. The 1997 regulations also applied to Brompton Cemetery, the Longford River and Trafalgar Square (revoking the Trafalgar Square Regulations 1952 (SI 776)).
## 3.12 The Department For Culture, Media And Sport (Dcms)
3.12.1 The Department for Culture, Media and Sport (DCMS) was formed by
the renaming of DNH in July 1997. The Buildings, Monuments and Sites Division was part of the newly named Arts, Buildings and Cultural Industries Group, which by 1999 had been renamed the Arts, Buildings and Creative Industries Group.
3.12.2 Branch 5 of the Buildings, Monuments and Sites Division was
responsible for liaison with the Government Historic Buildings Advisory
Unit within English Heritage, which gave advice on behalf of DCMS on listed buildings and scheduled monuments within the government estate, including royal palaces and other Crown buildings.
3.12.3 The Secretary of State is statutorily responsible for the care and
maintenance of the occupied royal palaces in England. These are Buckingham Palace, St James's Palace, Clarence House, part of Kensington Palace, Windsor Castle (including the buildings in the Home and Great Parks), and the Royal Mews and Paddocks at Hampton Court Palace. The Royal Household is directly responsible for the management of these palaces for which it receives grant-in aid. The Royal Household holds all records relating to the maintenance of these palaces. These records are not public records and are therefore beyond the scope of this
Operational Selection Policy.
3.12.4 DCMS was responsible for overseeing the 1998 transfer of Historic
Royal Palaces from executive agency status to charitable status as a royal charter body; and for the merger of English Heritage with the Royal Commission on the Historical Monuments of England in 1999.
3.12.5 The Greater London Authority Act of 1999 provided for the transfer of
management responsibility for Trafalgar Square and Parliament Square from DCMS to the GLA, with effect from October 2000.
## 3.13 The Department Of The Environment, Transport And The Regions (Detr)
3.13.1 DETR was created out of the merger of DoE and the Department of
Transport in June 1997. Its responsibilities included government policy relating to the environment, housing, transport services, rural affairs and planning. The main areas of DETR responsibility that affected the preservation of the built environment relate to forward planning, and development control exercised by local government, in particular regional development and regeneration. It is the joint sponsor for the Planning
Inspectorate with the NAW.
3.13.2 Following reorganization of DETR and other government departments in
June 2001, responsibility for records held by DETR relating to the preservation of the built environment was transferred to the new Department of Transport, Local Government and the Regions (DTLR).
## 3.14 Crown Estate Office And The Crown Estate
3.14.1 The Crown Estate is the property of the Sovereign 'in right of the Crown'.
The Crown Estate Office in its present form was established under the Crown Estate Act 1961, which provided for the management of the Estate through the Crown Estate Commissioners. The Commissioners have a duty to maintain and enhance the value of the Estate and the return obtained from it and to do this with due regard to the requirements
of good management. In terms of the built environment, the Crown Estate includes the Windsor Estate and a large number of listed historic buildings (in its substantial blocks of commercial and residential property in London and elsewhere).
3.14.2 The Crown Estate Paving Commission is appointed by the Lords
Commissioners of the Treasury and includes among its members representatives of the Treasury and Crown Estate. It was established in 1813 and now has a duty to maintain roads, sewers, lighting etc, provide water supplies and refuse collection, and maintain ornamental gardens and regulate parking in the area that it controls. It is empowered to levy rates upon the property within its area of operation in order to provide funds for its duties. Since 1851 its area of operation has been Regents
Park between the Outer Circle and - clockwise from Gloucester Gate - Albany Street, Marylebone Road, Allsop Place and Park Road to Hanover Gate.
## 4 Relevant Collection Themes In The National Archives' Acquisition And Disposition Policies
4.1
The Acquisition and Disposition Policy statements outline certain
themes, which form the basis of The National Archives' appraisal and selection decisions. Of these themes, the following are of potential relevance to the preservation of the built environment within Great Britain.
## 4.2 Acquisition Policy
2.2.1.4
Administration of justice and the maintenance of
security.
2.2.1.6
Cultural policy.
2.2.2.2
Impact of the state on the physical environment.
## 4.3 Disposition Policy
2.2.1.1
Collections of records produced by central government
bodies, supporting the themes identified in the acquisition policy but with a specific focus on places or counties which can be divided on a geographical basis without diminishing their research value.
2.2.3
National Specialist Records.
2.2.3.1
Nationally significant collections of records which
require specialist knowledge and skills in their management and interpretation and which relate to the UK as a whole or to separate regions of the UK but
which cannot be divided without diminishing the overall research value of the whole. The National Archives will seek to develop partnerships with other institutions possessing the relevant expertise for the preservation of such material.
2.2.5.1
Subject to the guidance and the supervision of The
National Archives, public records bodies appointed to hold their own records under s 4(1) of the Public Records Act 1958 will set the selection criteria for records to be transferred to their own archive.
## 5 Key Themes For Selection Of Records Relating To Preservation Of The Built Environment
5.1
Where appropriate, significant legislation or events have been mentioned
by year. Otherwise the themes relate to the main areas of activity during this period. The records selected will be at policy level unless otherwise stated.
## 5.2 Sponsored Bodies
5.2.1
Sponsorship involves departmental responsibility for financial control,
corporate planning and appointment of key staff for a body that is
otherwise operating with some degree of managerial independence.
5.2.2
PSA was a departmental agency formed within DoE in September 1972
to provide, maintain, manage and furnish government accommodation for defence and civil requirements. The aim was to ensure that government building and development practices were in keeping with national environmental and conservation policies. This included
responsibilities for the conservation and preservation of the historic
buildings in the government estate. Restructuring of responsibilities with regard to the government estate from 1988 resulted in the dismantling of PSA. Some records of the DoE inherited by DTLR have already been reviewed and selected for permanent preservation. They relate to the decision to establish the agency, its functions and powers in relation to the preservation of the built environment, the decision to transfer its functions to other government bodies, the preparations for this transfer and the agency's subsequent demise. It is unlikely that further records will be found but if they are they will be selected (2.2.2.2 of the Acquisition Policy).
5.2.3
English Heritage was the lead body with responsibility for preservation of
the built environment during much of this period, and has inherited records relevant to its functions that were created by DoE, its sponsoring department. Within DoE the Organisation Development Division had
responsibility for the development of proposals for a new body (as set out in DoE's Organisation of Ancient Monuments and Historic Buildings in England: A Consultation Paper, 1981, and Organisation of Ancient Monuments and Historic Buildings in England: The Way Forward *1982*).
The Division was also responsible for coordinating the setting up of English Heritage and the abolition of the Ancient Monuments Board and the Historic Buildings Council for England in 1984. Records created by this division, and currently held by DCMS/English Heritage, which show the rationale for the proposals, and detail the role and powers of the new body, the implications for other bodies, and the development of a programme of implementation, will be selected for permanent preservation (2.2.2.2 of the Acquisition Policy).
5.2.4
The work of English Heritage is overseen by a Board of Commissioners.
Agendas, minutes and papers of the Commission will be selected (2.2.2.2 of the Acquisition Policy).
5.2.5
The English Heritage Board of Commissioners is advised by advisory
committees and panels. Agendas, minutes and papers of these advisory bodies will be selected (2.2.2.2 of the Acquisition Policy).
5.2.6
Since its establishment English Heritage has been the subject of several departmental reviews. English Heritage records relating to the submission of evidence to the National Audit Office for their report Protecting England's Heritage Property in 1992, and to the subsequent
Public Accounts Committee hearings reported in 1993 will be selected (2.2.2.2 of the Acquisition Policy).
5.2.7
A DCMS Comprehensive Spending Review in 1998 proposed the merger
of English Heritage and RCHME. In preparation, English Heritage undertook a regional restructuring, and operational integration took place in April 1999. Policy records created by DCMS relating to the Review and the implementation of its recommendations will be selected. Records created by English Heritage relating to the regional structuring that took
place in 1998, will also be selected (2.2.2.2 of the Acquisition Policy).
5.2.8
In February 1988 an initiative of the government's Efficiency Unit,
Improving Management in Government: the Next Steps recommended that, where possible, the functions of government should be carried out by units designated as agencies headed by chief executives to whom day-to-day management of the agency had been delegated by the responsible Minister. The policy framework was to be set by the Minister together with key performance targets and the Minister was to be accountable to Parliament for the agency's activities. HRPA was among the first executive agencies created as part of the *Next Steps* initiative and was sponsored by DoE. Records created by the Heritage and Royal Estate Directorate of DoE (responsible for the Royal Palaces prior to 1989) have been inherited by DCMS. Those relating to the decision to
create the agency and the role and powers of the agency at implementation will be selected (2.2.2.2 of the Acquisition Policy).
5.2.9
In 1998 HRPA became a Royal Charter Body with the Secretary of State
for Culture, Media and Sport responsible to Parliament for its policy and
operations. Records of the Buildings, Monuments and Sites (BMS) Division of DCMS relating to the transfer of activities from HRPA to the Royal Charter Body in 1998 will be selected (specifically those indicating the reasons behind the decision for change and relating to its responsibilities at implementation) (2.2.2.2 of the Acquisition Policy).
5.2.10 In Wales, Cadw: Welsh Historic Monuments Executive Agency was
established within the Welsh Office in April 1991. Records worthy of
permanent preservation from the Welsh Office relating to the establishment of Cadw and to its main responsibilities have been identified in the Operational Selection Policy OSP7 for *The Welsh Office*
covering the period 1979 to 1997.
5.2.11 Cadw has been the subject of several departmental reviews during this
period. The House of Commons Welsh Affairs Committee undertook reviews in 1993 and 1997; the Auditor General for Wales carried out a review in 1999. Records, created by the Welsh Office Environmental Department, Cadw and the NAW, which detail evidence given to these reviews, and the implications of the subsequent recommendations will be selected (2.2.2.2 of the Acquisition Policy).
5.2.12 The DoE Planning Inspectorate had been a shared resource between
the DoE and the DTp and had responsibilities in both England and Wales. It became part of the DoE's Heritage and Royal Estate Directorate in preparation for its progress towards executive agency status, achieved in 1992 with joint sponsorship from DoE and the Welsh Office. Records created by the joint sponsors, DoE and the Welsh Office, are held by DTLR and the NAW. Those relating to the rationale for the change in status, the sponsorship arrangements, and the agency's
responsibilities at implementation will be selected (2.2.2.2 of the Acquisition Policy).
5.2.13 In July 1991, the DoE announced the setting up of an independent Royal
Parks Review Group under the chairmanship of Dame Jennifer Jenkins, initially to report on the role and use of Hyde Park and Kensington Gardens. The Group produced four separate reports (specific to particular parks) in the period 1992 to 1996, when it also published its final conclusions. At the end of 1997 a further report summarized progress in the light of its recommendations. Records (held by DCMS) created by the Heritage and Royal Estate Directorate within DoE relating to the setting up of the Review Group, together with the records of the Review Group itself will be selected (2.2.2.2 of the Acquisition Policy).
5.2.14 The 1992 report of the Royal Parks (Jenkins) Review Group was
followed by new policy guidance for the administration of the parks and resulted in the establishment of the Royal Parks Agency (RPA) within DNH in April 1993. DoE did the planning work and DNH set out the role of the new agency, its responsibilities, and relationship with its sponsor
department. These records have been inherited by DCMS. Policy records created by DoE, and subsequently by the Heritage and Tourism Group within DNH, discussing the implications of the report and relating to the preparation for executive agency status, and the agency's responsibilities at implementation will be selected (2.2.2.2 of the Acquisition Policy).
5.2.15 The Royal Parks Advisory Board was set up in 1993 to provide external
expertise in finance, management and horticulture, and was chaired by an official of the sponsoring department (DNH/DCMS) until 1999. Records held by DCMS relating to the setting up of this Advisory Board, its role, expertise and authority, and the records of the Advisory Board itself will be selected (2.2.2.2 of the Acquisition Policy).
5.2.16 The Royal Parks Constabulary, reporting to the Chief Executive of the
new agency, enforced the Royal Parks Regulations maintaining law and order in the Royal Parks (including Hampton Court Park) and ensuring security at ceremonial events. Records created by the Heritage and Tourism Group within DNH relating to the rationale behind the inclusion of the Constabulary within the new agency, its role and responsibilities, will be included in the records to be selected under 5.2.11 above.
5.2.17 Recognition of the Constabulary as a formally constituted police force
came in 1974 through the Parks Regulations (Amendment) Act. Records created by the DoE relating to the role of the Park Keepers Force in the period prior to 1974, the reasons for the change in status, and the resultant changes in policy will be selected for permanent preservation (2.2.1.4 of the Acquisition Policy).
5.2.18 During the period between establishment as a police force and inclusion
in the new Royal Parks Agency, the Constabulary experienced three reviews/inspections: in 1975, 1980, and 1985. It was then included in the 1995 review of the RPA. Records created by the DoE relating to the preparation of evidence for these reviews, the resultant reports and the implementation of any recommendations will be selected (2.2.1.4 of the Acquisition Policy).
5.2.19 The Royal Parks Regulations were changed in 1997, and included
changes to the areas to which the regulations applied. Records that indicate the rationale behind these changes and document the effects of their implementation will be selected. These were created by the DoE and DNH (2.2.1.4 of the Acquisition Policy).
5.2.20 The Secretary of State announced a review of RPA in 1999. Records
created by DCMS relating to information gathering for the review will be selected (2.2.2.2 of the Acquisition Policy).
## 5.3 Identification For Protection
5.3.1
Scheduling of nationally important archaeological sites and monuments
gives legal protection against disturbance, destruction or unnecessary interference. Scheduling supports the formal system of planning consent for any work to a designated monument. Included are caves, earthworks, buried remains, funerary and ritual sites, ruins, abandoned farmsteads, engineering structures, industrial buildings and military sites. Buildings in use as dwellings or places of worship are not included. Most are privately
owned. The Secretary of State for Culture, Media and Sport and the NAW and their predecessors were required, under the Ancient Monuments and Archaeological Areas Act 1979 as amended by the National Heritage Act, 1983 and the Government of Wales Act 1998, to compile the schedule of nationally important sites, having taken statutory advice from English Heritage in England and Cadw in Wales. Prior to 1979 there had been no statutory obligation to compile the list; the Secretary of State was merely empowered to do so. Records relating to the rationale behind this change in emphasis, and to schedule approval policy in general will be selected from DoE records post 1979 held by DCMS, from DNH/DCMS's own records, from Welsh Office records post 1979 held by the NAW, and from the Assembly's own records (2.2.2.2 of the Acquisition Policy).
5.3.2
Under the Ancient Monuments Consolidation and Amendment Act 1913
recommendations for scheduling have been the responsibility of the Ancient Monuments Board for England, replaced in 1984 by English Heritage, and the Ancient Monuments Board for Wales, which has functioned through Cadw since 1991. Agenda, minutes and papers from
both Ancient Monuments Boards for the period up to 1978, have been
transferred to The National Archives. Those for the period 1978-84 in England and 1978-99 in Wales will be selected for preservation from records inherited by English Heritage and Cadw (2.2.2.2 of the Acquisition Policy). For the period from 1984 in England agenda, minutes and papers of the Ancient Monuments Advisory Committee within English Heritage are covered by paragraph 5.2.5 of this Operational Selection Policy.
5.3.3
Preparation of proposals for the scheduling of monuments involves
assessment,
evaluation,
identification
and
the
preparation
of
management proposals for each site. Casework files created and inherited by English Heritage from the DoE Ancient Monuments Secretariat and its predecessors, and relating to individual scheduled sites in England will be reviewed. Those records that assist in the
understanding of the site, and support and record its maintenance will be selected. Those selected will be deposited for permanent preservation at the NMRC under s 4(1) of the Public Records Act, 1958 (2.2.3.1 of the Disposition Policy).
5.3.4
Casework files inherited by the Welsh Office from the Ministry of Public Buildings and Works and its predecessors, and relating to individual scheduled sites in Wales will be reviewed. Those records that assist in the understanding of the site, and support and record its maintenance will be selected. Those selected will be deposited for permanent preservation at the NMRW under s 4(1) of the Public Records Act, 1958 (2.2.3.1 of the Disposition Policy).
5.3.5
Scheduling is applied only to sites of national importance. Non-statutory
criteria to assist with the selection of such monuments were provided in
1983 by the Secretary of State for the Environment. The system of scheduling was reviewed in an English Heritage document England's Archaeological Resource published in 1984, leading to a reappraisal of the criteria. The revised principles of selection were set out in Planning
Policy Guidance Note 16 (PPG 16) published by DCMS in 1990. The criteria
consider
the
extent
of
survival/current
condition,
fragility/vulnerability, rarity and period represented, group value with other monuments, diversity, potential for research, and availability of existing documentation. Scheduled monuments are not graded and form a very small proportion of the total national stock of ancient monuments. Policy files created by DoE have been inherited by DCMS. Those relating to changes in criteria used in scheduling policy will be selected together with files created by
English Heritage detailing the
recommendations for future selection criteria and the shortcomings of the previous schedule. Any related records created by the Welsh Office will be selected if they apply specifically to Wales (2.2.2.2 of the Acquisition Policy).
5.3.6
The period under consideration saw a more pro-active approach to selection; moving away from reaction to identified threats towards a planned thematic assessment of particular groups or types of monument. A major reassessment of the schedule, through a review of some 600,000 archaeological sites in England, was begun in 1986 and is known as the Monuments Protection Programme. In Wales an ongoing planned policy of enhancing the schedule was also begun. Using the new criteria, only the best and most typical examples are being included from these themed research and survey programmes. Monuments are being selected as the most important examples from among the known Sites and Monuments Records (SMRs) already registered by local authorities (in England) and Archaeological Trusts (in Wales), based on information collated by the Ordnance Survey. As a result the number of scheduled monuments almost doubled in the period 1986 to 1999. At the same time both Cadw and English Heritage have embarked on a survey and assessment of other nationally important types of monument not previously included, such as industrial and military monuments. Records created by English Heritage and Cadw and which detail the setting up of these programmes and their implementation will be selected (2.2.2.2 of the Acquisition Policy). Casework files relating to these surveys will be deposited at the NMRC and NMRW under s 4(1) of the Public Records Act, 1958 (2.2.3.1 of the Disposition Policy).
5.3.7
Archaeological areas, a concept introduced by the Ancient Monuments
and Archaeological Areas Act, 1979 is a designation, which means that developers are obliged to allow access to the site for archaeologists. The first areas to be designated were historic town centres such as
Canterbury and York. They are defined on statutory maps and their designation represents a change in the appreciation of the value of archaeological sites: from simple recording and investigation to encompass
the
original
context
and
surrounding
land.
The
comprehensive nature of the controls afforded by *PPG 16* in England since 1990 and *Planning Policy Wales* have largely halted the designation of these areas. Policy files held by English Heritage and the Welsh Office (Cadw) relating to the setting up of this designation and the effects of *PPG 16* and *Planning Policy Wales* will be selected (2.2.2.2 of the Acquisition Policy). Casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
5.3.8
Monuments under the sea. In 1991 DoE inherited from DTp, the
responsibility for administering the Protection of Wrecks Act, 1973 in England. This involved designating historic wrecks in English waters and acting as Secretariat to the Advisory Committee on Historic Wreck Sites (ACHWS). The Advisory Committee advises the government on the suitability of wreck sites for designation (their historic and archaeological importance) and issues licenses to carry out activities on these sites. ACHWS also gives general advice on underwater archaeology issues
that may affect historic wrecks within UK waters. Responsibility for wrecks that are dangerous to shipping remained with DTp. DoE responsibility for wrecks was passed to DNH (later DCMS) in 1992. Records created by DTp/DoE and successors and held by DCMS and DTLR relating to the development and implementation of policy on the
designation of wrecks will be selected. Records relating to the establishment and role of the Advisory Committee and the agenda, minutes, papers and annual reports of the Advisory Committee itself will also be selected (2.2.2.2 of the Acquisition Policy). Casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
5.3.9
In Welsh waters responsibility for designation of historic wrecks was
transferred from DTp to the Welsh Office in 1991 and passed to the
NAW in 1998. Records created by DTp/DoE and successors and held by the Welsh Office and successors, relating to the development and implementation of policy on the designation of wrecks and the role of the Advisory Committee on Historic Wreck Sites (ACHWS) will be selected if they apply specifically to Wales (2.2.2.2 of the Acquisition Policy).
Casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
5.3.10 Listing of buildings is a means of ensuring that the special architectural
and historic interest of the building is considered before any alterations are agreed to its exterior or interior, or before consent to demolish can be granted. The emphasis is on structures still in use or capable of re-use. The Secretary of State for Culture, Media and Sport and the NAW and
predecessors had a duty under the Planning (Listed Buildings and Conservation Areas) Act, 1990 as amended by the Government of Wales Act 1998, to compile the list of buildings of special architectural or historic interest, having taken statutory advice from English Heritage in England and Cadw in Wales. Prior to 1990 there had been no statutory obligation to compile the list; the Secretary of State was merely empowered to do so. Records relating to the rationale behind this change in emphasis regarding listing, and to listing approval policy will be selected from DoE's pre-1990 records, from DNH/DCMS's own records, from Welsh Office pre-1990 records, and from NAW own records (2.2.2.2 of the Acquisition Policy).
5.3.11 Under the Historic Buildings and Ancient Monuments Act 1953
recommendations for listing have been the responsibility of the Historic Buildings Council for England, replaced in 1984 by English Heritage, and the Historic Buildings Council for Wales, which has functioned through Cadw since 1991. Agenda, minutes and papers from both Historic
Buildings Councils for the period up to 1978 have been transferred to The National Archives. Those for the period 1978-84 in England and 1978-99 in Wales will be selected for preservation from records inherited
by English Heritage and Cadw (2.2.2.2 of the Acquisition Policy). For the period from 1984 in England agenda, minutes and papers of the Historic Buildings and Areas Advisory Committee (HBAAC) within English
Heritage are covered by paragraph 5.2.5 of this Policy.
5.3.12 The principles of selection and the definition of grading were
successively revised through DoE Circulars in 1974 (Historic Buildings
and
Conservation,
102/74)
and
1987
(Historic
Buildings
and
Conservation Areas: Policy and Procedure, 8/87) and most recently in the Planning Policy Guidance Note 15: Planning and the Historic Environment (PPG 15) published jointly by the DoE and the DNH in 1994 and the subject of Welsh Office Circular 61/96. The original criteria (issued in 1947) had defined three grades in terms of priority for preservation, whereas the 1974 Circular simply explained principles for
selection without linking this to grading. Grades were again specified in 1987 to indicate 'relative importance', and the Circular introduced the 30- year rule allowing for any building older than 30 years to be considered for listing. PPG 15 indicates that whilst grades are of material consideration in the exercise of statutory building controls, these controls apply equally to all listed buildings irrespective of grades. PPG 15 adds an expanded definition of the principles of selection as architectural interest (design, decoration, craftsmanship, type, building techniques and plan form), historic interest (relating to national social, economic, cultural or military history), close historical association (with important people or events), or group value (related to planning, e.g. squares, terraces). Policy files created by DoE and DNH have been inherited by DCMS. Those relating to changes in criteria used in listing policy will be selected together with files created by English Heritage detailing the recommendations for selection criteria and the shortcomings of the existing criteria. Any related records created by the Welsh Office will be selected if they apply specifically to Wales (2.2.2.2 of the Acquisition Policy).
5.3.13 The first major revision of the list in England and Wales was completed
in 1987. It had been started in 1968 in response to the threat from the redevelopment boom of the 1960s. The first phase involved cities and towns affected by the development of new towns and the London 'overspill'. Progress was slow, but the demolition of the 1928 Firestone Factory in 1980 prompted an acceleration of the survey and the inclusion of twentieth century buildings in the listing. As a result of this systematic fieldwork, the need for 'spot listing' declined. Despite the abolition of the non-statutory Grade III category in 1970, the number of listed buildings in England increased four-fold from 1970 to 1987. This reflected the expanding scope of conservation interests to include a wider range of building types and buildings of later periods. In addition the resurvey included consideration of the interiors of buildings, and resulted in the listing of externally unremarkable buildings not previously considered.
Records created up to 1977 by the DoE and successors have been reviewed and those selected for preservation have been transferred to The National Archives. Records created by the DoE and successors and held by DCMS relating to the decisions to accelerate the revision programme and to include twentieth century buildings, and to the implementation of these decisions will be selected. Any related records created by the Welsh Office will be selected if they apply specifically to
Wales (2.2.2.2 of the Acquisition Policy).
5.3.14 During this period there was some debate about the precise definition of
the protection afforded by the listing of a building - whether fixtures and fittings, contents of buildings and features of the curtilage (the area attached to and containing a property and its outbuildings) were or ought to be included. In 1977 the sale of Mentmore, Buckinghamshire and the
resultant dispersal of its contents underlined the need to record buildings with their furnishings and décor intact and persuaded the DoE that a house and its contents were of historic importance. DoE records inherited by DCMS detailing these discussions and their effects on policy will be selected. Any related records created by the Welsh Office will be selected if they apply specifically to Wales (2.2.2.2 of the Acquisition Policy).
5.3.15 Casework files relating to individual listed buildings will be selected in
accordance with an Operational Selection Policy covering Preservation Casework.
5.3.16 Subsequently a second programme of review took place in England and
Wales from 1989 to 1992 involving reappraisal of sections of the resurvey, followed by a countrywide exhibition 'A Change of Heart' to encourage public debate on the listing policy. English Heritage and Cadw have since begun programmes of thematic studies of various building types with a view to making recommendations for listing, and encouraging members of the public to participate. In Wales, prompted by the 1993 report of the Welsh Affairs Committee of the House of Commons, Cadw accelerated the programme to resurvey Wales using approved contractors. Policy files held by English Heritage and Cadw (Welsh Office) relating to the decisions to undertake the second resurvey and to the programme of themed study will be selected. Records detailing the rationale for the exhibition, its content and any resultant influence on policy will be selected. (2.2.2.2 of the Acquisition Policy). Casework files relating to individual listed buildings will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
5.3.17 English Heritage has a duty to publish the schedule of monuments and
the Secretary of State for Culture the list of historic buildings. Scheduled monuments are identified by schedule entry, which may include a map.
Listed buildings are identified by address but may also indicate that the protection extends to the curtilage. Lists and details of scheduled monuments are held by county Sites and Monuments Records (SMRs) within each local authority. Local authority planning departments have
details of listed buildings in their area. The Schedule of Ancient Monuments and the List of Historic Buildings for the whole of England are held as databases (the Record of Scheduled Monuments (RSM) and the Listed Building System (LBS)) by the National Programmes Coordination Section of English Heritage. The LBS is currently available online. Both databases are subject to continuous updating as a result of authorized additions, amendments and deletions. It is planned that quinquennial snapshots will be taken of these databases for permanent preservation either at the UK National Digital Archive of Datasets
(NDAD) or at a suitable place of deposit under s 4(1) of the Public Records Act, 1958 (2.2.3 of the Disposition Policy).
5.3.18 NAW through Cadw has a duty to publish the schedule of monuments
and the list of historic buildings. These lists are being digitized and will
form part of a comprehensive database of Welsh archaeology and architecture to be known as the Extended National Database for Wales (ENDEX). It is planned that quinquennial snapshots will be taken of these databases for permanent preservation either at the UK National Digital Archive of Datasets (NDAD) or at a suitable place of deposit under s 4(1) of the Public Records Act, 1958 (2.2.3 of the Disposition Policy). Records relating to the establishment of ENDEX will be selected
from the records held by Cadw (2.2.2.2 of the Acquisition Policy).
5.3.19 Conservation Areas. The concept was first introduced in the Civic
Amenities Act, 1967 to protect settings for historic buildings. They were
defined as areas of special architectural or historic interest, the character or appearance of which it was desirable to preserve or enhance. The first examples were townscapes and parks, more recent examples have included rural landscapes and have been more concerned with neighbourhood amenity and protecting the local environment. The Planning (Listed Buildings and Conservation Areas) Act of 1990 contained a statutory definition for the purposes of designation. *PPG 15*, 1994 indicates that designation of conservation areas should be limited to the best examples selected for reasons of technical innovation or social or economic history as well as external visual quality. By 1999 there were approximately 8,000 conservation areas in England defined on statutory maps. The duty to designate conservation areas in England rests with local authorities. Identification is often done in conjunction with the preparation of development plans and is judged by local rather than
national criteria. Since 1986 and the abolition of the Greater London
Council, English Heritage has been responsible for designation within London in consultation with the relevant London Borough and gives
advice on the identification and designation of conservation areas elsewhere. The Secretary of State for DoE also had powers to designate in cases of national importance, powers handed on to DNH and DCMS. Policy files from DoE and successors and from English Heritage will be selected. Any related records created by the Welsh Office will be selected if they apply specifically to Wales (2.2.2.2 of the Acquisition Policy). Casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
5.3.20 Designed landscapes: since 1983, English Heritage has been
empowered through the Historic Buildings and Ancient Monuments Act 1953, as amended by the National Heritage Act, 1983 to compile a Register of Parks and Gardens of Special Historic Interest in England, to identify those that are of national or international significance and to help
safeguard them. There are no statutory controls, but local planning authorities must consider these sites when determining planning permission. Compilation of a register of these constructed landscapes began in 1986 and by 1999 there were around 1,300 sites recognized for their age, layout and features, historic landscape and design or the quality of their landscaping. The register identifies gardens, public parks, cemeteries, and hospital landscapes; it also includes the Royal Parks, which provide the settings for important national buildings. The listing identifies three grades according to their international or relative national importance and uses nine criteria. From 1994 to 1999 English Heritage carried out county-based surveys in partnership with local authorities and local organizations. Based on these surveys, updating of the register began in 1997. Policy files from English Heritage on the setting up of the register, and the establishment of the criteria and grading system will be selected. Records relating to the decision to undertake the county-based surveys and to update the register will also be selected (2.2.2.2 of the Acquisition Policy). Records of the Parks and Gardens Advisory Committee within English Heritage are covered in paragraph 5.2.5. Casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
5.3.21 In Wales Cadw has undertaken the compilation of a Register of
Parklands and Gardens, underpinned by a survey done by RCAHMW. Policy files from Cadw on the setting up of these registers and the establishment of the criteria and grading system will be selected (2.2.2.2
of the Acquisition Policy). Casework files will be selected in accordance
with an Operational Selection Policy covering Preservation Casework.
5.3.22 Historic landscapes: a proposal to develop the last two surviving fields at
the heart of the site of the Battle of Tewkesbury resulted in a public inquiry in 1999 to which English Heritage gave evidence. Planning consent was not granted, but this focused attention on the importance of the Register of Historic Battlefields. There are no statutory controls, but
local planning authorities must consider these sites when determining planning permission. Records created by English Heritage relating to the establishment of this register, and the establishment of the criteria for inclusion will be selected. Records of the DETR Tewkesbury Inquiry itself and records created and held by English Heritage relating to this inquiry will also be selected (2.2.2.2 of the Acquisition Policy). Records of the English Heritage Battlefields Advisory Committee are covered by paragraph 5.2.5 of this Operational Selection Policy. Casework files will
be selected in accordance with a Policy covering Preservation Casework.
5.3.23 Buildings at Risk Register. English Heritage conducted a National
Sample Survey as a pilot project in 1992. The main register was first compiled in 1998 by English Heritage to raise awareness of those
buildings known to be at risk through neglect and decay or redundancy, so that local authorities can activate protection procedures. It is updated annually and covers listed buildings and scheduled structures, and uses both the current condition and its rate of decay as criteria for grading into six priorities for action. Policy files from English Heritage on the setting up of this register, and the establishment of the criteria for inclusion and grading will be selected (2.2.2.2 of the Acquisition Policy). Casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
5.3.24 In Wales the Chapels Recording Project begun in 1999 is a co-operation
between RCAHMW, Capel (the Chapels Heritage Society), Cadw, and others aiming to survey the Nonconformist chapels in Wales with a view
to providing a written and photographic record of some 6,000 buildings, with measured drawings for those which are of particular architectural, historical or religious significance, and registering those at risk. RCAHMW is responsible for the survey as part of its emergency recording duties under the Town and Country Planning Act 1971. Listing for architectural or historic interest is Cadw's responsibility. Policy files from Cadw on the setting up of this project, the establishment of the standards for description, and on the roles of each of the participants will be selected (2.2.2.2 of the Acquisition policy). The survey records will be deposited at the NMRW as a Place of Deposit under s 4(1) of the Public Records Act 1958 (2.2.5.1 of the Disposition Policy). Cadw's casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
## 5.4 Surveying And Recording
5.4.1
Throughout this period the RCHME and RCAHMW had responsibility for
surveying and recording ancient monuments, and a statutory duty under the Town and Country Planning Act 1971, for emergency recording of buildings threatened with destruction. If planning permission to demolish
a listed building is granted, one month's statutory notice has to be given to the RCHME and RCAHMW for the purpose of recording the building prior to demolition. The original 1908 Royal Warrants required that each Commission compile an inventory of the ancient and historical monuments and constructions and to specify those which seemed worthy of preservation. The 1992 Royal Warrants required that each
Commission preserve its own survey records; all survey records created by RCHME and RCAHMW will be deposited at the NMRC and NMRW as places of deposit under s 4(1) of the Public Records Act 1958 (2.2.5.1 of the Disposition Policy).
5.4.2
In 1979 RCHME discontinued recording of the definitive inventory, which
had been its function since the issue of its first Royal Warrant. Records created by RCHME and relating to the reasons for this decision and the implications for RCHME will be selected for permanent preservation and
deposited at the NMRC as a place of deposit under s 4(1) of the Public Records Act 1958 (2.2.5.1 of the Disposition Policy).
5.4.3
Further expansion of survey holdings at RCHME's NMR came through
the transfer of collections from other government bodies: the Industrial
Monuments Survey from DoE in 1981, records of archaeological sites in England maintained by the Ordnance Survey Archaeology Branch in 1983, and the Greater London Council's Survey of London in 1986. RCHME gained academic control and responsibility for supplying selected archaeological mapping information for England to the Ordnance Survey (OS) through the transfer of the OS records; it also took responsibility for continuing the work on the other surveys. Files relating to the policy of expansion of the holdings at NMR during this
period and its influence on survey programming policy will be selected for permanent preservation and deposited at the NMRC as a place of
deposit under s 4(1) of the Public Records Act 1958 (2.2.5.1 of the Disposition Policy).
5.4.4
Survey records relating to ongoing work on the Survey of London, the
Industrial Monuments Survey, and the supply of archaeological data to the OS will be deposited at NMRC as a place of deposit under s 4(1) of the Public Records Act 1958 (2.2.5.1 of the Disposition Policy).
5.4.5
Responsibility for the functions of the OS Archaeology Branch in Wales
passed to RCAHMW in 1983. The records of archaeological sites in Wales were transferred to NMRW and RCAHMW took on the responsibility of providing OS with archaeological mapping information for Wales. The collection included records for approximately 30,000 sites in Wales; considerably expanding the holdings at NMRW and giving RCAHMW academic control of mapped data that is a primary source for planners and others involved in modifying the landscape. Files relating to the effects of this transfer of records and responsibilities on the survey programming policy, will be deposited at NMRW as a place of deposit
under s 4(1) of the Public Records Act 1958 (2.2.5.1 of the Disposition Policy).
5.4.6
DoE conducted a review of both RCHME and RCAHMW in 1988, which
resulted in the recommendation that both bodies refocus on the supply of
information and led to the development of the NMR and NMRW as the focal points for public access to the information held by the Commissions. Records, created by DoE and held by DCMS and the NAW, which detail the reasons for the review, will be selected; records, created by RCHME and RCAHMW, relating to the submission of evidence
and
the
policy
implications
of
the
subsequent
recommendations will be selected (2.2.2.2 of the Acquisition Policy).
5.4.7
By 1992 a new Royal Warrant had recognized the survey expertise at
RCHME, which was authorized to establish and maintain national
standards for surveying, recording and curating heritage data. Standards were established with British and European partners, and RCHME took on a training role. RCHME continued to act as the oversight body for the records of archaeological sites held within each local authority: the system of local Sites and Monuments Records (SMRs). Records relating to RCHME's role in the establishment of national survey standards, to its new training role and to its policy with regard to the SMRs will be deposited at the NMRC as a place of deposit under s 4(1) of the Public Records Act 1958 (2.2.5.1 of the Disposition Policy).
5.4.8
A new Royal Warrant for RCAHMW in 1992 placed emphasis on the role
of NMRW, and after its relocation to Plas Crug, a formal collecting policy was agreed. Policy files relating to the need for relocation and planning
for its implementation, implications of the Royal Warrant on the balance of RCAHMW activities, and the background to the establishment of the formal collecting policy, will be deposited at NMRW as a place of deposit under s 4(1) of the Public Records Act 1958 (2.2.5.1 of the Disposition Policy).
5.4.9
Underwater Archaeology. In 1992 RCHME accepted responsibility for
creating a central national record of historic wrecks and other archaeological sites within the 12-mile coastal limit of England. Survey records created by RCHME and policy records, created by RCHME, which indicate the reasons for the structure of this record set, will be preserved at the NMR as the place of deposit under s 4(1) of the Public Records Act, 1958 (2.2.5.1 of the Disposition Policy).
5.4.10 RCAHMW accepted responsibility for creating a central national record
of historic wrecks and other archaeological sites within Welsh coastal waters. Survey records created by RCAHMW and any related policy records created by RCAHMW if they apply specifically to Wales will be preserved at the NMRW as a place of deposit under s 4(1) of the Public Records Act, 1958 (2.2.5.1 of the Disposition Policy).
5.4.11 In 1994 RCAHMW began a programme of research, including limited
survey, providing a database of historic parklands and gardens in Wales to underpin the Cadw register (*see paragraph* 5.3.21). The RCAHMW survey records will be preserved at the NMRW as a place of deposit under s 4(1) of the Public Records Act, 1958 (2.2.5.1 of the Disposition Policy).
5.4.12 The Uplands Initiative (Uplands Archaeological Survey) begun by
RCAHMW in 1989 aims to discover the archaeological sites of Upland Wales through systematic field survey. A review of the project in 1999 resulted in the acceleration of the survey through the use of mapping created from analysis of existing aerial photographic archives. Records created by RCAHMW relating to the establishment of this research survey, to the review and to the subsequent use of new technology to
map through photographic survey will be reviewed. Selected records together with the actual survey records will be deposited at NMRW as a Place of Deposit under s 4(1) of the Public Records Act 1958 (2.2.5.1 of the Disposition Policy).
5.4.13 In 1994 the RCHME relocated to Swindon and its NMR holdings were
brought together under one roof. A strategic plan was issued in 1996 and restructuring followed. Policy files relating to the preparation of the strategic plan, and reasons for the restructuring, will be deposited at NMRC as a place of deposit under s 4(1) of the Public Records Act 1958 (2.2.5.1 of the Disposition Policy).
5.4.14 The operational merger of RCHME with English Heritage in 1999 was a
recommendation of the Treasury Comprehensive Spending Review carried out by DCMS in 1998. Records relating to this review and its recommendations are covered by paragraph 5.2.7 of this Operational Selection Policy.
5.4.15 A major photographic survey of listed structures in England was begun in
May 1999 in partnership with the Royal Photographic Society and supported by grants from the Heritage Lottery Fund and others. This Images of England survey is being undertaken by a team of volunteer photographers under the supervision of the NMR (by then part of English
Heritage). The first images have been digitized and made available over the Internet. Records created by English Heritage relating to the roles of the various participants, the setting up of the survey, its aims and purpose, and the decision to involve volunteers from the general public will be selected (2.2.2.2 of the Acquisition Policy). A copy of the completed electronic survey as posted on the web site will be deposited for permanent preservation either at the UK National Digital Archive of Datasets (NDAD) or at a suitable place of deposit under s 4(1) of the Public Records Act, 1958 (2.2.3 of the Disposition Policy).
5.4.16 Excavation records of RCHME. These will be passed to local authorities
for preservation alongside the artefacts from the excavation (2.2.1.1 of the Disposition Policy). The NMR has no significant internally generated excavation archives as it does not have a central role in the processing and storage of current documentary archaeological archives, unlike its Welsh counterpart. RCHME has an Excavation Index which incorporates details of archaeological interventions and locates both the intervention and the related records, together with bibliographical references. This index has been compiled by NMR staff, and relates to records held elsewhere. It is available online at the NMR and will not be selected.
5.4.17 Excavation records of RCAHMW will be deposited at the NMRW as a
place of deposit under s 4(1) of the Public Records Act, 1958 (2.2.5.1 of the Disposition Policy).
5.4.18 The work of RCHME is overseen by a Board of Commissioners. Records
of the Warrants of Appointment of Commissioners will not be selected. Agendas, minutes and papers of the Commission will be selected. Annual reports to 1991 have been transferred to The National Archives, annual reports from 1992 to 1999 will be selected (2.2.2.2 of the
Acquisition Policy).
5.4.19 The work of RCAHMW is overseen by a Board of Commissioners.
Records of the Warrants of Appointment of Commissioners will not be selected. Agendas, minutes and papers of the Commission will be selected (2.2.2.2 of the Acquisition Policy).
## 5.5 Assistance With Preservation And Conservation 5.5.1 Grants And Funds
5.5.1.1 During this period government responsibility for the distribution of grants
to individuals and organizations for the preservation of the built environment in England and Wales was delegated to agencies sponsored by government (English Heritage, Cadw), the Royal Commissions on the Historical Monuments of England and Wales, the National Heritage Memorial Fund, and the Churches Conservation Trust. In most cases conditions were imposed relating to public access, assurances that the property would be maintained in the future, and that the work would be carried out to an agreed and appropriate standard. This was a period of general expansion in funding for preservation of the
built environment. Records created by DoE and successors and held by DCMS and English Heritage and those created by Cadw (Welsh Office) relating to policy on funding criteria and attached conditions, will be selected (2.2.2.2 of the Acquisition Policy).
5.5.1.2 The UK government had increased funding through the Historic Buildings
Councils in 1970, but most grants went to Grade I listed buildings. Under
the Town and Country Planning (Amendment) Act, 1972 a new grant was available to local authorities for the conservation of historic areas, in particular in outstanding conservation areas (as defined by the Historic Buildings Councils). The grant was to cover expenditure incurred towards significantly preserving or enhancing the character or appearance of the area. Policy records of DoE, the Welsh Office and the Historic Buildings Councils to 1980 (held by English Heritage and Cadw) have been reviewed and those selected for permanent preservation have been transferred to The National Archives.
5.5.1.3 In July 1973 the Council of Europe began a campaign to protect
European architectural heritage, which culminated in European Architectural Heritage Year (EAHY) in 1975. Government grants and loans were made available for the enhancement of the character or
appearance of conservation areas. Special Heritage Year Awards were offered through the Civic Trust, mostly for a range of environmental improvements of modest size rather than for buildings of acknowledged importance, so stimulating support for neighbourhood protection strategies and acknowledging the importance of items such as street furniture and the location of advertisements in the context of conservation area policy. The UK Council for EAHY had separate committees for England and Wales. Policy records held by DCMS and Cadw but created by DoE and the Welsh Office to 1980, have been reviewed and those selected for permanent preservation have been transferred to The National Archives.
5.5.1.4 The Architectural Heritage Fund was established in 1976 to provide loan
capital to local preservation trusts to conserve historic buildings. Funded partly from DoE funds, it was run in association with the Civic Trust.
Policy records held by DCMS and Cadw but created by DoE and the Welsh Office to 1980 have been reviewed and those selected for permanent preservation have been transferred to The National Archives.
5.5.1.5 The National Heritage Memorial Fund (NHMF) was set up under the
National Heritage Act in 1980 to give financial assistance (as a fund of last resort) for the acquisition, preservation and maintenance of land, buildings or structures deemed nationally important throughout the UK. The National Heritage Act 1997 extended its powers to support a wider range of projects. Since 1995, under the National Lottery Act 1993 (as amended by the National Lottery Act 1998), it has also been responsible for distributing the Heritage Lottery Fund (HLF), with advice from English Heritage. The Trustees separately administer the two funds, are accountable to the Secretary of State, and are grant funded by DCMS.
Policy records created by DoE, DNH and held by DCMS relating to the setting up of the Fund and the decision to add the HLF to its responsibilities will be selected for preservation. Any related records created by the Welsh Office will be selected if they apply specifically to
Wales (2.2.2.2 of the Acquisition Policy). The records of NHMF and HLF are not public records and so are beyond the scope of this Operational Selection Policy.
5.5.1.6 The grant–giving powers of English Heritage and Cadw are derived from
the Historic Buildings and Ancient Monuments Act, 1953 and have been inherited from DoE and the Welsh Office. English Heritage and Cadw
make grants and loans for major structural repairs only. Their grants are not available for routine maintenance, alterations, improvements, or demolition. Nationally important buildings, scheduled monuments, and registered parks and gardens qualify. Under the Ancient Monuments and Archaeological Areas Act, 1979 grants are available towards the cost of preservation, maintenance and management of ancient monuments including archaeological investigation and publication. DoE policy files to
1980 (inherited by English Heritage) relating to grant aid have been reviewed and those selected for permanent preservation have been transferred to The National Archives. Records created by DoE and English Heritage after 1980 which detail changes in grant aid policy through special grant schemes will be selected.
5.5.1.7 In 1992 concern over the effects of pollution (acid rain and traffic
pollution) on the fabric of buildings led to an internal review by English
Heritage of strategies concerned with the care of properties for which it was responsible. A policy statement Managing England's Heritage: Setting priorities for the 1990s, published in 1992, proposed to devolve care of certain properties to local authorities and to the National Trust, alongside a review of grant aid to conservation areas and churches. In
addition it proposed funding policy changes: a diversion of rescue archaeology funds to a small selection of long-term projects; a policy of private sector fundraising to support a Conservation Fund for emergency needs; and a public appeal for funds to set up a grant system for gardens. Policy files relating to grant aid, and in particular relating to the rationale for the proposed policy change in 1992, will be selected from DoE records post 1980 held by English Heritage, and from English Heritage's own records. (2.2.2.2 of the Acquisition Policy). Casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
5.5.1.8 English Heritage Consultation Paper Conservation Area Partnership
Scheme (1993) detailed proposals for changes in the grants regime for conservation areas, which had appeared in the English Heritage policy statement of 1992. These were schemes for visible improvements, attracting funding from other sources, and stimulating the regeneration of deprived areas. Building on the success of this Conservation Area Partnership Scheme (CAPS), the Heritage Economic Regeneration Scheme (HERS) announced in 1998 directs grants towards repair and re-use of the ordinary historic buildings (such as shop fronts) in deprived
areas and rural communities. Policy files relating to the establishment of both the original Partnership Scheme and the development into HERS will be selected. Any related records created by the Welsh Office will be selected if they relate specifically to Wales (2.2.2.2 of the Acquisition Policy). Casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
5.5.1.9 Schemes to fund cathedrals, churches and other places of worship were
developed in this period. The Churches Conservation Trust (CCT) established in 1968 (as the Redundant Churches Fund) provided grants for churches of historical, architectural or archaeological interest that were no longer in use. The funding was a joint responsibility between DoE (and its successors) and the Church Commissioners, and allows CCT to hold, maintain and repair churches in its care. The Joint Grant
Scheme for Churches and Other Places of Worship, established in 1996 and processed by English Heritage with HLF support, made funds available to churches and other places of worship that had no other resources. In 1991 the Secretary of State for Environment made English Heritage responsible for grant aiding England's Anglican and Roman Catholic cathedrals through the Cathedrals Repairs Grant Scheme. DoE policy files relating to the establishment of these two schemes and their implementation will be selected, together with files created by English Heritage. Any related records created by the Welsh Office will be selected if they apply specifically to Wales (2.2.2.2 of the Acquisition Policy).
## 5.5.2 Fiscal Policy
5.5.2.1 During this period government legislation allowed for conditional
exemption from inheritance tax and capital gains tax on property of heritage quality (or non-heritage property if it provided maintenance fund
income for a heritage property). The Inland Revenue relied on English Heritage for advice in assessing qualification. Policy files relating to the advisory role of DoE and successors in the establishment and implementation of these measures will be selected (2.2.2.2 of the Acquisition Policy).
5.5.2.2 A number of measures made provision for reluctant owners of historic
buildings to obtain fiscal relief through gifts to charities for national and public benefit, private treaty sales to bodies approved by the Inland Revenue, or by the acceptance of property in lieu of tax. The Finance Acts of 1980, and 1982, as consolidated by the Income and Corporation Taxes Act, 1989, exempted the NHMF and subsequently English Heritage from income tax. The Capital Transfer Tax Act 1984 abolished stamp duty on maintenance funds for historic buildings and also provided for acceptance of property in settlement of tax. Policy files relating specifically to the advisory role of DoE and successors in the
establishment and implementation of these measures will be selected (2.2.2.2 of the Acquisition Policy).
## 5.6 Management
5.6.1
Sustainable conservation as a concept of custodianship in the built
environment developed in the 1990s from a concern for the survival of the natural world, as expressed in the World Commission on Environment and Development (WCED) 1987 Bruntland Commission Report: *Our Common Future*. The concept of ensuring that the current
actions of government did not affect the ability of future generations to enjoy the environment was first expressed in the DoE Sustaining Our
Common Future: A Progress Report by the UK on Implementing
Sustainable Government, 1989. Its application to the built environment appeared in the 1990 document This Common Inheritance: A Summary
of the White Paper on the Environment. Records created by DoE, which relate to the preparation of these documents and their affect on policy, will be selected (2.2.2.2 of the Acquisition Policy).
5.6.2
During the period under consideration the concept of management
moved away from concentration on specific sites and buildings to consideration of their interrelated contexts of urban and rural settlement, together with the visual aspects of townscape and landscape, engaging in a wider range of contemporary concerns such as the archaeological evolution of the landscape. As a consequence English Heritage and local authorities have been empowered to make management agreements to ensure the preservation of and public access to ancient monuments and adjoining land. Policy files relating to the management of ancient
monuments and historic buildings created in DoE and DNH will be
selected, as will files created by English Heritage relating to the development of management policy, particularly as it relates to public access and management partnerships (2.2.2.2 of the Acquisition Policy). Casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
5.6.3
Developments in listing to include a wider selection of structures have
brought more complex issues of multiple occupancy and/or ownership into the management arena. Policy files relating to the management of ancient monuments and historic buildings created in DoE and DNH will be selected, as will files created by English Heritage relating to the development of management policy, particularly as it relates to ownership issues (2.2.2.2 of the Acquisition Policy). Casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
5.6.4
As part of its role as statutory advisor on the built heritage in England,
English Heritage has established research and advisory services supported by the publication of technical handbooks, and other specialist
booklets. Records relating to high-level policy on research and advisory services, and on the establishment and role of the Central Archaeology Service, and the Ancient Monuments Laboratory and their incorporation into the Fort Cumberland Centre for Archaeology in 1999 will be selected (2.2.2.2 of the Acquisition Policy).
5.6.5
Acceptance of the need to manage change has been evident in the
increased re-use of buildings and sites. Changes in industrial practices during this period made available redundant industrial and transport areas for conversion and preservation. Adaptation to contemporary needs was preferable to allowing a building or site to go out of use (and thus become at risk), or simply halting decay. Dockyard areas and larger industrial sites were found new beneficial uses as homes for museums and retail complexes when the original use was no longer sustainable. Policy files relating to the advisory role of DoE and successors in the re-
use of buildings and sites will be selected (2.2.2.2 of the Acquisition Policy). Casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
## 5.7 Planning Control
5.7.1
Responsibility for planning remained with DoE throughout the period
1970 to 1997 when it passed to DETR. Two legal codes emerged during this period, operating separately at national and local levels. Control at the national level by the Secretary of State was available for scheduled ancient monuments through the 1979 Ancient Monuments and Archaeological Areas Act as amended by the National Heritage Act, 1983. Control at local level through local authority land-use planning
covered listed buildings, conservation areas and areas of archaeological importance. Local level controls ranged from voluntary partnerships to statutory requirements. Awareness of past losses and damaging works meant a tightening of control; statutory provision moved from 'notification of intention' to formal procedure for permissions in advance for historic buildings in 1968, conservation areas (partially) in 1974 and scheduled
ancient monuments in 1981, (initiated by the Ancient Monuments and Archaeological Areas Act 1979). A series of DoE Circulars issued from 1973 to 1975 detailing DoE planning developments, will be selected. Records, created by DoE and DETR, relating to the general tightening of planning controls, the problems posed by unprotected sites and buildings and the need to extend planning control measures beyond the confines of individual sites, will be selected (2.2.2.2 of the Acquisition Policy).
5.7.2
Archaeology and Planning (PPG16, DoE 1990) reinforced archaeology as a material consideration in planning decisions. It detailed preferred procedures for assessment and preservation of important remains affected by development proposals. It insisted on proper consideration being given to all archaeological remains in the planning process and put
the responsibility on developers for funding of recording and
archaeological investigation in preparation for development. DoE policy files, relating to the preparation of this planning policy document and the rationale behind its content will be selected (2.2.2.2 of the Acquisition Policy).
5.7.3
The Town and Country Planning Act 1971 consolidated most of the
earlier planning acts and granted further powers for the protection of listed buildings, including enforcement notices, compulsory purchase for cases in need of repair, with minimum compensation if the building had been deliberately left derelict. Thereafter a tightening of controls with regard to historic buildings and conservation areas developed through the Town and Country Planning Acts of 1972 and 1990, the Town and Country (Amenities) Act 1994, and the Planning (Listed Buildings and Conservation Areas Act and Planning (Consequential Provisions) Act (both 1990); culminating in the major government restatement of
conservation planning policy in *PPG 15* in 1994. DoE policy files, held by DTLR, relating to the preparation of and implementation of this planning legislation, to the preparation of the planning policy document and the rationale behind its content, will be selected (2.2.2.2 of the Acquisition Policy).
5.7.4
Collaborative developments emerged in the legislation. The Agriculture
Act 1986 provided for the designation of areas as environmentally
sensitive not only to protect the natural environment, but also to protect the buildings and other objects of historic interest, including features of archaeological interest. The need to have regard for the preservation of the appropriate features of the built environment was also a provision in the Water Act 1989, the British Waterways Bill of 1990 and the Coal Bill
of 1993. DoE policy files relating to the development of collaboration between government bodies engaged in the care of scheduled and listed
sites, will be selected (2.2.2.2 of the Acquisition Policy).
5.7.5
Buildings at Risk legislation was introduced in this period and involved
the issue of repair notices to neglectful owners. There is no duty of care, but the local authority is empowered to take action to make repairs and recover the cost from the owner. Actions are prompted by inclusion on the annually updated Buildings at Risk Register produced by English
Heritage. Policy files created by English Heritage and detailing policy with regard to liaison with local authorities will be selected. Those relating to the setting up of the register have been covered by paragraph 5.3.23 of this Operational Selection Policy (2.2.2.2 of the Acquisition Policy).
5.7.6
Designed landscapes, parks and gardens have been listed since 1986,
now largely through the funding of the HLF Urban Parks Programme.
Listing is not statutory but the existence of a register is taken as a material consideration for development control purposes. Policy files created by English Heritage and detailing policy with regard to liaison
with local authorities will be selected. Those relating to the setting up of the register have been covered by paragraphs 5.3.20 and 5.3.21 of this Operational Selection Policy (2.2.2.2 of the Acquisition Policy).
## 5.8 Exemptions From Control 5.8.1 Churches And Cathedrals
5.8.1.1 Nearly 15,000 churches and chapels and around 75 cathedrals are listed
as being of special interest. Most are not subject to the usual controls over listed buildings. The precise extent of ecclesiastical exemption was for many years indistinct. Negotiations between the government and the Church authorities continued throughout the period from 1970, agreement having been reached on the procedures for redundant churches. These procedures involved the setting up of the Central
Advisory Board for Redundant Churches to which proposals for demolition had to be referred for advice on architectural value, and the establishment of the Redundant Churches Fund in 1968. The Pastoral Measure of 1983 (passed by the General Synod) consolidated the redundancy provision, and the Wilding Report of 1990 The Care of Redundant Churches reviewed the workings of the Fund. DoE files relating to the setting up of the Wilding Review, and the implications of the recommendations, together with the records of the Review itself, will be selected. Records of the Central Advisory Board for Redundant Churches will also be selected (2.2.2.2 of the Acquisition Policy). Casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
5.8.1.2 The Church of England had its own planning authority (the system of
faculty jurisdiction established in 1980) embodied in the Care of Cathedrals Measure 1990 and the Care of Churches Measure 1991. The system allows for a Diocesan Chancellor to decide on a faculty application having taken advice from the relevant Diocesan Advisory Committee on which English Heritage is represented. The Cathedrals Fabric Commission for England vets all proposals for change in Anglican Cathedrals, having consulted English Heritage. In 1994 the Ecclesiastical
Exemption (Listed Buildings and Conservation Areas) Order, made jointly by the Secretary of State for Environment and the Secretary of State for Wales, provided that ecclesiastical exemption would in future only apply to the Church of England and other faiths which set up acceptable internal systems of control embodying the principles of the DoE *PPG15*. DoE policy files relating to the preparation of this planning
order, and to the rationale behind its content, will be selected (2.2.2.2 of the Acquisition Policy).
## 5.8.2 Crown Property
5.8.2.1 The hereditary lands entrusted to Government as not required for the
use of the Royal Household remained exempt from statutory controls throughout this period. They comprise the Royal Parks, the unoccupied Royal Palaces, and the Crown Estate. Both DoE and DNH delegated responsibility for Crown property to specialist agencies but kept control of development through advisory groups such as the Conservation Unit of DNH and the Crown Buildings and Monuments Advisory Group (CBMAG) of DoE, (subsequently the Government Historic Buildings Advisory Unit of English Heritage). Policy files relating to the role of the Crown Buildings Advisory Group and the Conservation Unit, will be selected from DoE, and DNH/DCMS files (2.2.2.2 of the Acquisition Policy).
5.8.2.2 A measure of control was also obtained through the terms of reference
for the new agencies. Historic Royal Palaces Agency was charged in 1989 with a duty to maintain the properties and surrounding lands to a
high standard consistent with their status as buildings of royal, historic and architectural importance. Enhancement, protection and preservation of the Royal Parks for the benefit of current and future generations was a stated aim for the new Royal Parks Agency in 1993, with a specific objective to conserve the park buildings that are of special architectural and historic interest. Policy files relating to liaison of DoE and DNH/ DCMS with the various sponsored agencies will be selected (2.2.2.2 of the Acquisition Policy). Casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
5.8.2.3 Some degree of protection was also afforded by the listing of 22
buildings in the Royal Parks, by the inclusion of the Parks themselves on the Register of Parks and Gardens of Special Historic Interest, and the
inclusion of Greenwich Park in the area designated as a World Heritage Site. Files relating to the development of maintenance policy for the parks and park buildings and liaison with English Heritage, will be selected from DoE files and from DNH files held by the Royal Parks Agency (2.2.2.2 of the Acquisition Policy).
5.8.2.4 The Crown Estate Office has a statutory duty to maintain and enhance
the value of an estate that includes over 1,000 listed buildings. During this period the Crown Estate Office followed a policy of good stewardship, which aimed to balance the importance of heritage issues and commercial aims. Records of the Crown Estate relating to the establishment of the formal stewardship programme, and it effects on maintenance and development policy with regard to historic buildings will be selected (2.2.2.2 of the Acquisition Policy). Casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
## 5.9 Presentation And The Heritage Industry
5.9.1
The introduction of the National Curriculum under the Education Reform
Act 1988 resulted in the recognition of the education sector as an
important consideration for heritage bodies. Records created by English Heritage, RCHME, Cadw (the Welsh Office) and RCAHMW relating to the development of the role relating to education, interpretation, research and general publication policy will be selected (2.2.1.6 of the Acquisition Policy).
5.9.2
HRPA had a duty to present the unoccupied royal palaces to the public
in an enjoyable and educational way, reflecting their historic character and Royal status. The Historic Royal Palaces Charter (1998) specified that one of its objectives was to educate and inform the public about the Palaces and the skills required for their conservation. This was to be achieved by providing public access, by exhibitions, the keeping of records, catalogues and inventories, and by research and publication. Provision of an interpretation centre at the Tower of London is planned
as part of the Tower Environs Scheme, which will also involve a consortium of local organizations. Records relating to the policy on education and interpretation, on research, lectures and publications, exhibitions and displays, and on partnerships with other organizations, will be selected from those created by HRPA and HRP, and by DoE and DNH (2.2.1.6 of the Acquisition Policy).
5.9.3
One of RPA's delegated aims is to offer peaceful enjoyment, recreation
and entertainment in the parks. It has attracted private finance in order to improve visitor facilities, it arranges a summer events programme that involves most of the parks, and has set aside parts of each park for recreation and sport. Records created by RPA and DCMS relating to recreation and entertainment policy and the role of the Royal Parks
Constabulary in this policy will be selected (2.2.1.6 of the Acquisition Policy). Casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
5.9.4
Business efficiency in government involvement in the preservation of the
built environment was raised in 1979 in the White Paper Organisation of Ancient Monuments and Historic Buildings. This led subsequently to the creation of English Heritage as a body corporate under the provisions of the National Heritage Act 1983. Functionally independent of government the new organization had a need to supplement government funding through promotion of its aims and assets. Policy files created by English Heritage and Cadw (Welsh Office) relating to their respective membership schemes, marketing, visitor management, and cooperation with other organizations such as the National Trust, the Royal Institute of British Architects and the Commission for Architecture and the Built Environment (formerly the Royal Fine Arts Commission) will be selected (2.2.1.6 of the Acquisition Policy).
5.9.5
A proposal to designate areas of departments responsible for providing
services as 'executive agencies' was first raised in Improving
Management in Government: The Next Steps, a report published in 1988. Service delivery would be undertaken by agencies operating within Whitehall departments and with managers having the flexibility to run day-to-day operations as an effective business. HRPA and the Royal Parks Agency were amongst the first to be established. Marketing and promotion became essential elements in the management of sites and buildings. Visitor management, public access issues and the provision of visitor facilities became linked to an educational and commercial need. High-level policy files relating to marketing and promotion will be
selected from the records created by both these agencies (2.2.1.6 of the Acquisition Policy).
5.9.6
HRPA as established in 1989 had a duty to ensure a good commercial
return, with performance targets set by the Minister of State. In April 1998 this was further strengthened by the signing of a contract between
the Secretary of State for DCMS, Historic Royal Palaces (Trust) and Historic Royal Palaces Enterprises Limited (HRPE), its new wholly owned trading subsidiary. The contract allowed the Secretary of State to grant to the Trust and its trading subsidiary (HRPE) exclusive rights in the management of the Palaces and the receipt of revenues there from
(except for hereditary revenues of the Crown). These rights were specifically granted in return for services provided by HRP/HRPE in respect of the care and maintenance of the Palaces, their presentation to the public through the provision of visitor services and educational/interpretative aids, and the provision of adequate security arrangements. Records relating to the establishment of HRPE will be selected (2.2.1.6 of the Acquisition Policy).
5.9.7
Cadw, as an executive agency, had enhanced responsibilities to
generate receipts from the property in its care, maintain market share of the heritage sites in Wales, operate within agreed costs, generate an efficiency improvement and to generally give better value for money. Records relating to the effects of the new responsibilities on policy will be selected (2.2.1.6 of the Acquisition Policy).
## 5.10 World Heritage Sites
5.10.1 The UK government ratified the UNESCO World Heritage Convention
(WHC) in 1984. The Convention prepares and implements protection policies for each of the designated sites. In the UK this has been done without specific additional legislation, and as a result can often involve many different private owners. WHC matters were the responsibility of the Heritage Sponsorship Division within DoE with advice coming from English Heritage. This responsibility was passed to the Heritage Division (later the Buildings, Monuments and Sites Division) in DNH and thence to DCMS. English Heritage chaired the committee set up to advise DCMS on the UK Tentative List of potential World Heritage Sites published in 1999. Policy files created by DCMS and it predecessors,
relating to past WHC designations and future proposals will be selected. Agendas, papers and minutes of the DCMS Advisory Committee will also be selected (2.2.2.2 of the Acquisition Policy). Casework files will be selected in accordance with an Operational Selection Policy covering Preservation Casework.
5.10.2 Several government departments are responsible for properties that
have acquired world heritage designations since 1984. Files which detail the effects of designations on preservation and conservation policy will be selected from records created by English Heritage, HRP, RPA, and Cadw (Welsh Office) (2.2.2.2 of the Acquisition Policy).
## 6 Structure Of Filing Systems Details Of The Relevant Filing Prefixes Where Known
Holding department
Series Prefix (where
known)
5.2.3
DCMS EH
AMP AA 7637/*
5.2.4
EH
COM
Committees files - Commission
5.2.5
EH
COM
Committees files - Advisory Committees
5.2.6
EH
Various
See Annex 1
5.2.7
EH
HB/4915
LEG RU COM
5.2.8
DCMS
AMP; PPC; HSD
5.2.9
DCMS
AMP; HSD
Buildings Monuments and Sites Division
5.2.11
NAW; Cadw
…………
Cadw review
APP
Planning Inspectorate
5.2.12
DTLR NAW
5.2.13
DCMS
AMP
Royal Parks Review Group
5.2.14
DCMS
AMP
Royal Parks Review Group
5.2.15
DCMS
AMP
Royal Parks Advisory Board
5.2.16
DCMS
RPC
Royal Parks Constabulary
5.2.17
RPA
RPC
Royal Parks Constabulary
5.2.18
RPA
CRP; RPC
Royal Parks reviews 1975-85
5.2.19
RPA
RPS; RPC
Royal Parks Regulations
5.2.20
DCMS
RPS; RPC
Royal Parks review 1999
AA
Ancient Monuments - scheduling
5.3.1
DCMS
NAW
5.3.2
EH Cadw
AA 5012/*
AA
5.3.3
EH
AA/1
Ancient Monuments - scheduling files
5.3.4
Cadw
AA
Ancient Monuments - scheduling
5.3.5 DCMS
AMS AA, HAD/POL HB/ LEG AA
EH NAW/Cadw
5.3.6
EH
AA TS MPP
Description
Organisation Development Division Future of DAMHB files Also Ancient Monuments Board minutes EH/RCHME merger - policy Regionalisation
Legal Restructuring Unit Committee files Heritage Royal Estate Directorate: creation of HRPA
Ancient Monuments Board
Ancient Monuments Ancient Monuments files Historic Areas policy files Historic Buildings policy files Legal files Ancient Monuments Ancient Monuments policy files Thematic Survey files Monuments Protection Programme
Holding department
Series Prefix (where known)
Cadw
AA
Ancient Monuments
AA 8369/*
AA/2-1s AA
5.3.7
EH Cadw
5.3.8
DTLR; DCMS
MNA
Designation of wrecks
Advisory Committee on Historic Wreck Sites
5.3.9
NAW Cadw ?
…………..
Designation of wrecks
Advisory Committee on Historic Wreck
Sites
PPC; HSD
Listed Building Policy
5.3.10
DCMS NAW
COM
Committees files
5.3.11
EH Cadw
HB HB/ HB
5.3.12
DCMS EH NAW/Cadw
HSD; PPC
Listing Building Policy
5.3.13
DCMS NAW
HB
Historic buildings policy files
5.3.14
DCMS NAW
5.3.16
EH Cadw
AA
AA
5.3.17
EH
LBS
RSM
5.3.18
Cadw
…………
ENDEX
LRCA HSD HSD
5.3.19
EH DCMS NAW/Cadw
5.3.20
EH
COM
GD
5.3.21
Cadw
Parklands and Gardens
5.3.22
EH DTLR
BAT …………
5.3.23
EH
BRS
Buildings at Risk files
5.3.24
Cadw
………….
Chapels Recording Project
5.4.2
RCHME
………….
NBR and RCHME History files
5.4.3
RCHME
………….
NBR and RCHME History files
Survey programme files
5.4.4
RCHME
………….
Industrial Monuments Survey files
5.4.5
RCAHMW
………….
Survey programme files
Description
Ancient monuments policy files
Archaeological recording files Ancient Monuments
Historic buildings policy files Historic buildings policy files Historic buildings policy files
Ancient monuments policy files
Ancient monuments policy files
Listed Building System Record of Scheduled Monuments London Region Conservation Areas Conservation Area designation Conservation Areas
Committees files Gardens files Battlefields files Tewksbury Inquiry
Holding department
Series Prefix (where known)
5.4. 6
DCMS NAW
RCHME RCHAMW
5.4.7
RCHME
…………
SMR Liaison files
5.4.8
RCAHMW
………../
Relocation/ Collecting Policy
5.4.9
RCHME
…………
Maritime files
5.4.10
RCAHMW
…………
Historic Wrecks
5.4.11
RCAHMW
…………
Parklands and gardens
5.4.12
RCAHMW
…………
Uplands Archeological Survey
5.4.13
RCHME
…………
Chief Executive's policy files
5.4.15
EH
…………
Images of England project files
5.4.17
RCAHMW
…………
Excavation Records
5.4.18
RCHME
…………
Commission Records
5.4.19
RCAHMW
AMS AA HB
5.5.1.1
DCMS EH Cadw
5.5.1.2
EH Cadw
HB/ 850 HB AMP
NHMF/HLF
5.5.1.5
DCMS NAW
5.5.1.6
EH Cadw
HB HB
5.5.1.7
EH
HB
Historic Buildings Policy files
5.5.1.8
EH Cadw
HB HB AA PRP AA
5.5.1.9
EH Cadw
5.5.2.1
EH
ABS
HB/
5.5.2.2
EH
HB/
Historic Buildings Policy files
5.6.1
EH
HAD/POL
Historic Areas policy files
5.6.2
EH
HB/
AA
Description
Ancient Monuments policy files Ancient Monuments policy files Historic Buildings policy files Historic Buildings Council files Historic Buildings Council files Historic Buildings policy files Historic Buildings policy files
Historic Buildings Policy files Historic Buildings policy files Ancient Monuments policy files Policy and Research files Ancient Monuments policy files CTT exemption files Historic Buildings policy files Historic Buildings Policy files Ancient Monuments policy files
Holding department
Series Prefix (where known)
5.6.3
EH
HB/
AA
5.6.4
EH
HB/
AA
5.6.5
EH
HB/
AA
5.7.1
DTLR
Planning controls
5.7.2
DTLR
Planning policy
5.7.3
DTLR
Planning Legislation
5.7.4
DTLR
Cross- government collaboration
5.7.5
EH
……………
Specific record series not yet identified
5.7.6
EH
HB/ 000002
Historic Buildings Policy files - Gardens
5.8.1.1
DTLR
Wilding Review
Central Advisory Board on Redundant Churches
5.8.1.2
DTLR
Planning Order PPG15
5.8.2.1
DTLR EH CB GHBX
5.8.2.2
DTLR EH
Parks Policy
5.8.2.3
DTLR RPA
Formal Stewardship Programme
5.8.2.4
Crown
Estate
AMP AMP
5.9.1
EH RCHME Cadw RCAHMW
5.9.2
HRP DCMS
………… HSD
5.9.3
RPA DCMS
RPS; RPC RSA; RPC
Description
Historic Buildings Policy files Ancient Monuments policy files
Historic Buildings Policy files Ancient Monuments policy files Historic Buildings Policy files Ancient Monuments policy files
Crown Buildings Advisory Group Crown Buildings Policy files Government Historic Buildings files Sponsorship liaison No specific files identified - appears to be on a case basis
Few files in Publications series - some information in Committee reports No specific file series identified - material in Education Officer files and Commission papers NBR and RCHME History files
as above
HRP policy Parks Policy Parks Policy
Description
Holding department
Series Prefix (where known)
5.9.4
EH Cadw
AMP AMP
Publicity and Publications files Publicity and Publications files
5.9.5
HRP RPA
………… …………
Marketing and promotion Marketing and promotion
5.9.6
DCMS HRP
HSD …………
Historic Royal Palaces Enterprises Historic Royal Palaces Enterprises
5.9.7
NAW/Cadw
…………
Finance Policy
5.10.1
DCMS
EH
HSD
HAD/POL 15
World Heritage Convention
Historic Areas policy files Historic Areas policy files
HAD/POL 15 ………… ………… …………
5.10.2
EH HRP RPA Cadw
## 7 Implementation Of Operational Selection Policy
English Heritage practices a mixture of series and file-by-file review.
Policy files will need to be identified from existing series. Review practice will be agreed through the Records Retention Panel and will consider the administrative need of English Heritage. Subsequently records management services will organise identification, retrieval and transfer of records which have been selected and are ready for transfer.
HRP does not have a central review unit. This Operational Selection Policy will be issued to all reviewers to be used in making selection decisions alongside existing criteria for other areas of HRP work. This will then be followed by a file-by-file review using the Policy as formal guidance on what should be selected.
RPA undertakes file-by-file review. They are currently reviewing files closed in the early 1970s. The review will identify the series specified in section 6 above, and any others likely to contain policy files on the preservation of the built environment. The Operational Selection Policy will then be used alongside existing criteria in making selection decisions.
DCMS practices a mixture of series and file-by-file review. Policy files will need to be identified from existing series. Reviews will start with a review of registry lists to eliminate files which are not covered by this Operational Selection Policy or the selection criteria for other areas of the DCMS' work. This will then be followed by a file-by-file review using the Policy as formal guidance on what should be selected.
ODPM will implement this Operational Selection Policy alongside *OSP1,*
The Department of the Environment 1970 - 1979 already published. The department uses a two-stage review process comprising:
- An initial rapid review of the files of the former DoE for this period
which will be conducted on a file-by-file basis using functional group and title. This method will be used to separate those files, which relate to the collection themes identified in this policy from those files, which do not
- The files identified as relating to the collection themes will then be
subject to a more detailed second review to ensure that they contain high-level material worthy of preservation. The percentage of files rejected as a result of this examination will be monitored; if the percentage is low the practice can be abandoned
Crown Estate undertakes file-by-file review, and is currently reviewing files closed in the mid 1970s. The selection of registered files for preservation will be carried out using the selection criteria established by this operational selection policy alongside the OSP2, The Crown Estate 1975 to 1985, already published.
NAW This Operational Selection Policy will be implemented alongside the *OSP7, The Welsh Office, 1979 to 1997* already published. The Department uses a two-stage process of review:
- An initial review of files of the Welsh Office series-by-series using
retention schedules agreed with the appropriate division; where no schedule has been agreed, a file-by-file or a paper review will be
carried out. Records relating to collection themes in this policy will be identified and separated from those files which do not
- The files relating to collection themes will then be subject to a more
detailed second review to ensure that they contain high-level material worthy of preservation. The percentage of files rejected, as a result of this examination, will be monitored; if the percentage is low the
practice can be abandoned.
## Annex A Key Events/ Legislation
This list of key events and legislation is provided as a tool for reviewers to highlight records which should receive a more detailed examination. The appearance of a topic on this list does not mean that all records relating to that topic should be selected for preservation.
1970
- DoE established from Ministry of Housing and Local Government, Ministry of
Transport and Ministry of Public Building and Works, bringing together the conservation and planning functions relating to the built environment in England via the Transfer of Functions (England) Order (SI.1681/70)
- Completion of first historic buildings listing survey in England. First re-survey
already underway with the criteria for listing redefined
1971
- Town and Country Planning Act (England and Wales) consolidated most of
the earlier planning Acts. Listed building enforcement notices; compulsory purchase of listed buildings in need of repair, minimum compensation in the case of listed buildings deliberately left derelict
- Review of organisation of DoE leading to establishment of Directorate of
Ancient Monuments and Historic Buildings as part of its Planning Group
1972
- Local Government Act designated conservation areas - Town and Country Planning (Amendment) Act for England and Wales made
provision for funds for conservation schemes, and introduced control over the demolition of unlisted buildings in certain conservation areas. It made possible grants and loans for the enhancement of the character or appearance of conservation areas
- DoE Circular 86/72 advised that there should be presumption in favour of
demolition control in conservation areas (just as there was presumption in favour of preservation with listed buildings)
- Property Services Agency formed within DoE - UNESCO General Conference adopts Convention Concerning the Protection
of the World Cultural and Natural Heritage
1973
- Protection of Wrecks Act secured wrecks and sites of wrecks in UK territorial
waters from interference by unauthorised persons and gave the Secretary of State powers to designate wrecks of historical, archaeological or artistic
importance
- DoE Circular 46/73 *Conservation and Preservation* advised that conservation
was to embrace 'existing communities' and 'the social fabric' not just
important landscapes or historic townscapes, or buildings of architectural or historic importance
1974
- Redcliffe-Maud Report created new local authorities
- Town and Country Amenities Act (Circular 147/74) strengthened protection of
all conservation areas by requiring that demolition or radical alteration of all buildings (listed and unlisted) within them be sanctioned by the relevant planning authority
- DoE Circular 102/74 *Historic Buildings and Conservation* acknowledged
growing public concern for the erosion of national architectural heritage. It urged the new local authorities to make use of their powers for protection but reminded that listing did not imply preservation, but merely required that the
case for preservation be examined. It set out the basis on which the lists of historic buildings were compiled
- The Royal Commission on the Ancient and Historical Monuments of Wales
and Monmouthshire renamed The Royal Commission on the Ancient and Historical Monuments of Wales
- Parks
Regulations
(Amendment)
Act
establishes
the
Royal
Parks
Constabulary
1975
- European Architectural Heritage Year - SAVE Britain's Heritage founded to publicise threats to historic buildings. This
group set out to show that practical and sympathetic solutions could be found for most historic buildings as an alternative to decay and demolition
1976
- Town and Country Planning General Regulations (SI 1419) - Architectural Heritage Fund established
1977
- Sale of Mentmore House, Buckinghamshire. The resultant dispersal of
historical contents persuaded the DoE that a house and its contents were of historic importance as a single unit. Grants policy affected in order to keep a house and its contents together
1979
- Ancient Monuments and Archaeological Areas Act initiated system of grant
consent for archaeological sites similar to that for listed buildings, and introduced the concept of the 'archaeological area'. Decisions on listing to be taken by the Secretary of State after consultation with statutory advisers
- White Paper on *Organisation of Ancient Monuments and Historic Buildings*
issued by the new Thatcher administration promoted extensive discussion
- Serpell (Ordnance Survey Review) Committee recommended transfer of
records of the Ordnance Survey Archaeology Division to National Monuments
Record in England (RCHME), Wales, and Scotland
- National Heritage Bill establishing the National Heritage Memorial Fund
(NHMF) through the DoE (enactment in 1980)
- Founding of the Thirties (later Twentieth Century) Society. The Society
campaigned for the protection of structures built after 1914 and advised local
authorities in this respect
1980
- Demolition of the 1928 Firestone Factory in West London immediately prior to
its formal protection led to accelerated revision of the lists on historic buildings protected under the current legislation, and the inclusion of twentieth century
buildings
- Faculty Jurisdiction Commission established the Church of England planning
authority (system of faculty jurisdiction)
- National Heritage Memorial Act appointed trustees of the National Heritage
Memorial Fund authorised to give financial assistance for nationally important buildings and other structures as a last resort. Provided for property to be accepted in lieu of tax. Abolished the National Land Fund
- Finance Act
1981
- Government Consultation paper Organisation of Ancient Monuments and
Historic Buildings in England: *A Consultation Paper* proposed the rationalisation of the four DoE bodies responsible for preservation of the built environment to form a separate agency, and raised the question of the presentation of ancient monuments and historic buildings as a source of revenue
1982
- DoE booklet: Organisation of Ancient Monuments and Historic Buildings in
England: The Way Forward set out the final proposals for setting up a separate heritage agency
- Finance Act
1983
- Royal Commissions of England and Wales gained academic control and
responsibility for supplying mapping information to Ordnance Survey (OS) through transfer of OS Archaeology Division records
- National Heritage Act provided for the establishment of a new ancient
monuments and historic buildings agency for England, introduced the concept of archaeological areas, amended the system of planning consent for ancient monuments and provided for the listing of parks and gardens
- Pastoral Measure passed by the General Synod to consolidate the 1968
Measure (which had established the Redundant Churches Fund), in particular the procedures for redundant churches
## 1984 - Abolition Of The Greater London Council Via The Local Government (Interim Provision) Act And The Local Government Bill
- Capital Transfer Tax Act provides for stamp duty exemption for historic
buildings and acceptance of property in lieu of tax
- DoE Circular 18/84 'Crown Land and Crown Development' - DoE Circular 8/84 establishing formal operation of the Historic Buildings and
Monuments Commission (English Heritage), and the abolition of the Historic
Buildings Council for England and the Ancient monuments Board for England
- English Heritage publishes *England's Archaeological Resource* leading to a
reappraisal of ancient monument scheduling criteria
- UK ratifies UNESCO World Heritage Convention
1985
- DoE Heritage Sponsorship Division established, with responsibility for
heritage policy, and sponsorship of heritage bodies
1986
- English Heritage initiated the Monument Protection Programme (MPP), a
systematic review of the statutory protection for ancient monuments with the aim of ensuring statutory protection for a representative sample of the most important and best preserved of the nation's monuments
- English Heritage began the Register of Parks and Gardens - English Heritage took over the role of the Historic Buildings Division of the
GLC (Local Government Bill enactment)
- RCHME take responsibility for the Survey of London from the GLC - Agriculture Act. Ministry of Agriculture, Fisheries and Food (MAFF) had a
conservation duty to balance interests in the exercise of its agricultural
functions
1987
- DoE Circular 8/87 Historic Buildings and Conservation Areas: Policy and
Procedure was a key statement of government conservation policy. Replaced
by PPG 15 in 1994
- Bruntland Commission report *Our Common Future* (World Commission on
Environment and Development)
1988
- Government departments were given financial responsibility for their own
accommodation
- Income and Corporation Taxes Act consolidated the 1980 Finance Act in
relation to tax exemption for NHMF
- Education Reform Act
1989
- HRPA set up within DoE to manage the unoccupied royal palaces - Royal Commissions of England and Wales appointed lead bodies for
oversight of system of local Sites and Monuments Records (SMRs) in England and Wales
- RCAHMW begin Uplands Initiative (Uplands Archaeological Survey) - DoE report Sustaining Our Common Future: A Report by the UK on
Implementing Sustainable Government
- Water Act
1990
- Planning Policy Guidance Note 16 (PPG 16): *Archaeology and Planning* had
the effect of increasing the ability of the planning process to protect and manage archaeological sites
- The Wilding Report: The Care of Redundant Churches - Care of Cathedrals Measure No 2 introduced planning controls for cathedrals - Planning (Listed Buildings and Conservation Areas) Act. Basis of current law
in the field. Consolidated certain enactments relating to listed buildings and conservation areas, and placed the duty on the Secretary of State to list buildings of special architectural or historic interest having taken statutory advice from English Heritage in England and Cadw in Wales
- Royal Commissions to be responsible for the creation of a central record of
Historical Wrecks within 12 mile coastal limit (Joint Nautical Archaeology Policy Committee 1989 and White Paper 1990)
- Government White Paper *This Common Inheritance* set out policy for the
national heritage
- Town and Country Planning Act required that the local authorities had special
regard for the desirability of preserving the structure/building and its setting
- Creation of Property Holdings within DoE - British Waterways Bill - Planning (Consequential Provisions) Act provided for the acquisition of
historic buildings by English Heritage and for the granting of funds by English Heritage to the local authorities and the National Trust
1991
- Cadw: Welsh Historic Monuments established as an executive agency within
the Welsh Office
- Cathedrals Repairs Grant scheme established - Care of Churches Ecclesiastical and Jurisdiction Measure No 1 - Heritage and Royal Estate Division of DoE, and the Welsh Office took over
responsibility for historic wrecks in English and Welsh territorial waters from
the Department of Transport, which remained responsible for wrecks that are dangerous to shipping
1992
- Parliamentary Corporate Bodies Act
- The Transfer of Functions (National Heritage) Order 1992 (S.I.1311)
established the Department of National Heritage (DNH)
- Circular DoE 20/92 (DNH 1/92) Responsibilities for Conservation Policy and
Casework published by DoE and DNH jointly
- National Audit Office Report Protecting and Managing England's Heritage
Property
- English Heritage policy statement Managing England's Heritage: Setting
priorities for the 1990s proposed to devolve care of certain properties to local authorities and to the National Trust, alongside a review of grant aid to conservation areas and churches, a diversion of rescue archaeology funds to long term projects, and a policy of private sector fundraising
- Report of the independent Royal Parks (Jenkins) Review Group on the role of
Hyde Park and Kensington Gardens
- Planning Inspectorate established as an executive agency by DoE and Welsh
Office
- English Heritage conducted a sample survey of Buildings at Risk
1993
- National Lottery etc Act - Public Accounts Committee Report endorsed the concerns of the National
Audit Office Report of 1992
- *Conservation Area Partnership Scheme: A Consultation Paper* published by
English Heritage. Detailed changes in the grant regime for conservation areas
- House of Commons Welsh Affairs Committee review of Cadw prompted
acceleration of the resurvey of listed buildings in Wales
- Report of the independent Royal Parks (Jenkins) Review Group on the role of
the central London Parks other than Hyde Park and Kensington Gardens
- RPA established within DNH - Coal Bill
1994
- Ecclesiastical Exemption (Listed Buildings and Conservation Areas) Order. A
joint DoE/Welsh Office document
- National Heritage Committee report Our Heritage: Preserving it: Prospering
from it raised the question of the need to preserve the transport and armed services heritage, and also recommended that English Heritage be permitted to sell its services and expertise outside England
- Planning Policy Guidance Note 15: Planning and the Historic Environment
(PPG 15). A statement of government conservation policy (replacing Circular 8/87)
- Report of the independent Royal Parks (Jenkins) Review Group on the role of
Greenwich Park
- Care of Cathedrals (Supplementary Measure) - Town and Country (Amenities) Act
1996
- Report of the independent Royal Parks (Jenkins) Review Group on the role of
Richmond and Bushy Parks. Plus summary report covering all the Royal Parks: *Final Conclusions*
- Protecting our Heritage: a consultation document on the built heritage of
England and Wales (DNH) proposed public consultation on listing through thematic studies, in particular on post-war buildings
- Welsh Office Circular 61/96 established the principles of listing and grading
criteria for historic buildings in Wales
- Joint Grant Scheme for Churches and Other Places of Worship established
1997
- Department of National Heritage (DNH) renamed Department of Culture,
Media and Sport (DCMS)
- DoE merged with Dept of Transport to form the Department of Environment,
Transport and the Regions (DETR)
- House of Commons Welsh Affairs Committee review of Cadw - Royal Parks and Other Open Spaces Regulations (SI 1639)
1998
- Government of Wales Act established the National Assembly for Wales - RCHME launched commercial survey services and education service - Proposal to merge RCHME and English Heritage - Regional restructuring of English Heritage - National Lottery Act
- Historic Royal Palaces established as a charter body with a wholly owned
trading subsidiary
- Heritage Economic Regeneration Scheme (HERS) announced - English Heritage compiled first Buildings at Risk Register
1999
- Administrative merger of RCHME with English Heritage - Review of policies relating to the historic environment initiated by DCMS
- Royal Parks review - Care of Places of Worship Measure No 2 - *Images of England* photographic survey of listed structures in England begun
by English Heritage
- Auditor General for Wales review of Cadw - Chapels Recording Project begun in Wales
- The Greater London Authority Act of 1999 transferred management
responsibility for Trafalgar Square and Parliament Square from DCMS to the Greater London Authority (GLA), with effect from October 2000.
- Public inquiry on proposal to develop the Tewkesbury Battlefield site
## Application To Specific Departments (Annex B)
An analysis of the application to specific departments of paragraphs within this Operational Selection Policy. Shaded areas indicate paragraphs of interest.
EH
HRP RPA DCMS
ODPM
Crown
Estate
1.1
1.2
1.3
2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8
2.9
2.10
2.11
3.1.1
3.1.2
3.2.1
3.2.2
3.2.2.1
3.2.2.2
3.2.2.3
3.2.3
3.2.4
3.2.5
3.2.6
3.2.7
3.2.8
3.2.9
3.2.10
3.3.1
3.3.2
3.3.3
3.3.4
3.3.5
3.3.6
3.4.1
NAW
Cadw RCAHMW
| | EH | HRP RPA DCMS | ODPM | Crown |
|--------|-------------|----------------|--------|----------|
| Estate | | | | |
| NAW | Cadw RCAHMW | | | |
| 3.4.2 | | | | |
| 3.4.3 | | | | |
| 3.5.1 | | | | |
| 3.5.2 | | | | |
| 3.6.1 | | | | |
| 3.6.2 | | | | |
| 3.6.3 | | | | |
| 3.6.4 | | | | |
| 3.6.5 | | | | |
| 3.7.1 | | | | |
| 3.7.2 | | | | |
| 3.8.1 | | | | |
| 3.9.1 | | | | |
| 3.10.1 | | | | |
| 3.10.2 | | | | |
| 3.10.3 | | | | |
| 3.10.4 | | | | |
| 3.10.5 | | | | |
| 3.10.6 | | | | |
| 3.10.7 | | | | |
| 3.11.1 | | | | |
| 3.11.2 | | | | |
| 3.11.3 | | | | |
| 3.11.4 | | | | |
| 3.11.5 | | | | |
| 3.12.1 | | | | |
| 3.12.2 | | | | |
| 3.12.3 | | | | |
| 3.12.4 | | | | |
| 3.12.5 | | | | |
| 3.13.1 | | | | |
| 3.13.2 | | | | |
| 3.14.1 | | | | |
| 3.14.2 | | | | |
| 4.1 | | | | |
| 4.2 | | | | |
| 4.3 | | | | |
| 5.2.1 | | | | |
| 5.2.2 | | | | |
| 5.2.3 | | | | |
| 5.2.4 | | | | |
| 5.2.5 | | | | |
| 5.2.6 | | | | | | | EH | HRP RPA DCMS | ODPM | Crown |
|--------|-------------|----------------|--------|----------|
| Estate | | | | |
| NAW | Cadw RCAHMW | | | |
| 5.2.7 | | | | |
| 5.2.8 | | | | |
| 5.2.9 | | | | |
| 5.2.10 | | | | |
| 5.2.11 | | | | |
| 5.2.12 | | | | |
| 5.2.13 | | | | |
| 5.2.14 | | | | |
| 5.2.15 | | | | |
| 5.2.16 | | | | |
| 5.2.17 | | | | |
| 5.2.18 | | | | |
| 5.2.19 | | | | |
| 5.2.20 | | | | |
| 5.3.1 | | | | |
| 5.3.2 | | | | |
| 5.3.3 | | | | |
| 5.3.4 | | | | |
| 5.3.5 | | | | |
| 5.3.6 | | | | |
| 5.3.7 | | | | |
| 5.3.8 | | | | |
| 5.3.9 | | | | |
| 5.3.10 | | | | |
| 5.3.11 | | | | |
| 5.3.12 | | | | |
| 5.3.13 | | | | |
| 5.3.14 | | | | |
| 5.3.15 | | | | |
| 5.3.16 | | | | |
| 5.3.17 | | | | |
| 5.3.18 | | | | |
| 5.3.19 | | | | |
| 5.3.20 | | | | |
| 5.3.21 | | | | |
| 5.3.22 | | | | |
| 5.3.23 | | | | |
| 5.3.24 | | | | |
| 5.4.1 | | | | |
| 5.4.2 | | | | |
| 5.4.3 | | | | |
| 5.4.4 | | | | |
| 5.4.5 | | | | | | | EH | HRP RPA DCMS | ODPM | Crown |
|---------|-------------|----------------|--------|----------|
| Estate | | | | |
| NAW | Cadw RCAHMW | | | |
| 5.4.6 | | | | |
| 5.4.7 | | | | |
| 5.4.8 | | | | |
| 5.4.9 | | | | |
| 5.4.10 | | | | |
| 5.4.11 | | | | |
| 5.2.12 | | | | |
| 5.4.13 | | | | |
| 5.4.14 | | | | |
| 5.4.15 | | | | |
| 5.4.16 | | | | |
| 5.4.17 | | | | |
| 5.4.18 | | | | |
| 5.4.19 | | | | |
| 5.5.1.1 | | | | |
| 5.5.1.2 | | | | |
| 5.5.1.3 | | | | |
| 5.5.1.4 | | | | |
| 5.5.1.5 | | | | |
| 5.5.1.6 | | | | |
| 5.5.1.7 | | | | |
| 5.5.1.8 | | | | |
| 5.5.1.9 | | | | |
| 5.5.2.1 | | | | |
| 5.5.2.2 | | | | |
| 5.6.1 | | | | |
| 5.6.2 | | | | |
| 5.6.3 | | | | |
| 5.6.4 | | | | |
| 5.6.5 | | | | |
| 5.7.1 | | | | |
| 5.7.2 | | | | |
| 5.7.3 | | | | |
| 5.7.4 | | | | |
| 5.7.5 | | | | |
| 5.7.6 | | | | |
| 5.8.1.1 | | | | |
| 5.8.1.2 | | | | |
| 5.8.2.1 | | | | |
| 5.8.2.2 | | | | |
| 5.8.2.3 | | | | |
| 5.8.2.4 | | | | |
| 5.9.1 | | | | |
| | EH | HRP RPA DCMS | ODPM | Crown |
|--------|-------------|----------------|--------|----------|
| Estate | | | | |
| NAW | Cadw RCAHMW | | | |
| 5.9.2 | | | | |
| 5.9.3 | | | | |
| 5.9.4 | | | | |
| 5.9.5 | | | | |
| 5.9.6 | | | | |
| 5.9.7 | | | | |
| 5.10.1 | | | | |
| 5.10.2 | | | | |
| . | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| en |
1436-pdf | # The Office Of Rail And Road Minutes Of The 121St Board Meeting 14:00-18:00, Monday 14 December 2015 One Kemble Street, London, Wc2B 4An
Non-executive directors: Anna Walker (Chair), Tracey Barlow, Mark Fairbairn, Bob Holland, Michael Luger, Stephen Glaister; Justin McCracken, Ray O'Toole
Executive directors: Richard Price (Chief Executive), Ian Prosser (Director, Railway Safety), Joanna Whittington (Director, Railway Markets and Economics), Alan Price (Director, Railway Planning and Performance)
In attendance all items: Tess Sanford (Board Secretary)
ORR staff in attendance are shown in the text. Also: Juliet Lazarus (JLz - Director, Legal Services), John Larkinson (JLk - Director Economic Regulation and Consumers), Dan Brown (Director, Strategy and Policy), Graham Richards (Deputy Director, Railway Planning and Performance) and Robert Cook (Head of strategy and policy projects) (items 1-4)
## Item 1 Apologies For Absence
1
There were no apologies.
## Item 2 Declarations Of Interest
2
Bob Holland had previously declared an interest in the East Coast mainline
applications and would excuse himself from that item. No other relevant
interests were declared.
## Item 3 Approval Of Draft Minutes Of November Board
3
The minutes were approved.
## Item 4 Reviews Of The Orr
Paragraphs 4-10 of this item have been redacted as policy under development
Non Board members left the meeting (except Tess Sanford)
## Item 5 Dft Review
Philip Rutnam (Permanent Secretary), Bernadette Kelly (DG Rail Executive),
Cav Elithorn (Rail Executive) joined the meeting
11
The Chair welcomed the DfT team. Philip Rutnam set out the importance of the rail sector to DfT and to government. He thanked Anna Walker for her six
and a half years of leadership and recognised that effective independent
regulation was a very important part of the rail system. He identified three key
roles for a regulator: access to a monopoly run network, safety regulation and ensuring value for money.
12
He welcomed the appointment of Stephen Glaister as interim chair.
13
Bernadette Kelly explained the background of the DfT review. DfT was very
keen to get ORR's full engagement and she offered to return to the Board to
discuss emerging findings. The ORR Board welcomed the offer. [Action:
Secretariat]
14
The meeting discussed the importance of this review as an opportunity to work together to tackle known issues that had followed NR's reclassification and the issues around affordability of enhancements and sustainability of the network. The ORR Board said that it wanted to engage fully in the review and in supporting DfT where helpful.
15
Both bodies recognised the significance of increased financial constraints on NR and the compelling need for better scope and cost definition for enhancements.
16
The chair thanked DfT colleagues for attending and repeated the offer of resource support from ORR for the review.
## Philip Rutnam, Bernadette Kelly And Cav Elithorn Left The Meeting Juliet Lazarus And Dan Brown Returned To The Meeting 17 Board Members Reflected On What They Had Heard From Dft.
18
The board encouraged the executive to do what they could to engage positively
with the department, but recognised that DfT's timetable was very ambitious.
19
The Board checked that resource plans were in place and were assured that the key resources would be drawn from existing expert staff. Any backfill
required could be resourced externally.
## Item 6 Nichols Report
Graham Richards joined the meeting for this item
20
AP explained how the reporter system works and how this particular piece had
been commissioned and subsequently been diverted to supply independent
assurance for the Hendy review. Such reports are normally put on ORR's website as a matter of public transparency.
21
The Board suggested that NR be invited to offer a management response to the report to be published alongside it so that the wider context could be
understood.
22
The Board asked the executive to develop a handling plan including alerting DfT to the publication.
23
The draft letter to Mark Carne on the NR business plan should also be amended in the light of this document and then issued and put on ORR's
website **[Action: JLK]**. JLk reminded the board that the EIP1 and oversight and
change control process were receiving close attention by staff.
## Item 7 Consumers And Transparency
John Larkinson Andrew Winstone joined the meeting for this item
24
JLK updated the board on consumer related work. A slide pack had been circulated. JLk reported that the team had made good progress in building the evidence base on consumers and understanding TOC positions with most TOC
MD meetings being positive. This was an important shift from anecdote to verifiable evidence.
25
The consumer obligations annual report (working title) would show results by
each TOC. The TOCs would be given an opportunity to comment on their own
pages in draft. The Board noted the importance of being able to audit or
assure the data that would be reported and the importance of fair comparisons.
Context was very important for proper interpretation.
26
JLk updated the board on other current work: compliance checks with TOCs
on ticket vending machines and a possible super-complaint from *Which* about compensation arrangements in the rail industry. The statutory time limit on
super-complaints is very tight and John was making preparations so that ORR could be effective from the first day if a super-complaint was received.
27
Andrew Winstone updated the board on transparency activity. Moves toward
publishing route and TOC data on rail were significant increases in transparency. The first six monthly assessment of Highways England (HE) had
also been published. He highlighted that rail industry data (Darwin) was not fully open data although considerable improvement had been made in access to Darwin, while Highways England planned to make all its data open with the expectation that app developers would respond by creating new apps for road users.
28
JLk told the board that the work being delivered by the consumer team had been broadly welcomed by stakeholders.
## Item 8 Heathrow Airport Link Charging
Rob Plaskitt joined the meeting
Paragraphs 29-34 have been redacted as relating to current regulatory activity and
related legal advice
Bob Holland left the meeting
ITEM 8
ECML APPLICATIONS UPDATE
Paragraphs 35-36 have been redacted as relating to current regulatory activity.
## Item 9 Vote Of Thanks
The Chair reminded colleagues that this was the last board meeting for Mark Fairbairn and Ray O'Toole after five and a half year. She thanked both of them very warmly for their commitment and engagement. ORR had benefited hugely from the skills each had brought and owed a debt of gratitude to each. Tracey Barlow offered the Board's thanks to Anna Walker for her six and a half years as Chair. Her energy and commitment had seen the ORR through some difficult times and the board and the organisation were very grateful for her eye for detail and leadership on wider issues.
[Ends] | en |
0284-pdf | Network Rail
The Quadrant:MK
Elder Gate
Milton Keynes
MK91EN
John Larkinson
Director, Railway Markets and Economics
Office of Rail and Road
One Kemble Street
London
WC284AN
8 June 2018
Dear John
## Orr Investigation And Monitoring Of Current Informed Traveller/T-12 Issues
I write in response to your letter of 25 May 2018 in relation to the above issue. Your letter seeks any further information that we would like ORR to consider as part of its ongoing investigation. We are grateful to ORR for the extension of time that was given to enable us to respond to your letter.
As you will be aware, Network Rail and ORR colleagues have already had extensive dialogue regarding the current informed traveller issues, the steps that both Network Rail and the wider industry are taking to resolve this matter, and the leadership role that Network Rail has taken in defining and consulting on the associated recovery plan. Our response follows the same structure as your original letter to maintain clarity and alignment with the particular concerns that you highlight.
## Recovery Plan
As we have previously discussed, the causes of our current inability to provide 12 weeks advance notice of the amended timetable are complex and include factors for which both Network Rail and the wider industry are accountable. It is clear that the deferral of the North West Electrification Programme (NWEP) Phase 4 has had a very significant impact on our ability to adhere to T-12 timescales. We recognise that we need to get back to T-12
adherence as soon as possible and we fully acknowledge the impact that this issue has had on our freight end users and the travelling public, who rightly demand a reliable timetable to enable them to plan their transport arrangements with a reasonable degree of certainty.
In conjunction with the industry, Network Rail has established a whole industry recovery plan.
We have put in place the necessary programme management arrangements and industry stakeholder engagement plans to assure ourselves and industry stakeholders that delivery of the recovery plan remains on target.
You are correct that the plan is fragile, and its success will depend on both train operators and our own Capacity Planning team. Your team will have a good understanding of the complexities of the planning processes, systems and data that mean it is unrealistic for us to procure agency staff or equivalent to address the issue any more quickly than we are currently targeting. Operators and our own train planning teams have committed to absorb a higher level of work for most of this year, effectively undertaking five weeks planning work every four weeks in order to recover T-12, for the timetable that runs in January 2019. We are using industry planning resources to best effect, and have encouraged use of overtime within our own organisation. We have also made it clear that we will work with train operators to fund their overtime costs associated with delivery of the recovery plan. We continue to believe that our plan is the most credible plan to recover T-12 in a controlled and systematic manner.
You have asked for a specific understanding of the issues that Govia Thameslink Railway
(GTR) and Great Western Railway (GWR) are having in meeting the recovery plan bid .
deadlines. From Network Rail's perspective, when the national recovery plan was first drafted in February, GTR made it clear that they would not be in a position to comply with the bidding timescales set out in the national recovery plan. This was because it already had begun working up a recovery plan for GTR before the 'national' plans had been agreed as a result of pre-existing challenges with meeting informed traveller timescales for GTR. These existing challenges were around limited resource levels and the unavailability of the May 2018
timetable at the time.
GTR's individual plan, which was first submitted at the end of February, matched the national recovery plan by the end of the process (back to T-12 in January 2019). Due to this, GTR has been measured against its own individual plan from the start of the national recovery plan.
GTR has struggled to comply with its individual recovery plan and has submitted several revised recovery plans over the past weeks. We are working with GTR to understand the problems it is having meeting the bidding deadlines and to identify ways in which we can help resolve current issues. We have recruited an additional experienced resource to strengthen our engagement with GTR.
GWR non-compliance with normal T-12 informed traveller timescales has been an issue from March 2017 when it first began consistently missing T-18 bidding timescales. For a number of months, Network Rail was able to absorb the late bids from GWR and still meet T-12
publication deadlines.
In July 2017, Network Rail put a recovery plan in place with GWR when its late bidding began to impact on the overall delivery of the T-12 weekly amended timetable. This plan was created collaboratively with GWR and considered to be achievable, and was also endorsed by the Western Route Supervisory Board. GWR's compliance with the recovery plan fluctuated over the coming months and a revised plan was jointly agreed and put in place in early 2018. The main reasons causing difficulty for GWR to meet the recovery plan were late changes to Network Rail's engineering access plan and GWR resourcing problems. When the national recovery plan was put in place in early March 2018, it was broadly in line with the recovery plan GWR already had in place. GWR has only been able to meet the national recovery plan bidding deadlines for three out of 13 weeks so far. However, over the last couple of months, we have introduced a late change process to provide more control around requests for late change to the engineering access plan being submitted. Since this process has been introduced, we have seen a 65 per cent reduction in the number of late changes being submitted at a national level. GWR has recently bolstered its resource with the addition of five planners and we have worked together to put a plan in place which should enable GWR to meet the national recovery plan bidding deadlines from Week 25 (29 June 2018)
onwards.
You may also wish to speak to GTR and GWR to understand, from their perspective, the issues they are having in meeting the recovery plan bid deadlines.
In February, we established a Strategic Crisis Management Team (SCMT) led by Paul McMahon, Managing Director, Freight and National Passenger Operators, to address the emerging timetable issues. The work to clarify key project, franchise and rolling stock assumptions for each timetable was something which Network Rail started doing when we formed the SCMT to establish control over the Network Rail response to the informed traveller issues and pre-dates any specific conversation with ORR. My team shared the schedule of assumptions for May 2019 with ORR's team as a result of pre-existing work and we agree that our ongoing assurance work in relation to these assumptions will help identify and manage the risks to implementing this timetable.
We are, of course, very happy to provide ORR with a regular view of progress against the recovery plan, and for such face to face meetings as you may consider helpful. I have been receiving relevant and timely reports from Chris Rowley, Director of Capacity Planning, throughout the last three months and progress on the delivery of the plan is being reported to the Route businesses at their weekly visual management meetings. The delivery of our recovery plan is also the subject of ongoing discussion at our Executive Committee and Board.
## Root Causes Of T-12 Issues
Within your letter you highlight three particular concerns. Our response is set out below.
## Infrastructure Projects (Ip) And System Operator (So) Interfaces And Their Management
The decision making process around the deferral of the NWEP Phase 4 followed normal working practices from the IP deliverer to the Sponsor team, and then through to the North of England Programme Board (Programme Board), at which customers and stakeholders are represented, and is chaired by DFT's Senior Responsible Officer, Brian Etheridge.
The North of England Programme, of which NWEP is a part, reported known risks and mitigations periodically through its recognised governance, with oversight from multiple stakeholders including DfT, ORR and Rail North. The SO was involved in impact assessments and decision making from both a strategic and capacity planning perspective, making the likely consequences of deferral clear to the Programme Board.
The first key issue surrounded the Moses Gate wall collapse which compromised the volume delivery during the summer 2017 blockade. Risks to the programme completion were flagged as a consequence of this event.
The second key issue was the previously identified issue of ground conditions and the implementation of a revised piling methodology which was devised to mitigate these concerns. Network Rail reasonably believed, at that time, the slippage was recoverable on the basis that our own engineering team (with the support of academia and design consultancies) had developed a workable solution. Nevertheless, the risks to delivery continued to be flagged and monitored.
Towards the latter part of 2017 it became clear that NWEP Phase 4 was falling behind schedule. However planned activity over the Christmas 2017 blockade was recognised as being key to providing confidence in delivery of the remaining works. Clear achievable targets were set with a pre-agreed position that an industry decision would be taken on 5 January
2018 (at a specially convened Programme Board) based on the volumes achieved. Whilst most of the required volumes were delivered (indeed in many cases there was more progress than had been planned) delivery of the bases fell well short of plan. As a consequence, recovering delivery of NWEP Phase 4 would not be achievable without an extended blockade
(which would have had a considerable impact on passengers and freight end users).
Therefore the decision to defer completion of the works was taken.
Notwithstanding the significant impact of NWEP Phase 4, there are equally relevant issues to be regarded such as the interface between the SO and operators and the interface between SO and franchising authorities. These interfaces have impacted timetable planning assumptions and dependencies such as rolling stock cascades and franchise driven timetable changes.
It is for this reason that, as set out above, we have already begun to establish a wider set of assurance reviews to assess all future timetable dependencies and assumptions. This work is already in progress and will be concluded for the upcoming working timetable changes through the SCMT work. Longer term consideration has to be given to how the whole industry, including Network Rail, train operators and wider stakeholders, better share the status and risks of associated timetable planning assumptions and dependencies, beyond current contractual commitments. There is now National Task Force support to establish a whole industry Project Management Office.
There were clearly a number of wider industry issues at play which compounded the T-12
issues including a late decision to introduce a phased timetable on Thameslink by the Industry Readiness Board outside of normal timetable development timescales, late notice by Abellio ScotRail of the new fleet of Class 385 trains being unavailable for the May timetable and reasons (including late changes to Network Rail's engineering access plan and train operator planning resourcing) which led to a number of passenger operators failing to provide amended timetable bids in accordance with their Network Code obligations.
## Prioritisation Decision Making
With regard to your concern as to whether decisions such as the delay of enhancements are being taken with passengers and a whole system perspective in mind, the decision to defer the NWEP Phase 4 programme was made with the passenger specifically in mind. Whilst it may have been possible to recover NWEP Phase 4 to timescales for the May 2018 timetable commencement, this would have required an extended blockade, requiring thousands of passengers to be subject to rail replacement services into the centre of Manchester.
Following detailed review at the specially convened Programme Board, the consequence of an extended blockade was believed to be too great on both passengers themselves, and also on the transport infrastructure of the City of Manchester with the volume of buses that would have been required for this extended period of time.
## Management Of Late Notice Timetable Changes
A robust engineering access late change process has been established since the start of the informed traveller recovery plan. Over the first two periods of use, the levels of change have reduced by some 65 per cent compared to the previous year. Twice weekly teleconferences are attended by IP, route businesses and my SO team and are designed to minimise the number of late notice timetable changes and the resulting impact on passengers.
## Summary
In summary, whilst we recognise that the industry is failing to adhere to informed traveller timescales, we believe that we have the right plan to address this situation as soon as is practically possible.
Following the challenging implementation of the timetable, the remit of the SCMT has been expanded and it now has three primary objectives:
1. To ensure route teams have everything required to support the short-term recovery
plans from GTR and Northern.
2. To deliver a successful return to T-12 ('informed traveller').
3. To assess options around December 2018 and May 2019 timetable implementation,
and establish KPls for delivery (Network Rail and train operators).
We recognise that passengers served by the Northern and GTR franchises, in particular, have not had the services that were promised by the industry in the May timetable change and as a result the whole industry is, quite understandably, facing significant criticism. We acknowledge that on 4 June the Secretary of State for Transport announced that ORR will undertake an inquiry into May 2018 timetable implementation. The output of this inquiry may identify important lessons that can be applied in advance of future major timetable changes and we therefore stand ready to assist ORR in any way that may be helpful as you complete your inquiry.
Should you require further information or wish to discuss further at a meeting, please do not hesitate to let me know.
I am copying this letter to Francis Paonessa, Managing Director, Infrastructure Projects and Paul McMahon, Managing Director, Freight & National Passenger Operators at Network Rail.
Managing Director, System Operator cc Francis Paonessa, Managing Director, Infrastructure Projects cc Paul McMahon, Managing Director, Freight & National Passenger Operators | en |
3021-pdf |
ORR's health and safety compliance and enforcement policy statement 2016
## Contents
| Purpose | 3 |
|------------------------------------------------|-------|
| Introduction | |
| 3 | |
| | |
| Bookmark not defined. | |
| | |
| Scope | 3 |
| Aims and purpose of compliance and enforcement | 4 |
| Our strategic objective for health and safety | 4 |
| Key principles | 5 |
| Growth Duty | 7 |
| Compliance and enforcement measures | 7 |
| Formal enforcement tools | 7 |
| Enforcement criteria and decision making | 8 |
| Prosecution | |
| 8 | |
| Death at work | 10 |
| Crown bodies | 11 |
| Review of regulatory decisions and actions | 11 |
| | |
## Purpose
This policy statement sets out how ORR will use its powers to carry out its regulatory enforcement responsibilities arising from health and safety and other relevant legislation.
## Introduction
1. The Office of Rail and Road is the independent safety and economic regulator for Britain's railways and monitor of Highways England.
2. Our purpose is to ensure the network operates safely, reliably and provides value for taxpayers and customers. We safeguard the public and the workforce by regulating the rail industry's health and safety performance. We hold Network Rail to account - and we require it to provide passengers with a punctual, reliable service. We make sure that train and freight operating companies have fair access to the rail network, and that the market is competitive and fair. 3. As an independent regulator, ORR operates within the framework set by UK and EU legislation and is accountable through Parliament and the courts. 4. We are the health and safety enforcing authority for the mainline railway, High-Speed 1, light rail, heritage railways, tram networks and metro systems. Our vision of success for Britain's railways is: Zero workforce and industry-caused passenger fatalities, with an ever-decreasing overall safety risk.
5. The ORR board has duties under section 18 of the Health and Safety at Work etc. Act 1974 to make adequate arrangements for the enforcement of the relevant statutory provisions and work together with other enforcing authorities, such as The Health and Safety Executive, to establish best practice and consistency in the enforcement of the relevant statutory provisions, share information etc.
## Scope
6. ORR's health and safety powers and enforcement responsibilities stem from a number of sources:
-
the Health and Safety at Work etc Act 1974 and regulations made under the Act;
-
specified powers allocated to ORR inspectors by other UK statutory requirements not associated with HSWA, for example REACH, the Employers Liability (Compulsory Insurance) Act 1969;
-
railways industry specific legislation, for example The Railways and Other Guided
Transport Systems (Safety) Regulations 2006 (ROGS); and
-
'relevant non-Health and Safety legislation' for which ORR is the enforcing authority which
stem from European legislative requirements:
the Railways (Interoperability) Regulations 20111;
the Rail Vehicle Accessibility (Non-Interoperable Rail System) Regulations 20102; and
the Train Driving Licences and Certificates Regulations 20103.
7. This policy applies to all health and safety enforcement and compliance activities undertaken in all sectors of the railway industry for which we are the enforcing authority i.e. the mainline railway, light rail, heritage, tram networks and metro systems.
8. This policy does not deal with the enforcement of the obligations under operating licences granted to rail companies which are dealt with separately under ORR's economic enforcement policy and penalties statement4 or our powers as the independent monitor of Highways England and its management of the strategic road network5.
## Aims/Purpose Of Compliance And Enforcement
9. ORR implements compliance and enforcement strategies in order to:
-
ensure that duty holders comply with relevant health and safety legislation, or if they fail to comply, ensure they are held to account;
-
ensure duty holders eliminate or properly control risks;
-
take action to deal immediately with serious risks;
-
promote and achieve sustained compliance with the law; and
-
deter non-compliance and prevent work-related ill health and injury to workers, passengers
and other members of the public who may be affected by the operation of Britain's railways
Our strategic objective for health and safety
10. In order to achieve our vision, we believe that all sectors of the industry must work together to continuously improve health and safety performance. Our contribution to moving the industry towards the vision is expressed in our current strategic objective:
Drive for a safer railway:
Enforce the law and ensure that the industry delivers continuous improvement in the health and safety of passengers, the workforce and public, by achieving excellence in health and safety culture, management and risk control.
11. This policy is supported by documents that give greater detail on how the policy is applied.
These are available on our website6.
12. Our compliance and enforcement strategies address those areas that we consider to be a priority for us and the industry. We design our work programmes around these risk topics and
Available at http://www.opsi.gov.uk/si/si2010/uksi_20100432_en_1
3
Available at http://www.opsi.gov.uk/si/si2010/uksi_20100724_en_1
4
Available at http://www.rail-reg.gov.uk/upload/pdf/395.pdf
5 Available at http://orr.gov.uk/highways-monitor/enforcement-policy-for-highways-england
6
Available at http://orr.gov.uk/what-and-how-we-regulate/health-and-safety
enablers as published in *ORR's strategy for regulation of health and safety risks.* This can be found on our website7.
## Key Principles
13. We believe in firm but fair enforcement of legislation. This is informed by the regulatory principles as set out in the Legislative and Regulatory Reform Act 2006: *proportionality* in applying the law and securing compliance; *consistency* of approach; *targeting* of enforcement action;
transparency about how the regulator operates and what those regulated may expect; and accountability for the regulator's actions. These principles apply both to enforcement in particular cases and to management of enforcement activities as a whole.
## Proportionality
14. Proportionality means relating enforcement action to the level of harm or risk of harm8 arising from a breach and /or the seriousness of a failure to comply with a legal obligation. Action taken by ORR to achieve compliance or bring duty holders to account for non-compliance will be proportionate to any risks to health and safety, or to the seriousness of any breach.
## Targeting
15. Targeting means making sure that actions are targeted primarily on those whose activities give rise to the most serious risks, where the hazards are least well controlled or where on-going compliance with the law needs to be verified; and that action is focused on those parties best placed to control it. We use the term "duty holder" to identify who has the duty to comply with a legal requirement. This may be employers in relation to workers or others exposed to risks; the self-employed; directors, managers and other similar company officers; owners of premises; contracting entities; suppliers of equipment; designers or clients of projects; or employees themselves. Where several duty holders have responsibilities in respect of one incident / breach, ORR may take action against more than one duty holder when it is appropriate to do so in accordance with this policy.
## Consistency
16. Consistency of approach does not necessarily mean uniformity. It means taking a similar approach in similar circumstances to achieve similar ends.
## Transparency
17. Transparency means helping duty holders to understand what is expected of them and what they should expect from ORR. It also means making clear to duty holders not only what they have
to do but, where this is relevant, what they don't. That means distinguishing between statutory requirements and advice or guidance about what is desirable but not compulsory.
## Accountability
18. Regulators are accountable to the public for their actions. This means that ORR has policies and standards (such as the four enforcement principles above) against which it can be judged, and an effective and easily accessible mechanism for dealing with comments and handling complaints.
## Growth Duty
19. ORR supports the principles of the "Growth Duty" contained in Section 108 of the Deregulation Act 2015 requiring those exercising non-economic regulatory functions to have regard to economic growth when making decisions. 20. We have designed our business processes and regulatory activities to take account of the growth duty. It is our policy to:
-
understand the business environment that our duty holders operate in and the impact our regulatory activities may have on growth potential;
-
influence and support businesses to be compliant through the provision of advice and guidance that is relevant to the sector;
-
our strategic objective of achieving *excellence in health and safety risk control* encourages
sensible risk management and not gold-plating;
-
we engage with business groups for dialogue and consultation collectively to achieve a mutual understanding of the issues;
-
we encourage the sharing of best practice between duty holders;
-
we make optimal use of data gathered by the industry as a whole in order to minimise
requests to individual businesses to supply information;
-
we target our interventions on the basis of risk and evidence, and design them to take
account of the size and nature of the business;
-
we use our inspection and audit visits to provide advice and direct duty holders to published
guidance. Where we find non-compliance, we will generally provide advice about how to
achieve compliance and allow reasonable timescales for improvement;
-
we aim to minimise the administrative burden of applying for authorisations and licenses by providing an online portal for applications, for example, train driver licensing, and publish guidance manuals on our intranet on how to submit an application.
## Compliance And Enforcement Measures
21. We use a wide selection of compliance and enforcement strategies ranging from information, advice, persuasion, co-operation, inspection, audit, permissioning, verification and compulsion through to deterrence activities of formal enforcement. Our approach is generally to assist industry to comply with its occupational health and safety obligations through verbal and written advice, but to be prepared to adopt stricter methods where the duty holder fails to respond to our advice or where the seriousness of the non-compliance justifies it. However, in most circumstances, we can secure compliance without recourse to formal enforcement tools.
## Formal Enforcement Tools
22. We have a range of stronger sanctions available to us where necessary to secure compliance or impose sanctions for the most serious breaches of the law:
-
where we find an article or substance that we believe may be a cause of imminent danger, we can require it to be made harmless;
-
seize plant equipment and substances;
-
an improvement notice requiring compliance by a certain date;
-
a prohibition notice that prohibits a practice or use of plant, equipment or a substance until it can be undertaken or used safely;
-
revocation of a safety certificate or safety authorisation issued under ROGS. A transport
undertaking cannot operate without the necessary certificate or authorisation;
-
issue of a simple caution (out of court disposal) in England and Wales;
-
prosecution in the courts in England and Wales; and
-
report to the Crown Office and Procurator Fiscal Service in Scotland.
## Enforcement Criteria And Decision-Making
23. Most enforcement activity is undertaken by warrant holding inspectors and inspector's assistants who adopt a flexible and responsive approach with the provision of advice, education and assistance being recognised as important elements in achieving compliance. In making a decision whether or not to take more formal enforcement action, we use our Enforcement Management Model9 (EMM) and supplementary ORR specific guidance10 as a steer to decisionmaking. This considers the extent of the risk, the seriousness of the breach and the actual or potential consequences, balanced with the culpability of the duty holder, compliance history and any other mitigating or aggravating factors. The inspector's assessment of these factors is recorded on a form EMM1 that is then reviewed by the line manager.
24. Where we identify non-compliance, our options range from verbal or written advice, to more formal enforcement such as an improvement notice, prohibition notice, simple caution or ultimately, prosecution.
25. Investigation reports are reviewed and signed off by the line manager.
26. As an independent regulator, our enforcement decisions are made free from departmental or ministerial influence.
## Prosecution
27. The decision to prosecute a case is an objective exercise and made by a senior inspector of principal inspector level or above, who is independent from the investigation and who has had no prior dealings with the prospective defendant in respect of the matter. 28. In Scotland, decisions to prosecute are made by the Procurator Fiscal on the basis of a report and recommendation made by ORR health and safety inspectors.
29. Prosecutors will always act in the interests of justice and will not let any personal views about the prospective defendant, victim or witness influence their decisions.
30. The decision whether to prosecute is carried out in accordance with the Code for Crown Prosecutors and takes account of the evidential stage and relevant public interest factors. No prosecution will go ahead unless the approval officer finds that there is sufficient evidence to provide a realistic prospect of conviction and that prosecution would be in the public interest.
31. The decision to prosecute is kept under continuous review, so that any new facts or circumstances which may support or undermine the prosecution's case are taken into account in the decision to continue or terminate the proceedings. 32. We will be more likely to prosecute, or recommend prosecution (in Scotland), where, following an investigation or other regulatory contact, one or more of the following circumstances apply:
(a)
death was a result of a breach of the legislation11;
(b)
the gravity of an alleged health and safety offence, taken together with the seriousness of any actual or potential harm which warrants it;
(c)
there has been reckless disregard of legal requirements;
(d)
there has been a failure to adhere to statutory standards which has resulted in a significant financial benefit or competitive advantage to the offending duty holder (particularly where
that failure was intentional);
(e)
there have been repeated breaches of a similar nature which give rise to significant risk, or persistent and significant poor compliance in related areas;
(f)
work has been carried out without, or in serious non-compliance with, a legal authorisation,
order or certificate;
(g)
a duty holder's standard of managing its legal responsibilities is found to be far below what
is required, and to be giving rise to significant risk or other detrimental impact on others;
(h)
there has been a failure to comply with an improvement or prohibition notice or there has been a repetition of a breach that was the subject of a simple caution;
(i)
false information has been supplied wilfully, or there has been an intent to deceive, in relation to a matter which gives rise to significant risk; or
(j)
inspectors have been intentionally or recklessly obstructed by the duty holder in a way that
prevents them from carrying out their lawful duties.
33. In deciding our response to a breach of the law, we will also consider how the individual or
company concerned has itself responded to a breach. Relevant factors could include: a)
the duty holder taking steps proactively to identify any breach, investigate the root causes and effectively address the failings;
b)
the duty holder showing how lessons have been learned from their investigation that could improve compliance across the business;
c)
fully cooperating with ORR with any inspection or investigation of the breach;
d)
how any person who has suffered harm has been handled by the duty holder including,
where appropriate offering restorative justice12.
## Death At Work
34. In England and Wales, to ensure decisions on investigation and prosecution are closely coordinated following a work-related death, ORR, HSE, the British Transport Police (BTP), the Local Government Association, the Association of Chief Police Officers and the Crown Prosecution Service (CPS) have jointly agreed and published *Work-related deaths: A protocol for liaison*13.
Other non-signatory organisations, including the Chief Fire Officers Association, have agreed that they will take account of the protocol when responding to work-related deaths. Rail Accident Investigation Branch (RAIB) is not a signatory to this protocol because it must remain independent of any criminal investigation. 35. In Scotland a separate work-related deaths protocol has been agreed between the Crown Office and Procurator Fiscal Service, the Association of Chief Police Officers in Scotland, the BTP
and HSE14. ORR and Scottish local authorities support the protocol.
36. In England and Wales the police are responsible for deciding whether to pursue a manslaughter investigation and whether to refer a case to the CPS to consider possible manslaughter charges. ORR is responsible for investigating possible health and safety offences. If in the course of its health and safety investigation, ORR finds evidence suggesting that a manslaughter offence has been committed it will refer it to the police. If the police or the CPS decide not to pursue a manslaughter or corporate manslaughter case, ORR will normally bring a health and safety prosecution in accordance with this policy. 37. In Scotland, responsibility for investigating sudden or suspicious deaths rests with the Procurator Fiscal who will instruct the police. The police will lead the investigation of any potential offences related to culpable homicide or corporate homicide. ORR will investigate any possible health and safety offences. Under the Scottish work-related deaths protocol the investigations will be co-ordinated and evidence shared. Unless a prosecution takes place in the same circumstances, the Procurator Fiscal is required to hold a Fatal Accident Inquiry into the circumstances of a death resulting from a work-related15 accident. An Inquiry may also be held where it appears to be in the public interest on the grounds that the death was sudden, suspicious or unexplained, or has occurred in circumstances such as to give rise to serious public concern.
38. ORR is also a signatory to both the Prosecutors' Convention and the Investigators' Convention setting out how enforcing authorities will work together when required.
## Crown Bodies
39. Crown bodies must comply with health and safety requirements but they are not subject to statutory enforcement, including prosecution. The Cabinet Office has established non-statutory arrangements for enforcing health and safety requirements in Crown bodies. These arrangements allow ORR to issue non-statutory improvement and prohibition notices and for the censure of Crown bodies in circumstances where, but for Crown immunity, prosecution would have been justified. In deciding when to investigate or what form of enforcement action to take, ORR will follow as far as possible the same approach as for non-Crown bodies, in accordance with this enforcement policy.
## Review Of Regulatory Decisions And Actions
40. We have arrangements in place to review regulatory decisions when challenged by an affected party or another stakeholder. 41. For a dispute involving informal verbal and written advice given by an inspector or inspector's assistant, we advise the complainant to contact the line manager in the first instance. Where a dispute cannot be resolved by this means, we will escalate it up the line management chain to a Grade A or above.
42. Enforcement notices such as improvement and prohibition notices have a built-in appeals process which is heard through the Employment Tribunal Service.
43. We are an organisation which must provide certain services to victims of crime in accordance with the Ministry of Justice's Code of Practice for Victims of Crime (the Code) in England and Wales. We have a process in place for victims of crime to make a complaint in relation to their entitlements under the Code which is contained on the Ministry of Justice website.16
44. In Scotland, different arrangements are in place to support victims of crime. Information is provided on the Scottish Government website.17
45. Also in accordance with the Code, we have in place a process for victims of crime to request a review of a decision not to prosecute. Further, the details of making such a request are contained on our website.18 These arrangements apply to victims in England, Scotland and Wales.
46. Our website also gives information on how to complain about the service given by ORR.19
## © Crown Copyright 2016
This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to
the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: [email protected].
Where we have identified any third party copyright information you will need to obtain permission from the
copyright holders concerned.
This publication is available at orr.gov.uk Any enquiries regarding this publication should be sent to us at orr.gov.uk OGL logo
##
| en |
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Waste and recycling Health and social care
Streets, roads and pavements
Reduce spending on ridiculous arts projects.
Respondent skipped this question
Q6: How can the council support the achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the aims for the city?
INCOMPLETE
Libraries and archives Housing
Q4: What services are most important to you and your household? Please select the three
most important
Jobs, training and volunteering
Q5: How would you protect frontline services?
Respondent skipped this
question
Respondent skipped this question
Q6: How can the council support the
achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the
aims for the city?
Libraries and archives Schools and education
Environment
Lobby Central gov for more money - local councils are being starved of funds.
Invest, consult, be brave. Think long term not short term.
Use facilities, pay more council tax, partake in the cultural life of the city
Schools and education Environment
Streets, roads and pavements
Invest in technology internally and externally ensuring the council is a modern council that can meet customer service expectations in a digital era. Focus on getting it right first time. From missed bins to shoddy pot hole replacements. You can already see that oaken grove resurface will need doing again. Waste of money. I'm sure there are many examples where the quality of the first response has led to more work in the long run. The more that's done right at the outset the less will be spent fixing problems caused by the council.
Get the right balance between inward looking which focuses on residents and outward looking that focuses on investment into the city. Labour seemed to do well in this area so I would continue with some of the good work they done.
Respondent skipped this question
Q7: What could you do to help achieve the aims for the city?
Benefits support Council tax support
Jobs, training and volunteering
Divert funds from overpaid management.
Strip back levels of overpaid management and stop wasting money on daft schemes like bridge closures.
What aims? and who decided on these aims?
Waste and recycling Housing
Q4: What services are most important to you and your household? Please select the three
most important
People and communities
Q5: How would you protect frontline services?
Respondent skipped this
question
Respondent skipped this question
Q6: How can the council support the
achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the
aims for the city?
PAGE 3: Have your say
Health and social care Housing
Jobs, training and volunteering
Q5: **How would you protect frontline services?**
Invest in communities to involve people in voluntary schemes
Respondent skipped this question
Q6: How can the council support the achievement of a prosperous city?
Involve myself and my community
Libraries and archives Health and social care
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most important
Streets, roads and pavements
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Waste and recycling Streets, roads and pavements
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Planning and building Libraries and archives
Business
cut unnecessary funding to all arts projects especially. be very wary of all 'consultants' and temporary contracts [ especially at high director level ].
keep it clean, dont get involved.. we can do the rest
already employing [redacted] staff and planning to expand. [redacted]: - do NOT believe any of [redacted] you are been told about the guildhall / digital media centre. a load of people who have never turned a profit based on purely private sector work begging for more freebies - PLEASE open up your [redacted] contracts to ALL. Ive been horrified by some of the prices youve paid for sub-standard digital work, sub-standard and often beneath minimum legal requirements measured against DDA Act, does anyone check this? [redacted].
the digital 'clique' in york exists and is costin york tax paters £10,000s a year COMPLETE
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Parking and travel Planning and building
Streets, roads and pavements
Better run council service - stop wasting money on vanity projects and reduce council tax. Inflation is 0%. Any rise in CT should be pegged to this and possibly see a reduction.
Reduce council costs
YCC are being paid to do this not me!
Health and social care Schools and education
Children and families
Find funding to protect current levels of service in all arrears especially protecting the vulnerable, reduce spending on projects such as Lendal Bridge schemes, All About Us (internal information about services, appears to be high price propaganda to council employers) Involve the community more, surveys such as this one do not appear to be widely advertised.
Whilst York appears to be a prosperous city it is not widely advertised that in a National study we have some of the most impoverished arrears in the UK. (Joseph Rowntree Study) Address these kinds of needs first increase opportunities for residents. This in turn would bring in revenue and a ripple like affect should happen as it would encourage more people to the area to work, reside and leisure.
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Housing Environment,
Q4: What services are most important to you and your household? Please select the three most important
Other (please specify) -Transport
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## Q5: **How Would You Protect Frontline Services?**
Inflation linked council tax rises to provide additional income, using digital processes to reduce admin costs.
Improve the housing supply, including social, so people can afford to live here, companies can recruit, more apprenticeships to get York residents into employment,
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## Q7: **What Could You Do To Help Achieve The Aims For The City?**
Support the Council in these previous objectives.
INCOMPLETE
#14
Q4: What services are most important to you and your household? Please select the three
most important
Q5: How would you protect frontline services?
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PAGE 3: Have your say
Health and social care Children and families
Jobs, training and volunteering
I am unclear what is defined as 'frontline services'. What I believe is most important as a city is to ensure that the vulnerable are protected, and that people have access to support and services when they need it (which is likely to be temporarily, i.e. in case of redundancy, ill health etc.).
I think investment should be made in ensuring that everyone in the city is able to feed and clothe their children, and to look after their aging parents without having to spend so much time and stress working that their is no time for the important things in life.
Sound bites like increasing green bin collections are easy and benefit only those who have big gardens and the time to spend in them. I believe that those people in a position to should contribute more rather than placing additional pressures on 'nice to haves'.
By encouraging higher standards of employment, developing emerging and progressive industries which provide opportunities for creativity and developing some vibrancy and economic liquidity, rather that turning our city into a glorified historical Disneyland, Costa del Hen nights or a retirement village.
Vote Labour
Benefits support Schools and education
Q4: What services are most important to you and your household? Please select the three
most important
Children and families
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Health and social care
People and communities
Business
Work hard with existing organisations to ensure that there is no duplication with health and social care services, that current providers are given the opportunity to expand without always having to go through complex bidding processes.
Think about 'right sourcing' services - not necessarily 'outsourcing' but more making sure that the right people and organisations are providing the service whether they be in house or private businesses.
Please be brave - don't procrastinate and don't make internal CYC decision making processes too lengthy. Flexibility come from speedy decision making.
A greater focus on not only education and getting young people into the workplace but also ensuring that older people are still encouraged to stay in employment if they so wish.
With an ever increasing older population it will help every community if people are encouraged to stay active as an employee or volunteer for as long as possible.
Business rates are also a useful tool to support new or smaller businesses - especially relief in the first couple of years of trading.
As a new organisation we are constantly learning dn developing.
We are about to take on an apprentice in the autumn, we are looking at how we can work to employ ex-service personnel to ensure people who want to work are given the opportunity to do so.
We recycle as much of our equipment as we can even though it is not cost effective practice - we either recycle or it ends up on our landfill sites so we will continue to recycle.
We are supporting residents to be as independent as possible and we are working with as many local companies as possible to ensure the investment we are making stays within the City.
Planning and building Housing
Jobs, training and volunteering
Q5: **How would you protect frontline services?**
Ensure appropriate prioritisation Develop joint approaches to community health and healthcare on the lines being taken by Liverpool and othetr Authorities
Concentration on the provision of the necessary infrastructure and providing support to new and deveoping businesses
Continue with my vounteer work in my local community to enhance the environmental, social and leisure facilities.
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Planning and building
Environment
Streets, roads and pavements
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Supporting sustainable development of the city focusing on promoting walking and cycling in the centre over motorised traffic, then reaping the benefits of increased foot fall and spending that follows as shown in similar schemes worldwide.
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aims for the city?
Planning and building Libraries and archives
Q4: What services are most important to you and your household? Please select the three
most important
Streets, roads and pavements
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Waste and recycling Environment,
Other (please specify) - antisocial behaviour
Reduce democracy let professional officers make more decisions and Politian's make less decisions. Look at true efficiency savings involving process not cutting staff. This may result in employing more back office staff to undertake administration to allow more highly paid officers to be out of the office in the community.
Consistent enforcement across the board under a single enforcement policy. There is little that can be done due to the way business rates are collected for our size of city. Improve cleansing in the city centre reduce asb offer support for businesses going through the planning process.
Continue to live here and support the local economy
Waste and recycling Health and social care
Environment
can anybody tell me what a front line service is? is it direct contact with public is it fixing the roads is it wasteis it gritting is it I.T. are none of the support services that help deliver a front line service front line I do not understand the phrase- Front line service. can this sound-bite be explained?
go for broke- fully recycle everything including business waste- all free to York residents (who pay council tax- business rates)
by preserving ,promoting and developing the cities character. by promoting all forms of transport links- local & international
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Planning and building Schools and education
People and communities
What a ridiculous question! Where is the context?
## Page 5: Have Your Say Q6: **How Can The Council Support The Achievement Of A Prosperous City?** By Attracting Inward Investment, Addressing Traffic Congestion And Implementing A Local Plan As Soon As Humanly Possible.
By having aspiration for our city rather than just focussing on dog fouling and pavements!
I am a snow warden, I have taken part in local clean ups of my neighbourhood. I am happy to keep an eye out for my neighbours and get involved with school / out of school club events and activities
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Planning and building Libraries and archives
Schools and education
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## Q5: **How Would You Protect Frontline Services?**
Reduce the amount of Managers there are, no employment of consultants or contractors, use the money more wisely
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## Q7: **What Could You Do To Help Achieve The Aims For The City?**
More help should be available foe the small business and sole traders
Parking and travel Benefits support Housing
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Health and social care People and communities
Environment
Ensure support for most vulnerable people is in place. Ensure better cross directorate working practices but maintain the expertise needed in social care.
Have a more measured approach to supporting tourism and highlight the needs of citizens. Restrict the impact of excessive drinking in the City centre. No building on Green Belt.
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Waste and recycling Housing Environment
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Health and social care Housing
Jobs, training and volunteering
more joined up communication between different services. To decrease the amount of waste generated by a lack of communication, speak to the services themselves,
Think resident not tourist. Too much is put on the tourist more resident themes not just in winter
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Q7: What could you do to help achieve the aims for the city?
Parking and travel Schools and education
People and communities
Tax late night bars wanting to stay open after 11pm.
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Q6: How can the council support the achievement of a prosperous city?
Already started voluntary gardeners (friends of) team in local park and already cycle to work.
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Health and social care People and communities
Environment
By not outsourcing them whilst enabling them to operate in a consultative manner based upon citizen feedback. Services need to be available face-to-face in convenient locations, accessible by public transport. People need to be able to understand what is being offered as public services and not talked down to.
York already is a prosperous city for a minority. A large number of residents work in low-paid service jobs or on zero- hours contracts that only provide prosperity for the few. To provide prosperity for all a new type of economy is need that avoids exploitation...
I'm a hard working resident and active in the community - need I do more?
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Environment
## Q4: What Services Are Most Important To You And Your Household? Please Select The Three Most Important Page 4: Have Your Say Q5: **How Would You Protect Frontline Services?**
Set up an energy services company to sell energy to residents at a competitive cost, reinvesting modest profits in frontline services. As the service becomes established, gradually invest in district heat and renewable energy generation to feed into the company, reducing the proportion of supplied energy purchased on the wholesale market and either reducing bills further or increasing profit margins
Respondent skipped this question
Q6: How can the council support the achievement of a prosperous city?
Continue involvement in the third sector as an active citizen.
Planning and building Waste and recycling
Q4: What services are most important to you and your household? Please select the three
most important
Streets, roads and pavements
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Waste and recycling Libraries and archives
Environment
Get some of the work done by offering internships which involve teaching people transferrable skills as well as complementing and supporting permanent members of staff.
Redefine prosperous. Prosperity is not just about money and consumption Prosperity should also be about creating a city which is sustainable with a high quality of life. The city should not be looking to promote any further increase in individual consumption of resources.
Lower my carbon footprint. Continue to travel sustainably. Make York a better place for wildlife. Educate and encourage other people to behave more sustainably. Make people consider that consumption of more resources will not make them any happier. Other changes to their life will improve the quality of their lives.
Waste and recycling Housing
Jobs, training and volunteering
I would work closely with council staff and residents of York to figure out which services are most important. To protect frontline services, I think the council need to change the way services run so they are more efficient and cost effective
- living wage
- support young people (jobs, housing etc) - make sure residents are aware of universal council services - support local businesses
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Health and social care People and communities
Environment
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Waste and recycling Sports and leisure
Streets, roads and pavements
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Health and social care Housing
People and communities
In York much of the frontline services are provided by the voluntary sector, therefore it is imperative that such services get the financial support from the local authority. York seems to be very selective in which organisations that they support, which is not always fair.
By not wasting money.
Our organisation already work with the local authority to help to delivers its aims. However, this is not always productive, because they tend not to listen to any suggestions.
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Parking and travel Council tax support
Streets, roads and pavements
stop throwing money into events such as the tour de yorkshire
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Benefits support Health and social care
People and communities
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Schools and education Children and families
Jobs, training and volunteering
Q5: **How would you protect frontline services?**
Increase council tax. Work for devolution within yorkshire so get more control of finance.
Invest in skills and training.
Volunteer.
Waste and recycling People and communities
Other (please specify) - public transport
Q5: **How would you protect frontline services?**
Eliminate unnecessary spend... unesco. Arts. Regain focus.
Public transport. People living in york have no incentive to go to town. Bus service is poor parking is expensive and routine s hopping has moved out.
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Q7: What could you do to help achieve the aims for the city?
Council tax support Health and social care
People and communities
Maintain effective quality social care services to support people with health needs and disabilities and their families. Provide support to those on low incomes, continue to provide a safety net in times of need , increase council tax support, continue support though yfas, support and advice services. These things are more important than green bin collections during the winter, reversing 20m speed limit. Ensure contracts for services including social care pay living wages and have good working conditions to help promote good jobs and living standards in the city.
Support employment development in the City, broaden the range of industry in the City. Not just tourism and shopping. Promote enough good, affordable housing in the City. Sort out the issues about development of new affordable housing. Have positive approach to developing and leading the council, rather than personal bickering and point scoring.
Support my family, have aspirations for the City. Support the Council to make positive changes.
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Waste and recycling Health and social care
Q4: What services are most important to you and your household? Please select the three
most important
Schools and education
Q5: How would you protect frontline services?
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Parking and travel Waste and recycling
Schools and education
Stop introducing unnecessary schemes like restricted driving areas in city centre and focus on what really matters to the residents of York.
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Parking and travel Planning and building
Streets, roads and pavements
allocation of appropriate funds....for basic services...clean safe streets...rubbish removal...
Listen to the people who live in the community and pay council tax.....consult with householders...do not put own political career ahead of those people who work and live in York and want it to remain a good place to live.
provide basic services.
Prevent family housing being given over to student accommodation. Build on brownfield sites.
Ensure the Universities provide adequate parking for staff and students
Allow people to choose how they want to live we do not all want to be forced to ride a bike !!
respond to consultations. attend future working groups
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People and communities Environment
Jobs, training and volunteering
Q5: **How would you protect frontline services?**
by reviewing the way they work and getting rid of vanity projects
through social media as it is universal and free
have an input into your decision making and local decision making
Council tax support Libraries and archives
Health and social care
To prevent the queues of ambulances which apparently wait outside A/E for admission why do we not filter out 999 calls by eg referring patients to GP, pharmacies, social services etc or assess patients by the use of paramedics if applicable?
By keeping citizens informed and giving us a say in the running of the city, by increasing the visibility and number of police particularly in the centre of town in the evenings, by reducing the rent of retail premises so that shops do not stand empty.
I can take an active part in local enterprise as a volunteer. I can take part in local events eg theatre, library events. I can shop locally to keep retailers in business.
Housing People and communities
Jobs, training and volunteering
By scrapping the coalition's vanity project which plans to use taxpayers' money to remove traffic speed reduction signs in our local communities.
By ensuring that York's prosperity is of benefit to all its citizens and just a small prosperous elite.
By demonstrating & protesting against the politics of ideologically driven austerity and cuts in frontline local government services.
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Waste and recycling People and communities
Environment
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Health and social care Environment
Jobs, training and volunteering
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Planning and building Housing
People and communities
By minimising administrative waste and senior staff salaries within the council.
Allow more community involvement in neighbourhood planning and reuse of old buildings. We need prosperity at a local level which will in turn attract investment from further afield.
Help community building and green space projects. Help with volunteering to keep the environment safe, clean and accessible to all.
Health and social care Environment
Q4: What services are most important to you and your household? Please select the three
most important
Streets, roads and pavements
Q5: How would you protect frontline services?
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achievement of a prosperous city?
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Health and social care People and communities
Streets, roads and pavements
Review them all ensure they are what the tax payers want &
need.
Ensure pay is relevant to roles, at moment York Council is paying & rewarding employees better than most private companies based in York [redacted].
Run the budget like a private company would!
Process map everything, be LEAN - eradicate all non value activities, all waste, all duplication. Make everyone cost conscious. Then invest in making York the Number 1 on tourists must visit list
I pay Band F council tax mate, use it better!
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Schools and education
People and communities
Jobs, training and volunteering
PAGE 4: Have your say
## Q5: **How Would You Protect Frontline Services?**
Stop cuts in frontline services.
Meet their own aims, namely to listen to residents. At the moment, this is not happening. The Council currently come across as arrogant & dismissive and certainly are not listening to residents'
needs or ideas.
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## Q7: **What Could You Do To Help Achieve The Aims For The City?**
I currently volunteer on a community centre committee whereby I am able to communicate on behalf of our local residents and work with the council to ensure that residents and communities are listened to
Planning and building Waste and recycling
Streets, roads and pavements
By using resources more smartly eg buildings), avoiding duplication, improving communication between providers, cutting waste (eg idiotic Lendal Bridge closure by last council)
By being business-friendly, improving transport, ensuring schools and training facilities are geared to a C21 economy's needs
## Q7: **What Could You Do To Help Achieve The Aims For The City?**
Continue with volunteer work, keep my business here PAGE 3: Have your say
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| and your household? Please select the three | |
| most important | |
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| Health and social care | |
| Housing | |
| Environment | |
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Benefits support Council tax support
Health and social care
I'd define front-line services so that they are the services that support and enable communities and the most vulnerable across our city, rather than being focused on bin collection.
I would look to get more income from those that can afford to contribute so that those who cannot are fully supported. I'd be more inventive with income generation.
Support those on a low income so that they have enough to flourish and are well supported. Push the living wage more. Make the city affordable for all. Tackle the housing crisis. Enable community voices
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Waste and recycling Libraries and archives
People and communities
This depends on what you consider to be frontline services.
Cut out wasteful processes Ensure efficiency in delivery of service Prioritise services to vulnerable, disabled and financially disadvantaged people Prioritise health - keep the city clean and free from infestation Reduce traffic and make cycling and walking safer and then promote them Vote out the Tories in local and national elections
Ensure developers complete the development of their sites, e.g. Eboracum Way Attract new businesses - especially ones that will develop the skills of local young people, by providing apprenticeships. Encourage businesses that make things Safeguard existing prosperous businesses
I am already responsible for creating a residents association, neighbourhood watch and for setting up a charity to house homeless people and all the consequent work that these projects attract. But I am always willing to tackle something that would improve life for the people of York.
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Health and social care Schools and education
Housing
This is all rather dependent on what is dictated by central government, but front-line services should be prioritised over works to tidy up tourist centric areas (such as King's Square)
It should, where possible, support innovative schemes that would attract more people to the city without spending vast swathes of public money.
This is rather dependent on what the aims for the city actually are.
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Planning and building Health and social care
Schools and education
Increase council tax to pay for proper care for people who need it
support development on brown field sites
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Planning and building Health and social care
People and communities
invest more money in voluntary groups
listen to the people and consult with them before taking any action . Do not decide what you (Council) think would be better for the residents ask them first.
feedback to the appropriate services and ensure my voice was heard PAGE 3: Have your say
| Schools and education, | |
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| Streets, roads and pavements | , |
Q4: What services are most important to you and your household? Please select the three most important
Other (please specify) Policing, Environment and Enforcement
Not all front line services should be protected. Create a prioritised list of all front line services and focus attention on the top half, ensuring that spending is attributed to the most important ones. Leave the third quartile for now and cut the bottom quartile completely. Measure performance of the frontline services using evidence based metrics based on agreed objectives. Ones that are failing should be helped, and if they continue to fail, be re-vamped or given to someone else to do.
Establish additional sources of revenue:
- hotel bed tax of £1 per visitor night - licence A frames and remove any that are unlicenced - increase business rates/charges for businesses on the periphery of the city to protect the centre - charge pubs and clubs for clearing up their mess and policing the noisy hen and stag groups that plague our streets from Thursday to Sunday: they don't benefit the city at all - basically apply the principle that the polluter pays and the beneficiary pays. Encourage behaviour that we want and discourage the rest.
Smarten York up Stop these stag and hen parties from ruining the place Enforce planning to stop everywhere turning in to cafes and pubs and restaurants and clubs - we need people to come to York to shop and spend money, not drink and end up in the river or A&E Declare a vehicle-free area within most of the northern city walls, with parking clearly only allowed in marked bays. Then get rid of all the ugly street furniture that carries information for traffic and gets in the way of the views of York. Remove all the double yellow lines in the town centre and remove the demarkation between pedestrians and traffic by pedestrianising most of the town centre (and making vehicles second class citizens in favour of pedestrians) A prosperous city doesn't have empty shops, or loads of betting shops, e-cig shops, tacky souvenir rubbish - they are all signs of a failing economy: discourage them all.
I'd be happy to volunteer to - sit on a steering group for any of the initiatives - do some manual stuff to clean up the streets or tidy up vacant shops/plots
Health and social care People and communities
Streets, roads and pavements
Q5: How would you protect frontline services?
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Benefits support Council tax support
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Cut red tape, have fewer higher and middle management .
Encourage small business to open in the city center .
unsure at this time.
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Ensure that our Ward councillors and MP are aware of the problem(s) as we see them (eg affordable housing in the Ward). Direct representation to these representatives or use of voluntary organisations (eg CAB) to further and support our views on how to help solve these isdues.
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Health and social care People and communities
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Encourage volunteering and raise taxes
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By stopping these stupid 20 mph zones. And stop funding cycle events and running events
Attract more business to out of centre property by reducing rates and helping small business. Put
the market back in Parliament street
Provide affordable city centre parking and build a bus
station
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Waste and recycling Health and social care
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More funding and making management more efficient and accountable.
By encouraging small businesses
I already volunteer and promote our beautiful city
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By stopping the waste of money on so many 'consultations', marketing, and vanity projects.
By looking after its residents. My husband and his family are all from York, and I have lived here for nearly 40 years. I would like to see money invested in jobs, transport and housing for local people.
What are the aims for the city?
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Health and social care People and communities Other (please specify) - greater support for
homeless persons
Consider a small local tax on tourists using hotels across the city
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By voting Conservative
That is what the Councillors and officers are paid for
A good question, but I can't do anything at all.
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Parking and travel Waste and recycling Housing
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Minimise oversight Empower, but make responsible, those actually providing the services
By advertising the city beyond the city - if more people / businesses come, there is more income, a virtuous circle.
pass
Parking and travel Health and social care
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Cut business rates, and budiness rents they are ridiculously high and encourage only large chains and franchises to come into the city centre destroying York's individual character. We need more independent shops or we will just look like any other soulless city centre with empty shops.
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Increase council tax.
Don't understand the question. Support the goal,?
Be informed and reply to surveys, etc.
Planning and building Waste and recycling
Health and social care
Review dedicated/allocated expenditure as the Council appears to spend on unnecessary features such as the redevelopment of King's Square which is not only a rejection of York's heritage but was never properly consulted on anyway (200 responses and the consulation never took place with a stand or leaflets in King's Square itself where people might have been able to take an interest/be aware of what was proposed.
Consider what support is needed to achieve centre of York business activity e.g. shops occupied, residence over shops developed (if the problem is fire escapes then some dedicated funding to pay for this which could be recouped once residence is achieved). The Science City and Science Park seem quite divorced from York. It would be good to see their involvement/activity in the City iteslef.
I don't reckon I do too badly, myself. I'm retired but [redacted]. This, together with being active in my garden, doing occasional litter pick in my local park and spending time with my family accounts for most of my time. I can only say that, though I'm possibly more active than many in the City, things would surely improve?
Parking and travel Environment
Streets, roads and pavements
More buses. There are currently none in the evening in this area.
Pedestrians helped more by cutting back roadside hedging and widening pavements,
thoughtful planning: more shops in some of the wards so that York is not entirely a "tourist" city, but residents can enjoy and use their own areas: as happens on Bishopthorpe Rd with combo of shops, parks, river, schools and housing.
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Benefits support Council tax support
Other (please specify) - Travel (but *not*
parking!)
Increase Council Tax. It needs to be said, and said again and often, that if we wish to live in a civilised society - and a civilised city - (and we do!), then those of us who can afford to need to pay for it.
Further, note that Council Tax remains relatively regressive, being based on outdated bands that effectively ignore wealthier property owners. This needs to change in order to make the tax more progressive, hence fairer. Re-band, with (several) higher bands for larger properties; then overall increase the tax take.
See previous answer. Increase Council Tax. The obvious and easy way, sadly often left off the agenda because of incessant propaganda lauding greed and the private affluence/public squalor promulgated by greedy self-serving and money-grabbing elites.
Vote. Organise politically for a fairer distribution of wealth in the city.
Libraries and archives Health and social care
Environment
Firstly, by keeping them in the public domain. Siphoning off profits from the public purse compounds the problem. By showing respect to the people who provide them, by ensuring they are paid a living wage and are properly trained, is far more likely to result in quality provision.
You could, of course, subsidise the business elite with financial inducements. Much better to raise living standards generally by clamping down on York 's low wage economy; compel employers to pay a living wage. With disposable income, demand will produce prosperity.
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## Q5: **How Would You Protect Frontline Services?**
OPEN PUBLIC WARD MEETINGS BEFORE DECISIONS ARE FINALISED. ASK WHAT PEOPLE THINK.
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DONT WAST MONEY ON THINGS THE PEOPLE OF YORK DONT WANT.
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YORK CARERS FORUM HAS A MONTHLY NEWS LETTER, WE CAN ASK CARERS YOUR QUESTIONS, PUT YOUR IN OUT TO UNPAID CARERS ALL OVER THE CITY
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Waste and recycling Environment
Children and families
By prioritising the most important services, and ceasing the less important ones that are no longer affordable
By prioritising traffic management and reducing congestion this will encourage more visitors to the city. Many are put off by high parking costs, and relying on Park and Ride services which are still patchy - good at times, very poor at others.
Pay more council tax to help fund services - we cannot expect services to continue if people aren't prepared to pay for them
Health and social care People and communities
Children and families
Leave the front line services alone and ensure services work together.
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Firstly, by keeping them in the public domain. Siphoning off profits from the public purse can only lead to poorer service, low-waged and poorly trained workers and lack of accountability.
Invest for the future, as did the Victorians, by focusing on quality provision rather than short term deals with 'fly by night' private contractors.
A prosperous city depends on there being a prosperous population.
York Draft Council Plan alludes to promoting a living wage in our area. The council needs to clamp down on all employers who are resistent to paying a living wage or are using zero-hours contracts, insofar as it is legally able and, at the very least to 'name and shame' offenders. Formerly publicly owned provision now in private hands, such as care homes and ancillary medical services, we know to our cost, continue to drive down standards. Privatised, 'Academy' schools are likely to do the same, using unqualified staff whenever possible to cut costs. We are all currently providing a subsidy to these shady organisations.
I would be very happy to be part of a panel of citizens acting as a 'sounding board' for ideas concerning York's future development.
Parking and travel Waste and recycling
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Don't make unrealistic promises about rates of Council tax.
Don't opt for short-term government offers to freeze council tax if this will cause bigger problems for protecting services later. Of course carry on looking for efficiency savings, but recognise cuts can only go so far before services suffer. With service charges, align policy with social need and ability to pay, not popularity with vocal pressure groups.
Promote the real Living Wage (not Mr Osborne's version). Build more social rented housing. Support job creation at all skill levels, not just high-skilled posts.
Do more to support vocational training especially for those who have missed out first time round. Help to create more childcare places. Continue to improve public transport networks and cycle routes. Make homes more energy efficient.
I already feel I do a fair bit by volunteering, helping to manage voluntary organisations, conserving resources, recycling, avoiding car use, and supporting city centre businesses when possible. I would be open to ideas for how I could do more.
Schools and education Housing
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Put up the Rates a little bit more and bring in Parking meters on Knavesmire Road
Q6: **How can the council support the achievement of a prosperous city?**
making parking easier
do not know
Sports and leisure Health and social care
Children and families
Continue with supportive services (e.g. administration, performance) as front line cannot run effectively without them.
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Raise council tax particularly on the large wealthy households in York. York is becoming a divided city with some people having a lot of wealth while other struggle. Increase council tax on houses over £200,000.
Support tourism and arts events that bring people into the city and make money for the city.
Not sure. I already try to do the best I can under difficult circumstances.
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The resources provided by the Council in York are all necessary. Some of them are already under stress from under provision. There would be no obvious cuts to make, and any would be utterly undesirable.
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Ring fence money to ensure that finance is always available for them
Support employment for all, equip school leavers with the skills they need to suceed in the buisness world. Support new businesses and community initiatives.
I work in the voluntary sector so feel I already contribute to the aims.
Sports and leisure Libraries and archives
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All aspects of CoYC provision is necessary and currently under stress by under provision. There is no beneficial place to make cuts.
York is a fortunate City, and a popular place to live. The growth of the population, is an integral part of a prosperous city. The permission to build more housing within planning constraints, will help to keep housing a little more affordable overall. keeping York a safe and comfortable environment requires all of the councils offered resources.
1. Maintain the quality of services across the spectrum. 2. Increase pedestrianisation, cycle use, traffic
management.
3. Encourage the academic industries, higher education produces a residual intelligent population, benefiting the town with resourceful people.
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Parking and travel
Health and social care
Business
Generate income from properly policed parking, littler & dog fouling
Good pr & involve the whole community
We ensure we recycle, park legally, don't allow our dogs to foul, pay our council tax We need encouragement & benefit to shop in the city as a resident
Waste and recycling Libraries and archives
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Parking and travel Health and social care
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Run the council as efficiently as possible. Liaise with other local authorities to get ideas for good practice. Consult council staff for ideas from people working in front line services, as they will probably have a good sense of what works well and where the problems are and may have ideas on how to solve them.
Collaborate with local business and education providers- find out what they need to prosper and how you can all work together as effectively as possible. Cut down bureaucracy as much as possible to save money and time and to make it as easy as possible to work/communicate with the council.
I work full time, so contribute in taxes, I cycle to work so contribute to reduced emissions etc. I work in a university and support students and graduates to get into work, some within York. I'm not really sure how I could contribute in other ways.
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I think there needs to be unashamed collaboration with all the groups and agencies with an emphasis on taking away red tape - and really working for the common good.
I think York has many advantages - it is such a great place to live - with great universities. We should sell the class, culture and privilege of doing business here.
Traffic is a problem - and it would be good to fine tune some of the traffic light systems to ensure smooth flow.
Work towards the churches playing a fuller part in City life. The recent Faith Action Audit illustrated the massive impact that it is already having.
Planning and building Libraries and archives
Streets, roads and pavements
Perhaps if I knew what you consider to be a front line services, in alphabetical order, preferably. Then I can give a better informed response.
Get a four or five year plan, share it with all interested parties until it can work satisfactorily. Then implement.
I for example would like ALL the City center within the Bar walls pedestrianised between certain hours. No disabled drivers allowed to park in the center during this period. No cycling on foot streets make them pedestrians and push the cycle. Just buses and taxi's. Wouldn't that be a grand sight Micklegate glorious again! That will bring in the businesses and even more tourists.
Alas I am a pensioner and my knowledge is 'old school' now. I am only good for showing folk the beautiful City of York
Parking and travel Waste and recycling
Streets, roads and pavements
We pay our Council Tax and feel we should have more say on what you spend our money on.
You need to stop wasting money, be more efficent, think before you spend. [redacted]
Clean up the surrounding area not just the City you seem to forget the people out of the City.
Parking and travel Waste and recycling
Health and social care
Ring fence funds for essential services. Make full use of volunteers and charities....eliminate or reduce red tape
Encourage development of small businesses . Utilise the universities more Don't forget the rural villages that are part of York...public transport is vital for schools and for the elderly to get into the city to,spend money in the shops, theatre , restaurants etc Improve transport links...and make the northern ring road dual carriageway Encourage tourists with low cost access to museums etc.
Spend more money and time there...
INCOMPLETE
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I have no idea. There must be no budget left to cut.
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Keep the drinks off the streets and try to make families and tourists safe and secure.
Planning and building Waste and recycling
People and communities
Spending to save by investing in technological advances- initial spend would be offset by long term ongoing savings.
By not impending traders by reducing parking costs and allowing free parking in the evening
By encouraging the council to think long-term - looking wider than short-term savings
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I'm not sure what would be included in "Fronline" services. It would be great if everyone who lives in or visits York felt a sense of responsibility for the City - e.g not throwing glass bottles on pavements which smash and are a hazard to small children and cyclists, placing litter in a bin so that litter doesn't multiply. Small things make a big difference.
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Streets, roads and pavements
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## Q5: **How Would You Protect Frontline Services?**
STOP WASTING MONEY ON WHITE ELEPHANT SCHEMES AND CONCENTRATE ON PROVIDING SERVICES FOR THE COUNCILTAX PAYERS AND NOT FOR TOURISTS
PAGE 5: Have your say
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Q6: How can the council support the achievement of a prosperous city?
PAGE 6: Have your say
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Q7: What could you do to help achieve the aims for the city?
PAGE 3: Have your say
Health and social care People and communities
Children and families
Reduce all council management tiers and management pay awards.
Using energy efficiently, making sustainable decisions when offering funding to local charities and not creaming some off for in house council services, source resources economically
I already do a lot for the city to support vulnerable children and families, low waged and single parent families and children with additional needs in my work PAGE 3: Have your say
Parking and travel Health and social care
Streets, roads and pavements
PAGE 4: Have your say
Q5: **How would you protect frontline services?**
do not cut jobs
use the staff and not outside people
Respondent skipped this question
Q7: What could you do to help achieve the aims for the city?
PAGE 3: Have your say
Waste and recycling Sports and leisure
Streets, roads and pavements
I just want to report that I can not access a copy of what the local plan that has been agreed actually is. When I click the link that says download a copy of the plan, I get taken to the page of dates. [redacted].
I would wish to comment, but ican not as I do not know what I m commenting on!!
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Health and social care Schools and education
Housing
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Health and social care, Environment, Streets, roads and
pavements
By not cutting funding to them!
Provide incentives to businesses who want to commit to the city centre instead of relocating to outside the city. Those parts have sufficient benefits.
I already provide volunteer hours to civic and higher education organisations.
PAGE 3: Have your say
Health and social care Environment
Jobs, training and volunteering
Q5: **How would you protect frontline services?**
Don't cut them. Cut management instead
Q6: **How can the council support the achievement of a prosperous city?**
No idea
pay my council tax
Schools and education Environment
Q4: What services are most important to you and your household? Please select the three
most important
Children and families
Q5: How would you protect frontline services?
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achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
Health and social care Business
Children and families
Cut CYC management - Too many high paid roles Scrap the pension benefit for retirements of 55+ staff Reduce spend on non essential services (Parks/Open spaces, Libraries) Increase council tax, parking, rates - More income for the city will increase frontline services Scrap any contributions to Unions - Why should York residents support other companies? Review of all staff and sack any underperforming employees - Inefficient employees are not good for morale and team working
Ensure any vacant shops are kept to a minimum for visitors - Encourage temporary shops to take up these spaces while long term tenants are found. These temporary shops could be artist displaying their work, bands practicing (seating areas for visitors), Cookery demonstrations, Children's reading sessions for holidays, Children's activity centre, Adult education centre, etc Make the city more accommodating for ALL on a weekend, too many drunken people walking around being unruly will cause the city to have a negative reputation which will affect visitor numbers. Ensure cycling through the city centre is stopped to accommodate visitors who want a pleasant day. Themed weekends for visitors to come to York to enjoy events all the weekend in different areas of the city - Sport, Art, Music, History etc
Engagement needed by all employers & employees to enjoy the city more - After work events to stop people just going home and to participate in an event. Encourage volunteering of different employers, teams to help clean, renovate, weed around the city (if other areas of the council spend was cut), engage with elderly residents, disabled children.
Waste and recycling Health and social care,
Schools and education
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COMPLETE
#147
PAGE 3: Have your say Q4: What services are most important to you and your household? Please select the three most important
Waste and recycling Housing Environment
Lobby government to stop the unnecessary austerity drive that is crippling basic services and making the poor pay for the bankers financial crash. Good early intervention and prevention strategies to reduce future demand on front line services on a long term 'invest to save' basis. Strengthen work to make York more sustainable and resilient (i.e. reduced waste) to reduce demand on 'front line services'. Immediately axe expenditure on the council's biggest 'vanity project' that is the football stadium.
Invest in arts, culture and community (these are 'front line services' too). Axe proposed charging for York residents to museums and gallery. Ensure suburban York's obsessions with street lights, dog bins, litter and ASB do not draw. resources away from real evidence based issues like lack of decent affordable homes, carbon emissions, poor air quality and traffic congestion. Ensure businesses play a bigger role in keeping the city looking nice (business improvement districts etc). Release suitable 'Green belt' sites so York can meet housing need and increase revenue streams Tourist tax
Promote York as a vibrant 'city of the future', with a clear offer based around the quality of its built and natural environment, the quality of its schools, accessibility to decent affordable homes and a rich cultural scene. Ensure opportunities for all and constructively challenge growing inequalities in incomes, wealth (including property wealth) and health. Address the appalling discrepancy between the educational outcomes of looked after and former looked after children and the rest (York one of worst performers nationally)
Continue working full time contributing to the tax base and economic prosperity of the city and raising the next generation of York citizens so they are equally able to be self sufficient and resilient and contribute and not demand much from the public purse.
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Waste and recycling Housing Environment
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Q6: How can the council support the
achievement of a prosperous city?
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Q7: What could you do to help achieve the
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Parking and travel Benefits support
Planning and building
Q5: How would you protect frontline services?
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achievement of a prosperous city?
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Parking and travel Benefits supportPlanning and
building
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Q7: What could you do to help achieve the
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Parking and travel Housing Children and families
Make sure they are run by CYC not outsourced bring back some services such as in house carers provide more funding and resources
More affordable housing-this city has to accommodate and support workers who are on low wages - eg carers, teaching assistants. Try to control private rental market, letting agent fees.
Improve cycling facilities to make this city a healthier, safer place to live. Ideally ban cars from city centre Continue to support the minimum wage Local and ideally free or cheap sport and leisure activities, travel etc for children and young people Reduce cost of bus travel If this city is becoming more prosperous ensure that all benefit.
We have got rid of our car-reducing pollution
would like to take a more active role in ward committees
Parking and travel Benefits support Housing
More funding Ensure still provided by City of York Council Bring back care services in house Stop changing schools into academies
This city is growing in prosperity but it is essential that all its residents benefit from this. This city needs to sustain and support people such as carers, teaching assistants etc who are increasingly finding it difficult to continue to live in York because of cost of living. Please don't push poorer people out of this wonderful city
Housing is a big issue, private rents are ridiculous and letting agent fees- there is very little affordable housing. More affordable housing is needed. This city is so great and therefore people will want to live here so we should allow it to grow.
No mention in plan of cycling. Increase cycling participation is essential to make this city less congested, healthier air, residents healthier etc. Much more safer infrastructure needed. Please ban cars from city centre following lead of many European cities.
Please maintain parks, gardents eg cemetery road park is deteriorating, Clarence gardens services are reduced.
Want to take part in ward committees excellent idea
Schools and education Environment
Jobs, training and volunteering
improving the efficiencies of communication and systems of working to enable service levels to continue and be well directed towards areas of highest need / urgency.
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Q6: How can the council support the achievement of a prosperous city?
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Q7: What could you do to help achieve the aims for the city?
Benefits support Council tax support
Health and social care
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Parking and travel People and communities
Streets, roads and pavements
Make sure the money goes where it is needed and not spent on expensive consultation and too many managers
Ensure York residents earn a living wage so that they have more disposable income
Embrace tourism and encourage multi-culturism
PAGE 3: Have your say
Council tax support Health and social care
Children and families
I would look to prioritise services that residents with a low income require such as council tax support. I would also place a high emphasis on the services available for children and young people.
By investing in jobs, addressing congestion so that it is place people want to come to to do business, providing incentives for small business through business rate relief, investing in some of the more neglected neighbourhoods in York
I have a good knowledge of what works in the field of social welfare and am looking to open up an initiative with that in mind PAGE 3: Have your say
Parking and travel Planning and building
Libraries and archives
CYC can give frontline services more money if required. We all pay enough Council Tax.
By supplying all the appropriate back up that a particular event needs.
[redacted] and I like when we can do things to support the village of Strensall.
Planning and building Housing Environment
Revenue generation in other services:
Charge students or student landlords council tax.
Clamp down and strongly enforce need/use of HMO licences/Article 4 directive.
Re-visit and significantly extend resident's parking scheme to create additional revenue to cross subsidise frontline services and improve park and ride services to reduce car use within the outer ring road.
Active fining of law breakers: Litter, dog fouling, parking.
York relies heavily on two things: - Tourism and the Universities and needs to use these to its advantage.
i.e. Students or their landlords to pay their way by means of council tax or licensing to help pay for upkeep (cleaning up after) etc
Tourism: The city known as a Stag/Hen night destination. This puts a lot of people off visiting, especially at a weekend.
Tourist create a lot of rubbish, especially during a weekend, and more attention must be paid to tidying up after them: Regular emptying of rubbish bins. The city is becoming increasing known as a dirty city, and this should be addressed before it does more harm.
PAGE 6: Have your say
## Q7: **What Could You Do To Help Achieve The Aims For The City?**
I personally do a lot: pick up others litter, walk everywhere, am polite and helpful to tourists and students.
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Planning and building Housing Environment
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Planning and building Health and social care
Environment
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Jobs, training and volunteering
Q5: How would you protect frontline services?
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Planning and building Waste and recycling
Environment
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Health and social care Housing
Children and families
Q5: How would you protect frontline services?
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Listen to it's residents
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Q7: What could you do to help achieve the
aims for the city?
Parking and travel Waste and recycling
Streets, roads and pavements
Save money elsewhere by; Improve council budgeting & financing to cut waste & cost. (Zero base budgets) Use the skills & knowledge of local people/volunteers instead of consultants Include a panel of local tax payers in council meetings to ensure TRUE representation.(elected as representatives of wards perhaps) Recycle additional materials that currently go to landfill (other plastics & metals) Ensure the York BID is successful
Improve prospects and set challenging targets for; 1) Increase in housing - to get more in council tax. (reduce affordable requirement further) 2) Conversion of empty/underused property into dwellings 3) Business support & start ups
We need to get back to a time where the management & growth of a town/city was done by local businesspeople instead of professional politicians. Many older people, with a multitude of skills, can offer a lifetime of experience & advice to ensure realism & practicality in council planning. They would be willing to do this on a voluntary basis.
Waste and recycling Environment Other (please specify): good local shops
for residents (not for tourists)
By allocating resources to them instead of spending large sums of money on pointless and dangerous schemes - for example - re-paving Kings Square so that it looks as though it's pedestrianised when it isn't. Keep York a pleasant city to live in by protecting services and the environment for residents and Council tax payers and avoid flooding the city with tourists and tourist attractions which do not benefit the city long term.
By making sure that the services residents and Council Tax payers need are provided and protected.
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PAGE 3: Have your say
Health and social care Housing
Children and families
These are long held views which would probably be too costly to implement but I believe would eventually help many people to lead safer and happier lives.
1) Health Service. Bring back Cottage Hospitals to take the elderly infirm, thus releasing hospital beds. They could also be used for convalescents to be close to home, and help new mothers with childcare, besides performing minor operations.
2) Education. Bring back local infant schools to age 7, where young children in small classes could be close to home, and gain a thorough grounding in basic 3-Rs, (Read, write a short story with interesting content, punctuation and grammar, understand numbers to 100, number bonds, time, money, shapes, and measurement. Also practising good behaviour, such as sharing with others, being kind, polite, tidy, helpful, attentive, truthful and tolerant. Learning to listen, and speaking correctly helps with reading, and for this, choral speaking is a huge aid. PLUS having an introduction to all the other subjects, including PE, Art and Craft, Literature and Poetry, RE, Music, Drama, Nature, History and Geography. A lot to achieve in 2 or 3 years so computers can wait, but children should be well prepared for Junior School.
3) On leaving school, EVERY pupil should have the opportunity to work or study, maybe as assistants in schools, hospitals, offices, factories and supermarkets, in return for a small wage instead of benefits. Fewer university places (for the most academic), more colleges and apprenticeships to provide the workforce required by employers.
4) Crime. Prevention is better than cure. Teenagers who are disruptive and uncontrollable should be quickly removed from home or school to a secure Home where they are shown there is a better way to live, in the care of kind but firm staff, to learn discipline and respect for others. A daily programme helping with chores, some written work and some physical work (Eg gardening, exercising), could be rewarded with games, TV, and other treats,maybe clothes, if deserved.
5) Housing. Much accommodation in York is taken up by students. If plenty of hostels could be provided on university land, there would be more homes available for residents. Also if teenage mothers were accommodated in hostels, homes would be released. A cap on child benefits would reduce the demand for social housing.
6) Last but not least. Much is said about Human Rights but the most basic of all is completely ignored! Every child has the RIGHT to know the identity of its mother and its father! These should feature on EVERY birth certificate.
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## Q6: **How Can The Council Support The Achievement Of A Prosperous City?**
The council is doing a great deal already helped by many groups and churches across the city. I believe the greatest priority is crime and abuse of all kinds which need to be tackled. More police are needed. People should also be encouraged to take responsibility for the children they produce. Fewer children would make life much easier for all, and absent fathers should always provide for their offspring. Children do not ask to be born but deserve the care and protection of both parents. There is no such thing as "child poverty". It is their parents who are poor, who cannot afford them. After crime prevention, people need jobs and decent homes. Maybe the Council could help people to improve their own homes and gardens, with some assistance, financial and physical.
Regular school health inspections would identify problems before they get out of hand and I see you are looking into this. This would also be a good idea for elderly people.
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Schools and education, Housing, Jobs, training and
volunteering
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Q7: What could you do to help achieve the
aims for the city?
Benefits support Health and social care
Schools and education
Maximise income through, for example: Increased parking charges for non-York residents Increased charges for tourist attractions in York for non-York residents A system of fining landlords found selling alcohol to same sex groups of over 5 people and/or people who are already drunk. Each council department being responsible for reducing staffing costs by, say, 5% a year A 'congestion charge' type charge for vehicular access across the city
Support of local businesses, in particular the Arts. York has a history of supporting the Arts - it is a vibrant part of our local economy. Take better quality planning decisions regarding empty units in York - don't offer them to shops selling cheap, low quality, low class items. Reinvigorate the centre of York as a place local residents go for shopping and other needs - it is becoming a centre for stag parties/hen parties and tourists only.
We support the city centre when we can (although avoid it on race days and Saturday generally). There has been an increase in the number of drunken people in the city centre at all times. It is a disgrace that this is not being dealt with as a matter of urgency as it puts families off from visiting.
I am a music teacher so am investing in the local arts scene through my work.
PAGE 3: Have your say
Benefits support
Q4: What services are most important to you and your household? Please select the three most important
Council tax support Housing
PAGE 4: Have your say
## Q5: **How Would You Protect Frontline Services?**
By improving their presence e.g. having a police officer at each school - promoting their plan to be a part of the community, improving their inclusion to and with the community, promoting law abiding behaviour.
e.g having a team of staff in CYC that are PRO active rather than Re active. I recently attended the council to inform of my change of circumstances - rather than continue to pay my Housing Benefit, they stopped it, made me wait for a decision and THEN I was in debt. This is the second time and not 'my doing'. If HB had paid half of my rent, the debt would not have been incurred and so the animosity, ill feeling and general administration costs would have been reduced, or allayed. e.g by making it even easier on the housing list to promote yourself...award points or credits for being a good tenant, for maintaining the property to a good or high standard, for being a good neighbour and/or volunteer, for caring for the locality, by active inclusion in the ward by attending resident meetings. These credits can improve the chance of being higher in the bidding scheme. And when applications are made, be responsive in acknowledging and involving the tenant. A star for responding to messages more promptly?
Really?
PAGE 5: Have your say
## Q6: **How Can The Council Support The Achievement Of A Prosperous City?**
Reduce rents of buildings.
Be aware of the locality and its current 'stock' of shops - if there are already 5 take aways do we really need another?? By restricting the larger supermarkets shops in the area, taking the same stance with them as the suggestion on the take aways.
Inclusion of volunteers and charities - their reason for existence surely demands their input and involvement in the councils decisions. Their volunteers and workers talk to each other and work together already - how will you harness that exchange and include CYC??
PAGE 6: Have your say
## Q7: **What Could You Do To Help Achieve The Aims For The City?**
I already volunteer, work for a charity and try to promote the extensive visitor attractions of York, alongside the services in existence, particularly for the older generation and those with visual impairment.
Parking and travel Waste and recycling
Libraries and archives
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Health and social care Housing Environment
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achievement of a prosperous city?
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Q7: What could you do to help achieve the
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Q4: What services are most important to you and your household? Please select the three
most important
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Benefits support Council tax support Housing
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Parking and travel Waste and recycling
Streets, roads and pavements
PAGE 4: Have your say
## Q5: **How Would You Protect Frontline Services?**
I do not understand the question.
As York currently looks run down and dirty, a city can only look prosperous if it is cared for and the people who us it are aware that we do it approve of the city being trashed. A drinking culture has been encouraged and we now have groups travelling to York to get 'smashed'. I think that this trashing of our city has to stop. Tourism and the profits from this are important for the city, but lining the pockets of landlords and temporary traders and very noisy buskers are preventing our city looking prosperous. These groups of people have no interest in the beauty of the city - they are only interested in making money. Landlords should not serve people who are drunk, they should not serve large groups of people who are noisy and offensive. York is no longer a safe city and is not family friendly even during the day on Saturdays.
PAGE 6: Have your say
## Q7: **What Could You Do To Help Achieve The Aims For The City?**
I will support any move to discourage rowdiness and making the city a safe place.
Waste and recycling, Environment
Streets, roads and pavements
1. Seek smarter ways of providing them. 2. Try to reduce the demand for certain services so that they can be targeted at those who really need them. (e.g. promote active travel to reduce car dependency and all its accompanying external costs.) 3. Continue to develop and encourage cycling and walking for short trips. (NB: In Copenhagen the net benefit to the local economy is 23 cents/km cycled while the net cost for trips by car is 16 cents/km.)
1. By providing and maintaining or facilitating good infrastructure, including broadband, public transport and a peaceful road environment. 2. By governing according to local conditions and not the dictates of the majority party's national HQ. 3. By encouraging insulation of homes.
1. Continue to do my job and helping my employing organisation to prosper. 2. Continue to minimise my environmental impact in the usual way, e.g. by cycling to work, walking or cycling into the city centre and by conscientiously separating rubbish for recycling.
3. Continue the voluntary work that I have been doing.
Planning and building Health and social care
Environment
Equally distribute the available funds, giving priority only to the most vulnerable groups
It seems to be doing pretty well this summer. Litter removal and vagrancy activity diminishing would help to maintain a clean and attractive city.
Occasional help to direct all those visitors who are peering at their paper street plans, not knowing their north from their south
Health and social care People and communities
Streets, roads and pavements
talk to people.
the council consultation process is poor. go out and meet people. listen to their concerns, act on them.
make sure it is a meaningful process not just a tick box exercise.
talk listen act upon, if you cannot do it tell the people why. face to face.
remember people live and work in and around York.
there is a perception that all services are provided to protect and encourage growth of the tourist trade. a hole in the road in acomb is just an inconvenience as a hole in coney street. but which gets dealt with quicker? perception all roads are important I was born and brought up in York but I feel no allegiance to York prosperity can be measured in other ways other than in money PAGE 6: Have your say
## Q7: **What Could You Do To Help Achieve The Aims For The City?**
I pay my council tax in full on time every month but I feel I do not get a good return on my money
this exercise is just a tick box exercise so that the council can point to some evidence of consulting the council tax payers.
the council will do what they want at the end of the day.
I take pride of where I live and try to keep it tidy, picking up litter, reporting pot holes and damage to road surfaces, but I get very little response from the council or it is difficult to get an explanation why things are not done by the council.
talk to the people, treat them the way you would expect to be treated. provide a better service.
Benefits support Waste and recycling
Council tax support
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Benefits support Sports and leisure
Children and families
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Listen to all of its residents and look after the poorer constituents properly.
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Schools and education People and communities
Children and families
Ask those already on the frontline for cost saving measures as they will be great at identify where savings can be made or systems can work more effectively without damaging the service or making it better
Respondent skipped this question
Q6: How can the council support the achievement of a prosperous city?
Support our school with fundraising and events which in turn will raise engagement with parents and the school, raise money which will help with closing the gap and support the school in gaining better communication with parents and the local community
Q4: What services are most important to you and your household? Please select the three
most important
Q5: How would you protect frontline services?
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Parking and travel Schools and education
Q4: What services are most important to you and your household? Please select the three
most important
Streets, roads and pavements
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Q7: What could you do to help achieve the
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Parking and travel Planning and building
Streets, roads and pavements
Ensure child protection and fostering/adoption are given priority.
Charge businesses for intervention on Environmental Health issues in the same way the Health and Safety Executive do, thus generating another income stream to support frontline services.
Consider subsidising park and ride services to reduce fares thus encouraging visitors to the city.
Ensure better advertising of events such as 'The Great Yorkshire Fringe' to areas outside of the City and try to avoid scheduling events that will conflict with major horse racing meetings.
Consider subsidising an inner city office space 'business hub' where small businesses can rent an office or meeting room by the day or week at reduced rates, thus encouraging new enterprise.
Organise volunteer groups with charitable funding, especially in local villages to take care of maintenance such as grass and hedge cutting, litter picking, basic maintanance of structures. Anything which could take some strain off council budgets.
More affluent villages would likely be able to become almost self sufficient in time.
Stressing where council tax is being used so that people still feel inclined to support local maintenance would be vital.
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| health, social care - is all about | |
| disability | |
PAGE 4: Have your say
## Q5: **How Would You Protect Frontline Services?**
By investing in prevention. Reducing demand is key to future funding pressures
There is no prosperity without health. Where is the mention of health in the city plan? Where is the mention of inequalities 9including in health). A sick person is not prosperous, and neither is their family. The council is now responsible for health via Public Health. This is completely missing from the plan.
Hold you to account
Q4: What services are most important to you and your household? Please select the three
most important
Q5: How would you protect frontline services?
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Waste and recycling Environment
Streets, roads and pavements
Q5: How would you protect frontline services?
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Q6: How can the council support the
achievement of a prosperous city?
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aims for the city?
Waste and recycling Health and social care
Environment
Prioritise spending as per my three choices given on previous page. Spending on other services would sadly need to be reviewed.
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Q6: How can the council support the achievement of a prosperous city?
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Q7: What could you do to help achieve the aims for the city?
Waste and recycling Health and social care
Schools and education
Q5: How would you protect frontline services?
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Parking and travel, Environment
Jobs, training and volunteering
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PAGE 3: Have your say
Sports and leisure Environment
Q4: What services are most important to you and your household? Please select the three most important
Streets, roads and pavements
PAGE 4: Have your say
## Q5: **How Would You Protect Frontline Services?**
Budget for them and if that means an increase in Council Tax, then you need to be bold enough to tell us that, If we, the citizens of York, want good schools, housing for those who cannot afford to buy, well-maintained roads, libraries and all the other things that we might have taken for granted in the past, an obvious source of funding is the Council Tax. However, you need to be seen to be planning carefully and not wasting money on schemes that may be seen by the public as wasteful or ill-conceived.
Of course, a change to the system nationally would help too. The idea of any council collecting tax from its citizens and then paying it into a central pot only to have to appeal to the national government for a proportion of it back seems to many of us ridiculous.
Prepare the ground for any new businesses that may want to establish themselves here or even re-locate from the South-East. In other words, have good public transport links to business parks*, good roads and parking facilities, inducements such as reduced business rates, and encourage new firms setting up here to employ local people rather than bring existing staff. That applies to housing as well; any new developments should be for local people and not investors looking to increase their rented properties portfolios.
* York Business Park for instance does not have any public transport serving it. The A59 Park & Ride is too far away as is Upper Poppleton railway station. A second station at Nether Poppleton would be ideal; after all, there are two at Garforth! Things like that might help people without cars get to jobs at the outlying business parks. Apply to Westminster otherwise EU funding. (if the EU is worth being a member of)
I'm a pensioner so I suppose I could pay for my bus journeys at a reduced rate rather than travelling for free. Apart from that, I make no claims on the city; I pay my way.
PAGE 3: Have your say
Waste and recycling Health and social care
Other (please specify): so difficult to choose
You have to Fund them appropriately, but also look for better, smarter, more efficient ways to deliver.
By playing their part in making it of pleasant appearance, allowing Planning to Build more houses, but retain the Green Belt (these may be irreconcilable aims. Or at least difficult to strike a good balance. But not all Green Belt is valuable. Maintain the Central area - this is mainly what the Tourists see. I have a strong interest in Waste, and the requirements to minimise the Carbon Footprint with the change to Incineration. The Present Plans leave much to be desired. The Harewood Whin Landfill will close, but the traffic on the B1224 & Ringroad will double. The carbon Footprint will be 20% or more higher than the optimum solution. And there will be much more traffic on the Ringroad. Think again. Councillors & Planning have a responsibility, not just Yorwaste.
I'm lobbying for the Waste Transfer Site to be in an optimal solution along the A59. This will reduce traffic congestion on the Ringroad.
It will also reduce the Carbon Footprint of the Waste Operation for the next 20+ years.
Waste and recycling, Environment
Streets, roads and pavements
I am not clear on what a 'frontline service' is, this is not explained anywhere in the draft plan.
'support the achievement'?
I would like to be informed on what the council plans actually are instead of being shown meaningless, vague bulletpoints. I can't help the city without knowing what is actually going on.
PAGE 3: Have your say
Waste and recycling, Environment
Streets, roads and pavements
The term 'frontline service' is not explained in the plan, therefore I am unable to answer this question.
I don't understand the meaning of this question.
I would like to feedback on the council's plans but for this I will need clear information about actions under consideration, not vague aspirations.
The 'have your say' page of this form is ambiguous eg parking is combined with travel; built and natural environment are combined; sport is combined with leasure.
PAGE 3: Have your say
People and communities, Business
Children and families
Q5: How would you protect frontline services?
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Encourage & support Small and Medium sized Businesses and creation/start-up of new businesses, leading to new jobs, higher job satisfaction, a diversified workforce.
Create more jobs through my business - improve the culture of my business. Raise a strong and healthy family that will contribute to society and the city. Serve and build the local church to give people a new start in life. Fund projects and ventures that make good business and social sense.
PAGE 3: Have your say
Health and social care Schools and education
Jobs, training and volunteering
PAGE 4: Have your say
## Q5: **How Would You Protect Frontline Services?**
CUT OUT SOME O F THE WASTE AND UNECESARY JOBS AND DEPARTMENTS . CHARGE FOR MUSEUMS ETC CHARGE COUNCIL TENANTS MARKET RENTS AND MEANS TEST THEM ANYONE WITH INCOMES OVER CERTAIN AMOUNT GIVE THEM NOTICE AND FREE UP MORE COUNCIL HOUSES FOR THE LOW PAID WORKERS NOT THE SCROUNGERS
THE CITY IS A MESS SHOULD BE A MECCA FOR FAMILIES / TOURISTS AS IT IS IT IS FULL OF STAG HEN PARTIES WITH ANTI SOCIAL BEHAVIOUR
VOLUNTEER AND REPORT INCIDENTS OF CRIME LITTER ANTI SOCIAL /DRUNKS ETS
Q4: What services are most important to you and your household? Please select the three
most important
Q5: How would you protect frontline services?
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Q6: How can the council support the
achievement of a prosperous city?
Q7: What could you do to help achieve the
aims for the city?
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PAGE 3: Have your say
Waste and recycling, Environment
Streets, roads and pavements
Q5: **How would you protect frontline services?**
Don't know
Ensure the tourist experience is the best possible and discourage the booze tourist only here to be drunk and cause a nuisance.
Report more instances of anti-social behavior (but only if this is backed up by Police action).
Q4: What services are most important to you and your household? Please select the three
most important
Q5: How would you protect frontline services?
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Q6: How can the council support the
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PAGE 3: Have your say
Planning and building Housing
Jobs, training and volunteering
introduce council tax on empty 2nd properties.
pay a decent 'living' wage and encourage businesses to do the same. Make sure that affordable housing (both rented and buying) is available. Rents in York are extortionate and becoming completely out of control especially regarding what you actually get for your money. If you have the legal ability to do so you should introduce rent caps and rent increase caps on private rented properties. Its the council that misses out by then having to top up peoples income with housing benefit if you cant ensure decent sized and quality private rented accommodation. Ive lived in york for 20 years and rents have always been high but the last couple of years they are becoming ridiculous. also stop selling off every piece of land you have cheap so that private developers build expensive housing that people who are from york, who live and work here, can't afford to house themselves adequately.You are building a community where locals cant afford to live here anymore, everyone has to go live outside york as the only people who can afford to rent or buy anywhere near the center are people who buy-to-let or people who aren't from York. I think you need to think very carefully about what you actually mean when you use the word 'prosperous' .. prosperous for whom? its about quality of life not working 40hrs per week and then kissing 80% of your wage goodbye before you get it in tax, NI pension and housing costs. If people don't have disposable income your city will not be prosperous it will be beholden to outside interests.
PAGE 6: Have your say
## Q7: **What Could You Do To Help Achieve The Aims For The City?**
If rents keep rising as they are I will have to leave the city as it is becoming unaffordable to live here. Everyone has a role to play in the functioning of a city, either by being considerate and law abiding but also by being politically conscious and holding our representatives to account for the decisions they make. The reality is that the city is dependent on the economy so most people can contribute by spending money and getting involved in supporting local businesses being aware of how the city works and what its future aims are.
Q4: What services are most important to you and your household? Please select the three
most important
Q5: How would you protect frontline services?
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Q6: How can the council support the
achievement of a prosperous city?
Q7: What could you do to help achieve the
aims for the city?
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PAGE 3: Have your say
Libraries and archives, Environment
Q4: What services are most important to you and your household? Please select the three most important
Streets, roads and pavements
PAGE 4: Have your say
Q5: **How would you protect frontline services?**
increase council tax
better public transport restricting car use in the city centre
Respondent skipped this question
Q7: What could you do to help achieve the aims for the city?
Benefits support Waste and recycling
Council tax support
I don't know enough about how the council works to make this statement.
One thing I think could be done is to make all pavements into shared bicycle/pedestrian lanes taking bicycles off the roads.Safer for cyclists and easier for drivers.
I also think the river could be used to transport heavy goods taking the strain off the roads.
Invest in clean renewable energy to make the city a healthy place to live. One idea is to use the Ouse for hydropower. Also keep promoting healthy ways to eat and live.
Try to make York carbon free. Invest in renewable energy for the city and it's citizens making employments available from this industry for York people.They help to produce this carbon free city and share in its benefits. Something like the free food idea from urban gardening. Not sure how this would work in practice.
Parking and travel Waste and recycling
Sports and leisure
Increase council tax rates for large properties. Decrease rates for small properties, single occupancy, etc.
Integrate travel plans for a sustainable future - including dedicated cycling lanes, further prohibition of cars in the city centre, and use of electric buses.
Review plans of the city PAGE 3: Have your say
Parking and travel Waste and recycling
Environment
Q5: How would you protect frontline services?
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achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
Libraries and archives Schools and education
People and communities
Stop overloading frontline staff with so many job cuts that the remaining staff suffer from overwork and little reward (thinking of personal experience form the Children's Centres cull of support and admin workers). Seems to be management heavy in the council (still) while at the same time employing consultants for more money. Also seem to spend lots of money on things like branding and coming up with titles for projects (Rewiring....). If communities and residents feel valued they are more likely to give something back; e.g through volunteering
limit huge generic chain stores in the centre and promote independent traders through rate reductions if needed. Try and get some of the proprietors who lead to the awful drunken behaviour (Racecourse, pubs etc) to sponsor festivals/events like the Great Yorkshire Fringe to encourage residents and families, and tourists who aren't on stag/hen dos, to spend money in the centre.
I would volunteer my time to help with community facilities, such as Westbank park, and encourage friends/family and visitors into the centre where we would all spend money. However, I am less inclined to do this if I feel the authority does not respect or value residents contributions or wishes. e.g pricing culture and community arts out of the reach of some families and thus denying children valuable opportunities if they are from poorer households. I would also value a forward looking authority who want to attract digital arts, new creative industries and new innovative companies to the City.
Parking and travel Benefits support
Planning and building
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Q7: What could you do to help achieve the
aims for the city?
Council tax support, Housing
Streets, roads and pavements
Reduce spending in less important areas.
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Q7: What could you do to help achieve the aims for the city?
PAGE 3: Have your say
Parking and travel Waste and recycling
Q4: What services are most important to you and your household? Please select the three most important
Streets, roads and pavements
Slim down the tiers of management. Stop doing any services that can be done by private contractors. Charge market rates for repairs to council houses.
The main way has to be by helping encourage tourism and to encourage tourists to spend more
when they are here: this could be done by
Reducing parking charges.
Improving foot signage to places of interest.
Taking steps to improve the environment and atmosphere in the city centre - firstly by making as
many streets as possible pedestrian only between the hours of 10 and 4.
Secondly by reducing the number of large buses passing thru the city centre, and replacing them
with a fleet of electric shuttle buses around the town centre. Maybe the big buses on the main
routes should stop at the car parks / outside the centre and these should be linked by electric
shuttle buses.
The second main way has to be by helping businesses:
Replacing business rates with a system which has a flat rate based on size and an add-on linked
to business profit or turnover.
Where businesses can help by getting deliveries at night, to give them a discount on their
business rates.
The third way has to be by encouraging residents to spend more - so the council should
reintroduce the free residents badge.
by getting more tourists and residents into the centre and spending money, the council will
benefit from an increase in income from the turnover element of the business rates,
Volunteer as a guide, or as a kind of permanent local visitor helper, like they had at the olympics in London. Contribute ideas to some sort of council / community forum.
Parking and travel Waste and recycling
Health and social care
Careful consideration of the most efficient way to provide the best services. no "knee jerk" reactions Integrated planning across areas and organisations (e.g. Health Authorities, Hospitals, Doctors, Councils) Lobby for adequate funding particularly for the increasing number of elderly in the community.
Suitable mix of Car, Bus, Cycle and Train provision for the City Proper plan for land use across all parts of the City Ensure City Centre remains a viable shopping destination, and not just for tourists
Respond to this survey!!
Support and challenge local councillors.
PAGE 3: Have your say
Waste and recycling Health and social care
Environment
Q5: How would you protect frontline services?
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- Invest in cycling infrastructure. Build more off-road, dedicated cycle paths. Proper ones, that people will want to use and won't make them afraid of getting on a bike. Encourage cycling in every way possible. Put more bike locks in town. Make them feel safe and secure - CCTV cameras?
- Reduce the cost of the park and ride (or make it free!) I'm thrilled to see investment in the Park and Ride, but I fear it is too expensive for many people. I know many residents who prefer to drive into town and park their car because it is cheaper than the park and ride. I know visitors from out of town who like the park and ride when they travel to York by themselves (it's cheaper than parking!) but not when with friends or family (it's more expensive than driving and parking.) The park and ride will never win until it is the more affordable, and therefore most obvious option.
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Q7: What could you do to help achieve the
aims for the city?
PAGE 3: Have your say
Schools and education, Environment
Streets, roads and pavements
Cut management salaries, ensure council business purchases are rigorously examined for value for money, end all expenses paid dinners for councillors, examine certain roles wiithin the council and deem if required/scrutinise level of pay.
Encourage tourism not binge drinking, encourage residents to participate by not charging them extortionate fees for museums, parking and parking permits,lower shop rates to encourage empty shops to be occupied.
I'd like to come in the city on a weekend and support local shops without feeling intimidated.
Health and social care Schools and education
Streets, roads and pavements
Q5: How would you protect frontline services?
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Q6: How can the council support the
achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
PAGE 3: Have your say
Health and social care People and communities
Jobs, training and volunteering
This is a very inaccessible question for a group of people with learning difficulties to answer.
By listening to people with a learning difficulty and stop treating us as token gestures.
[Redacted]
PAGE 3: Have your say
Parking and travel Waste and recycling Business
Q5: How would you protect frontline services?
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Lower business rates for small start up businesses Reduced cost public transport where use of the car appear expensive, low flat rate park and ride cost, subsidised monthly bus travel ticket for all residents
Keep my property smart and tidy at the front to give a good impression, if all did, the city would look very smart
Planning and building Waste and recycling Other (please specify): i would also include
libraries, access to arts facilities, health and social care, schools, people and communities, and the environment to include streets, roads & pavements
By avoiding vanity paving projects and concentrating on getting the basics right. This includes working effectively with the main service providers of water/electricity etc so that work that needs to be carried out is done effectively and efficiently in a way that means what was repaired one week doesn't get dug up the next!
There is too much sub-contracting rather than keeping services in house and elected members should look to work for the good of the city and their wards rather than voting down things for the good of the city just because it doesn't tick a particular political box for their party.
It is criminal that some expenses claims for elected members can exceed the pay of some of the lowest paid council workers.
Making sure that inviting any business in to the city pays staff a living wage. Takes care of the environment that makes York special without allowing developers to get away with avoiding their obligations towards providing affordable housing. Providing more affordable housing (houses not just flats) and making sure that those people who have the benefit of social housing do not abuse it and pay what they can/should. Listen to the police when it comes to city centre lincensing decisions. It is not only the visitors who should be catered for in the city but the residents. By working together and not squabbling over party differences when what is required is to view the city as a whole with residents in mind not just the tourists.
PAGE 6: Have your say
## Q7: **What Could You Do To Help Achieve The Aims For The City?**
I am already a volunteer in two areas within my local community and provide support at a weekly drop in. I have trained as a money coach with CAP to assist those struggling with their finances. I use local facilities as much as possible and am supportive of access for all to the arts.
Waste and recycling Health and social care
Environment
Spend less on bureaucracy. Look at providing services in partnership with other organisations. Give residents choices over priorities that they set, not that they are presented with. Always make provision for helping people in person where needed. Electronic options can leave people behind and if they don't engage it creates bigger, more expensive and distressing problems down the line. Don't be like the DWP and try to withdraw from all contact.
Try to get businesses in to the city who make something who can provide apprenticeships for young people. Not just retail or service industries which are traditionally lower paid. House prices in York are high and rents very high. Provide cheaper affordable housing even if on a temporary basis whilst people gain skills and the ability to earn the higher pay needed to live in York.
Q7: What could you do to help achieve the aims for the city?
Planning and building Waste and recycling
Health and social care
Strip out unnecessary management hierarchies to ensure spending has a direct impact.
Careful planning to ensure growth of industries that provide employment. Promotion of apprenticeships, volunteer work and training.
More direct communication between council and residents so that residents can be aware of how they might contribute.
Planning and building Waste and recycling
Q4: What services are most important to you and your household? Please select the three
most important
Streets, roads and pavements
Q5: How would you protect frontline services?
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Q6: How can the council support the
achievement of a prosperous city?
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Q7: What could you do to help achieve the
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Parking and travel Health and social care
Q4: What services are most important to you and your household? Please select the three
most important
Streets, roads and pavements
Q5: How would you protect frontline services?
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Q6: How can the council support the
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Q7: What could you do to help achieve the
aims for the city?
Libraries and archives Health and social care
People and communities
only have 1 councillor per ward not 3 thus saving money. do not spend any money on giving translations in any language thus saving money no more hair brain unnecessary schemes like new Newgate Market, re-laying the square near The Shambles, introducing 20 mph areas and unnecessary signage thus saving money all of which should go towards paying for frontline services
reduce amount of over high rates and rents which hinder businesses starting up. remove beggars off the streets, do not waste money on trying to stop drunks and idiots falling into the 2 city rivers get rid of eyesores like the ex reynard bus depot in piccadilly reduce the costs by lessening efforts to go green
very little i pay my taxes, do not drop litter, try and promote york when talking with outsiders, never vote for a Labour council PAGE 3: Have your say
Parking and travel Health and social care
Q4: What services are most important to you and your household? Please select the three most important
Schools and education
PAGE 4: Have your say
Q5: **How would you protect frontline services?**
Increase council tax
encourage tourism and build more research and development links between business and the University
PAGE 6: Have your say
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Q7: What could you do to help achieve the aims for the city?
Parking and travel Waste and recycling
Streets, roads and pavements
Q5: **How would you protect frontline services?**
Review senior management and do away with expensive consultants. Target income raising
Living wage for all Apprenticeships supported in all businesses don't give council contracts to firms that don't DO something with York Central
Too busy working and paying tax PAGE 3: Have your say
Parking and travel Planning and building
Waste and recycling
PAGE 4: Have your say
## Q5: **How Would You Protect Frontline Services?**
By not engaging in "vanity projects"
Revitalising the City Centre shopping streets
By NOT supporting any more out-of-town shopping precincts
By cleaning the streets regularly and by removing rubbish promptly
By cutting grassed areas properly (I.e. strimming the edges after
machine cutting) By reducing or even removing (!) car parking
charges
By reducing Park and Ride charges
By making visitors feel WELCOME instead of charging them for EVERYTHING (see above)
At my age, sadly, very little except encourage PAGE 3: Have your say
| Schools and education | |
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| Q4: | What services are most important to you |
| and your household? Please select the three | |
| most important | |
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Q5: How would you protect frontline services?
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achievement of a prosperous city?
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Libraries and archives, Environment
Q4: What services are most important to you and your household? Please select the three
most important
Other (please specify) Arts
Q5: How would you protect frontline services?
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Q7: What could you do to help achieve the
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PAGE 3: Have your say
Waste and recycling Health and social care
Streets, roads and pavements
PAGE 4: Have your say
## Q5: **How Would You Protect Frontline Services?**
UTILISE ALL SERVICES WHICH ARE AVAILABLE - INCLUDING 3RD SECTOR SERVICES. STOP FALSE ECONOMY - SUCH AS GOING FOR CHEAPEST OPTIONS, THIS JUST DELIVERS POOR SERVICES AS WITH HOME CARE. LOOK AT BEING PRO-ACTIVE RATHER THAN RE-ACTIVE - PREVENT THINGS GETTING WORSE DON'T WAIT FOR A CRISIS. COMMUNICATE WITH EACH OTHER & CONSULT WITH RESIDENTS - THEY KNOW THIS CITY BETTER THAN ANYONE!
BY REWARD & PRAISE & EDUCATION & BY SHOWING THAT YORK IS A CITY WHICH CARES ABOUT THE THINGS WHICH ARE UNSEEN - NOT JUST WHAT THE VISITORS SEE.
PAGE 6: Have your say
## Q7: **What Could You Do To Help Achieve The Aims For The City?**
I ALREADY GIVE MY TIME FOR FREE TO SUPPORT UNPAID CARERS & FORMER CARERS. I PICK UP LITTER WHEN I SEE IT - BUT SOMETIMES THERE'S NOWHERE TO PUT IT! I BELIEVE THAT IT'S NEVER SOMEONE ELSE'S RESPONSIBILITY - RESPONSIBILITY BEGINS WITH EACH ONE OF US. IF WE LOOK AFTER EACH OTHER & KEEP THE CITY CLEAN & HAPPY etc IT WILL HAVE A KNOCK ON EFFECT.
PAGE 3: Have your say
Waste and recycling Health and social care
Housing
Build more council houses to accommodate families. The policy of cramming families into small. senior apartments is counter productive and will impact on the nature of areas. Protect the environment from degradation due to overcrowding.
By thinking more about the residents of York and not always concentrating on tourism. It is after all the residents of York who pay for the council. It is off-putting for residents to shop in York at the weekend when there are drunks staggering around with obscene objects in their hands.
Fill in your surveys
Parking and travel Planning and building
Environment
Q5: How would you protect frontline services?
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Q6: How can the council support the
achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
PAGE 3: Have your say
Parking and travel Waste and recycling
Environment
Q5: How would you protect frontline services?
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Q6: How can the council support the
achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
PAGE 3: Have your say
Sports and leisure Schools and education
Q4: What services are most important to you and your household? Please select the three most important
Streets, roads and pavements
PAGE 4: Have your say
Q5: **How would you protect frontline services?**
cut out waste
Q6: **How can the council support the achievement of a prosperous city?**
encourage enterprise
Q7: **What could you do to help achieve the aims for the city?**
buy locally PAGE 3: Have your say
Waste and recycling Health and social care
Streets, roads and pavements
I would get as many people back to work as possible ,and also investigate if people are cheating with regards to council tax ,there are to many on benefits getting away with out having to pay any tax which is not fair to people who have paid all their life ,I would encouragepeole to pay into second pensions then they will not qualify for council tax none payment
by not making the cost of business premises in York to high ,nor the price of parking to high ,lots of us do not want to ride a bike ,or park and ride ,yet it costs the earth to park ,and yes i know you can get a citizen parking pass as the cost of £20 but its not worth it when you do not come into city at night
Vote Tory and keep the mad cap Labour of the council after the farce of Lendle bridge
Parking and travel, Environment
Jobs, training and volunteering
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Q6: How can the council support the
achievement of a prosperous city?
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Q7: What could you do to help achieve the
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PAGE 3: Have your say
Schools and education People and communities
Business
The Council should not be afraid to raise council tax particularly for higher band properties. The use of new technology wherever possible is to be commended but there are vital areas where the public want to be able to deal with council staff face to face.
It is important that the council stand up to the government and demand greater resources for York. in comparison to many councils we are very poorly funded especially in education and social care.
We should stop complaining about tourists and embrace them. We must support the development of the business sector and finally be prepared to make brave decisions on housing instead of cowing down to the NIMBY sector. The most recent ridiculous example being the campaign in Old Earswick where the residents of a fairly recently built estate campaigned against Urban Sprawl!! We need more houses as well as space for new business.
As someone who works in education in the city I work with young people their families and employers to raise aspiration and increase opportunities for the next generation
Waste and recycling Health and social care
Environment
By being as economical as possible but offering the best services to the public in a responsible and sincere way.
By being sincere and honest in the way they do things. Keeping the public informed of the consultations made and the decisions taken and helping us all to be proud of the city we live in and not to make the decisions just to ensure you are voted in again at the next council elections.
When putting questions to the council members at the committee meetings, being given honest and factual answers to the questions and not being fobbed off as often is the case because the councillor does not know the answer.
When I have been to the new council offices I am not at all impressed by the attitude of the person I spoke to and the lack of information they had.
PAGE 3: Have your say
Other (please specify) Test
Q5: How would you protect frontline services?
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PAGE 5: Have your say
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Q6: How can the council support the
achievement of a prosperous city?
PAGE 6: Have your say
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Q7: What could you do to help achieve the
aims for the city?
Parking and travel Libraries and archives
Q4: What services are most important to you and your household? Please select the three
most important
Streets, roads and pavements
Q5: How would you protect frontline services?
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question
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Q6: How can the council support the
achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
PAGE 3: Have your say
Health and social care Housing Environment
1.
Look at other councils who do not have such huge Council Tax bills for residents as York does, and see how they mange to do this ( e.g. Selby ,Blackburn With Darwen etc.) 2. Don't go down the path of privatisation.Initially,and on paper,privatisation will always appear cheaper...............however,I sure you are aware of all the disasters perpertrated by the government that have ended up costing a whole lot more in the end.[redacted]
3.
Prioritise services for the vulnerable,and try to involve more volunteer groups [redacted]. The sick,disabled,children.
4.
Run the services more efficiently [redacted].......some of the practices being employed when assessing people for Housing Benefit are a particular example.
Prosperity stems from a happy,cohesive community,and perceived fairness to all - so do not adopt the government's practices of favouring the business community at all cost.Yes,local businesses need support,but some of them need to remember that York does have a RESIDENT population,and to think about us when they are targetting the influx of tourists for their income.
I feel I do quite a lot already as a resident of the city. I recycle all my waste appropriately - I do volunteer work within my local community - I look out for my neighbours who are mostly elderly - I pay my Council Tax religiously every month and am never in arrears and I am a responsible,law abiding resident who doesn't dump litter,allow a dog to foul the pavement,and obeys all the traffic laws ( even when they are illegal!!!!!!!!!!! ).
Q4: What services are most important to you and your household? Please select the three most important
Q5: How would you protect frontline services?
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question
Q6: How can the council support the
achievement of a prosperous city?
Q7: What could you do to help achieve the aims for the city?
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PAGE 3: Have your say
Health and social care People and communities
Environment
Q5: How would you protect frontline services?
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achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
Waste and recycling People and communities
Q4: What services are most important to you and your household? Please select the three
most important
Streets, roads and pavements
Q5: How would you protect frontline services?
Respondent skipped this
question
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Q6: How can the council support the
achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
PAGE 3: Have your say
Planning and building Health and social care
Environment
Ensure that they are directed at the most needy.
Respondent skipped this question
Q6: How can the council support the
achievement of a prosperous city?
No idea.
PAGE 3: Have your say
Planning and building Health and social care
Environment
How can you expect ordinary residents with no experience of local government, and with no definition of exactly constitutes "frontline services" to answer this? This survey seems to about ticking the box that says you have engaged in public consutlation, but without any really effort to actually engage with residents in any meaningful way. The documents are littered with some very grand and noble statements, but in all those words there is little for me to get to grips with and to comment on.
I repeat my last comments.
Ditto previous comments.
Q4: What services are most important to you and your household? Please select the three most important
Schools and education, Housing Environment
Q5: **How would you protect frontline services?**
Bring in congestion charging
Q6: **How can the council support the achievement of a prosperous city?**
bring in congestion charging
Q7: **What could you do to help achieve the aims for the city?**
bring in congestion charging
PAGE 3: Have your say
Waste and recycling Sports and leisure
Health and social care
I have no idea how to begin to answer such an open question, there are huge numbers of things take into consideration and I have no idea of the budgetary constraints or legal constraints which effect choice.
By asking business what they need, by building on the good will and links from Tour de France and Tour de Yorkshire, by encouraging positive behaviours from hen and stag parties! Again this is too wide a question to enable a strong answer without waffle...
I am sure I *could* do many things, but *would* I actually do them? We pay our taxes to the council to help set the agenda... this seems to be a fishing exercise in the extreme! I am not even sure what the aims of the city/my ward etc are to look like - despite the plan being from 2015. Hence how can i comment on what I can do to help achieve such. I had hoped this would be a fruitful exercise, it seems to be a little more than a survey monkey style information gathering exercise. Setting some parameters does help in gleaning useful information. This feels too wide ranging to be useful, so I look forward to the 'results'.
Waste and recycling People and communities,
Streets, roads and pavements
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Q7: What could you do to help achieve the
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PAGE 3: Have your say
| Schools and education | |
|---------------------------------------------|-----------------------------------------|
| | |
| Q4: | What services are most important to you |
| and your household? Please select the three | |
| most important | |
| | |
| Streets, roads and pavements | |
| Children and families | |
Be honest and give ratepayers the costs of all listed services and what the rates would be needed to supply all the services. Reducing services and charging the same rates is deceptive to claim that rates have Not been increased!
If City facilities and leisure is being promoted for all, then access to that promotion needs to be provided.
When planning public transportation; identify key locations and facilities that is likely to need access by all at sometime e.g. Hospital, City Centre, Railway Station, Education Centres - once the locations are identified then identify the services required to access them from all Parish locations and at what times of day available. Only then will the extent of a service be appreciated or problems identified.
By providing good access to it and at the times they are available.
By supporting the plans that is inclusive for all at a supportive rate.
Health and social care Children and families
Jobs, training and volunteering
Q5: How would you protect frontline services?
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question
Respondent skipped this question
Q6: How can the council support the
achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the
aims for the city?
Waste and recycling Libraries and archives
Q4: What services are most important to you and your household? Please select the three
most important
Streets, roads and pavements
Q5: How would you protect frontline services?
Respondent skipped this
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Q6: How can the council support the
achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the
aims for the city?
PAGE 3: Have your say
Waste and recycling Libraries and archives
Q4: What services are most important to you and your household? Please select the three most important
Streets, roads and pavements
Q5: **How would you protect frontline services?**
Please list.
Respondent skipped this question
Q6: How can the council support the
achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the aims for the city?
Health and social care
Environment
Other (please specify): Provision of
reablement and home care packages for
the elderly
Combine CYC with NYCC services and get rid of the duplication and make it easier for members of the public to access servcies across the whole of North Yorkshire and York via a single point of access.
Promote tourism and activities that bring money into the City. Develop York Stadium and may be promote ladies football within the City.
Increase the home care provision for the ageing population and make health & social care jobs more attractive to local people.
Develop career plans for young people and work with education and local colleges to ensure the training is for health and social care roles is approrpriate.
Assist with workforce review of public sector roles.
Waste and recycling Schools and education,
Environment
Make savings on back room areas and cost savings on wasteful use of resources.
Encourage business investment and tourists, bringing in money to city. Financially support those who cannot support themselves.
Recylce more, use public transport more.
Parking and travel Waste and recycling
Q4: What services are most important to you and your household? Please select the three
most important
Children and families
Q5: How would you protect frontline services?
Respondent skipped this
question
Respondent skipped this question
Q6: How can the council support the
achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the
aims for the city?
PAGE 3: Have your say
Health and social care, People and communities, Jobs, training and volunteering
Q5: How would you protect frontline services?
Respondent skipped this
question
Respondent skipped this question
Q6: How can the council support the
achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the
aims for the city?
Parking and travel Waste and recycling
Health and social care
The draft plan puts great emphasis on children but I hope that this isn't at the expense of adults. It is important that the review of adult social care doesn't concentrate solely on integration with health, as this will always carry an agenda of cost saving. The review needs to look at what customers need and what we are capable of providing
Respondent skipped this question
Q6: How can the council support the achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the aims for the city?
Parking and travel Health and social care
Streets, roads and pavements
Ring fence monies for Health and Social care especially Mental Health services
encourage businesses to invest and build more homes for first time buyers to encourage working families to stay in York
Already committed to community voluntary work. Twenty five years of local government involvement.
PAGE 3: Have your say
Streets, roads and pavements
PAGE 4: Have your say
## Q5: **How Would You Protect Frontline Services?**
I have lived in Harrogate for nearly all my life and know the area very well from growing up there. We retired to York 6 years + ago. Over the years of being here we are now very disappointed in the way the council has let our streets and roads go. There is No gully cleaning anymore that we are aware off, and all the roads / pavements and house frontages around here have weeds growing in them. As we are at home most of the time we often hear visitors to our city talking about the state of the area and how run down its starting to become. - Litter every where and weeds pushing through pavements and house fronts on the pavement. The gullies are full of weeds on the side streets. It is so sad, and it only tends to encourage folk to drop litter and all sorts now. We have been back to Harrogate on many occasions, and have driven and walked up and down the side roads and back areas there. There is hardly any signs of the problems we are encountering over here in York and it makes the town and surrounding areas look nice. and cared for.
Why can't York council do the same ??????
I know there are major cut backs on funding's,
but both councils must have similar cuts. I'm afraid that if this continues, the community will start to go down hill and slums will appear just outside town center. Please , can you reply to this for me with what is intended for this "Growing" problem. - Many thanks
PAGE 5: Have your say
## Q6: **How Can The Council Support The Achievement Of A Prosperous City?**
Re-introducing street cleaning and weed control as a matter of urgency. With a particular emphasis on cleaning the gutters and removal of rubbish and weeds on a regular fortnightly basis.
complete the actions shown as a matter of urgency please
Planning and building Waste and recycling
Streets, roads and pavements
Target spending on key service and do not waste on vanity projects, or non essential roles within the organisation. Encourage appropriate development to generate the CC revenue through additional business and rates
Ensure appropriate development and ensure the city does not become a historic and relic and continues to live but without excessively developing into urban sprawl - the Piccadilly development - or lack of has been a huge loss to the city centre. It risks becoming a tourist destination only, retail needs to continue to develop to ensure resident visit the city not drive out of it
Volunteer, interact, talk and be involved with what goes on PAGE 3: Have your say
Health and social care Schools and education
Q4: What services are most important to you and your household? Please select the three most important
Streets, roads and pavements
Q5: **How would you protect frontline services?**
Concentrate on what is essential to live.
Q6: **How can the council support the achievement of a prosperous city?**
Don't know
Very little, my volunteering days are over.
PAGE 3: Have your say
Parking and travel Planning and building
Streets, roads and pavements
By not wasting money on things that do not need doing, ie, kings square paving, the market revamp, road closures etc etc
With only so much money in the kitty, it must be spent on things that are needed, and projects that do not help frontline services should be postponed until the financial climate improves.
Stop filling the city with student accommodation blocks and limit any further expanse of the University.
Make the City a place that discerning visitors and holidaymakers wish to come to, not just a stag and hen do destination.
Stop the proliferation of bars and pubs in the City centre, and make the City a place for families to enjoy in the evenings.
Hold the Council to account and seek transparency in governance, so residents can have a greater say in the running of their City.
PAGE 3: Have your say
Planning and building Waste and recycling
Health and social care
I would proper funding and long term planning even if it meant an increase in council tax
Respondent skipped this question
Q6: How can the council support the achievement of a prosperous city?
Promote the city as a good place to visit and live in
Planning and building Schools and education
## Q4: What Services Are Most Important To You And Your Household? Please Select The Three Most Important Page 4: Have Your Say Q5: **How Would You Protect Frontline Services?**
Less management, more frontline staff.
Stop selling off our assets to [redacted].
Respondent skipped this question
Q7: What could you do to help achieve the aims for the city?
Q4: What services are most important to you and your household? Please select the three
most important
Q5: How would you protect frontline services?
Respondent skipped this
Q6: How can the council support the
achievement of a prosperous city?
Q7: What could you do to help achieve the
aims for the city?
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question
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Waste and recycling Health and social care
People and communities
Q5: How would you protect frontline services?
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achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
PAGE 3: Have your say
People and communities Environment Business
Q5: How would you protect frontline services?
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Q6: How can the council support the
achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
PAGE 3: Have your say
Parking and travel, Health and social care, Other (please specify) Keeping our rivers clean and wildlife safe
Q5: How would you protect frontline services?
Respondent skipped this
question
Having a safe and clean city will encourage more visitors but of course we need to cut down on those visitors who come here to just drink to excess and spoil the enjoyment of others.
Residents of York should have free access to museums, art galleries and other attractions as they pay council taxes each year. Visitors should expect to pay a reasonable amount to visit attractions.
Carry on paying my council taxes! Support recycling schemes and spend money here in York.
PAGE 3: Have your say
Health and social care Schools and education
Children and families
All 'vanity' capital expenditures projects need to be postponed Expensive consultants engaged by the council need to be removed Red tape and needless levels of middle management removed Councillors need to engage with residents and understand what is important to them not what they think is important to the council
Reduce parking costs to encourage trade in the city centre
Clamp down on anti social behaviour at weekends in the city and make it welcoming for residents and tourists alike
Support projects for the benefit of all York residents not just for the benefit of what appears to be a small clique within influence of the council chamber and live in the real world.
If the council have a clear plan to benefit all residents then I would support it PAGE 3: Have your say
Libraries and archives People and communities
Environment
Q5: How would you protect frontline services?
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question
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Q6: How can the council support the
achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
Waste and recycling People and communities
Environment
Q5: How would you protect frontline services?
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question
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Q6: How can the council support the
achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
Waste and recycling, Environment
Streets, roads and pavements
Have clear budgets and criteria so that money and resources are directed where required. Use in house expertise, don't use expensive consultants, make decisions swiftly and clearly. Don't pursue grand schemes unless there is clear community support.
Provide the infrastructure and keep it well maintained. Keep the city clean, tidy and safe. Keep the city attractive to visitors and businesses - the rest will naturally happen
I am a good citizen who looks after my property and takes an interest in the city I was born in. I cycle, use public transport and drive a car depending on what my needs are. I recycle as much as possible but could do more if the Council would let me. There is little else I can do.
Sports and leisure Schools and education
Q4: What services are most important to you and your household? Please select the three
most important
Streets, roads and pavements
Q5: How would you protect frontline services?
Respondent skipped this
question
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Q6: How can the council support the
achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
Benefits support Schools and education
Q4: What services are most important to you and your household? Please select the three
most important
Children and families
Q5: How would you protect frontline services?
Respondent skipped this
question
Respondent skipped this question
Q6: How can the council support the
achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
PAGE 3: Have your say
Waste and recycling Libraries and archives
Environment
Q5: How would you protect frontline services?
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question
Respondent skipped this question
Q6: How can the council support the
achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the
aims for the city?
Q4: What services are most important to you and your household? Please select the three
most important
Q5: How would you protect frontline services?
Respondent skipped this
question
Q6: How can the council support the
achievement of a prosperous city?
Q7: What could you do to help achieve the
aims for the city?
Respondent skipped this question Respondent skipped this question Respondent skipped this question
Parking and travel Waste and recycling
Other (please specify): public transport
Q5: **How would you protect frontline services?**
Eliminate Wasteful spend. Basics before vanity.
Respondent skipped this question
Q6: How can the council support the achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the aims for the city?
PAGE 3: Have your say
Planning and building Waste and recycling
Schools and education
By increasing tax
Respondent skipped this question
Q6: How can the council support the
achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the
aims for the city?
Health and social care, Housing,
People and communities
Ensure refunding can occur based on tax increase for the wealthiest in our society. Ensure NO MORE CUTS. The services we have are essential.
Male sure, first and foremost, those that prop it up, the residents get a fair bite at the cherry and ensure young people can afford to remain here so York does not lose its best and brightest to surrounding cities.
Respondent skipped this question
Q7: What could you do to help achieve the aims for the city?
Parking and travel Planning and building
Environment
Stop wasting money on non-essentials!
Respondent skipped this question
Q6: How can the council support the
achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the
aims for the city?
Planning and building Waste and recycling
Streets, roads and pavements
CoYC is so focused on cuts and meeting demand all you do is penalise the tax payer, meanwhile the upper government who force the cuts instructions get us into more debt (see the Bank sell-off) what you should be doing is telling them it is not possible! If they want the cuts they have to lead by example with the tax payers interests as priority. Stop hiring consultants on hundreds of pounds per day, stop attempting silly traffic schemes without consultation and get the whole of YCC on the same page.
Action plans voted on by the residents. Tourists are all well and good but once they're gone you're left with us and we are the priority.
Nothing as a resident, you don't yet listen to us. Change that, give us options to submit "resident requests", everyone with a registered address in the city could submit an anonymous request to a website with a reason why and however much is it voted up or down determines whether it gets to the planning commitee.
PAGE 3: Have your say
Parking and travel People and communities
Streets, roads and pavements
By first of all listening to what the people who employ me want, then by stopping wastage on vanity projects, taking every bit of support from central Government and concentrating on keeping the City moving, clean and the vulnerable protected.
By the right investments. York is primarily a tourist City and we must invest in this, not at the expense of residents but to support them as most jobs come either directly or indirectly through tourism
By listening and not dictating. York has thousands of years of history - so stop trying to make it the new 'Barcelona' and concentrate on making the best of what we have to offer. Ensure there is a multitude of parking facilities for visitors, that are cost effective and close to the City. Stop trying to push people onto buses that are unreliable, dirty and expensive and use your brains - people want to use their cars so capitalise on this. Also, ensure there is plenty of parking in the City on an evening to bring the residents back into the restaurants and pubs.
PAGE 3: Have your say
Health and social care Schools and education
Q4: What services are most important to you and your household? Please select the three
most important
Children and families
Q5: How would you protect frontline services?
Respondent skipped this
question
Respondent skipped this question
Q6: How can the council support the
achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the
aims for the city?
Benefits support Planning and building Other (please specify):
I use a mobility scooter and a lot of the time have problems with hedges that have not been pruned surely the council should be able to fine these people as the have no consideration to the disabled.
Q5: How would you protect frontline services?
Respondent skipped this
question
Listen to the people who live in this city.
## Q7: **What Could You Do To Help Achieve The Aims For The City?**
Not just help our city look good to the tourist but take notice of the locals.
PAGE 3: Have your say
Health and social care, Housing, Other (please specify): or shal i say lack of
place to live and bad health due to it
stop kicking people, innocent people out before they get chance to appeal
the way they are going at the minute the city will not be prosperous but infact exactly the opposite
i can not do anything as my health is not in the slightest good at all and getting worse thats including my medical conditions in which if they carry on getting worse i WILL end up in hospital and I WILL SUE WITHOUT A DOUBT
People and communities, Environment
Streets, roads and pavements
Q5: How would you protect frontline services?
Respondent skipped this
question
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Q6: How can the council support the
achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
PAGE 3: Have your say
Waste and recycling Streets, roads and pavements
Children and families
PAGE 4: Have your say
## Q5: **How Would You Protect Frontline Services?**
Start focusing on what services the City does well i.e. Children's services and out-source or share the rest with other nearby Authorities. We're too small to be good at everything or have the expertise in-house.
Why do children today that have been educated for 11 years in the City have NO qualifications?
Focus on our strengths instead of grandiose trips abroad with no tangible benefit.
Pay my Council Tax on time PAGE 3: Have your say
Health and social care Schools and education
Housing
Q5: How would you protect frontline services?
Respondent skipped this
question
Respondent skipped this question
Q6: How can the council support the
achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the
aims for the city?
PAGE 3: Have your say
Health and social care, Housing,
People and communities
Working more closely with the voluntary sector to economise on expense, thus freeing up funding for front line services.
Investment in younger people to keep them in the city to support the economy
Work closely with CYC to assist in the delivery of older people's services PAGE 3: Have your say
Waste and recycling, Health and social care
Streets, roads and pavements
Long term projects will have to take priority over short term projects in the current financial climate
Ensure things like parking charges are kept to a minimum so that visitor numbers increase and help the local economy
Respondent skipped this question
Q7: What could you do to help achieve the aims for the city?
PAGE 3: Have your say
Health and social care People and communities
Jobs, training and volunteering
PAGE 4: Have your say
## Q5: **How Would You Protect Frontline Services?**
Ensure maximum funding is obtained to deliver these services and ensure these are ring fenced if possible
By ensuring that all residents/businesses/potential investors etc; feel they are valued and consulted as to how they can help to improve the welfare/experience of life as a York resident
PAGE 6: Have your say
## Q7: **What Could You Do To Help Achieve The Aims For The City?**
Be supportive of any council initiatives to implement change/improvements for the benefit of York residents
Sports and leisure People and communities,
Environment
Would be helpful if you told us what they are. Do you mean those provided by people employed by CYC or does it include outsourced services eg museums, social/home care for older people and people with disabilities AND acadamies which have been floated off by central gvt. - Some need better management to make them more efficient eg Yearsley baths. Currently this dept staff have no clue about marketing, evaluations, community involvement etc. - There needs better working together within the council - get the staff to be aware of who does what where and when etc, and go from there. Also, someone needs to answer emails that residents send - my experience is having 0% replies. - I would oppose the current government and challenge the narrative of austerity, with the aim of preventing further diminution of frontline services.
1. Broker partnerships ie bring the relevant people and
agencies together, Facilitate the partnerships working
together eg chair
meetings,
Be imaginative about who the partners are, so that prosperity is not just brought about by businesses and education sector, go and find the new partners and give them equal status in partnership working 2. Work with strengths and assets rather than trying to overcome weaknesses. 3. Work with other statutory sector agencies in neighbouring geographical areas, particularly west Yorkshire. Develop what York's vision is of a northern powerhouse which stretches west through Yorkshire to west coast, and east to Hull, and north to Teesside.Oppose central government's meaningless rhetoric about this. 4. Analyse holistically ie a prosperous city is quality of life, natural and environment, interpersonal relationships of mutual support, leisure........ Do not look at separate issues without looking at the connections. 5. Get CYC policies in line with prosperity aim - the real living wage made a condition of new shops and offices planning permission, control betting shops, beef up the credit union, stop schools having expensive uniforms, in fact do an audit of all policies and change any which currently stop prosperity for residents. 6. Make clear that prosperity does not mean money generated that then leaves York into the pockets of shareholders throughout the world
## Q7: **What Could You Do To Help Achieve The Aims For The City?**
- Attend ward meetings and similar events. However, these need to be properly run so that the loudest voices are not the only ones which have a say. There needs to be a range of ways of participating too. Work on strengths and assets not a deficit model. - Be part of groups that set up organically and tackle whatever it is we want to do, irrespective of council 'agendas'. eg community gardens, lunch clubs, charities......there are lots of residents like me with vast years of voluntary sector and community work experience - Apply for ward funding to make these initiatives more effective. - Through York Environment Forum - have a greater strategic role for this organisation - have a greater influence re 'green' issues.
-Through Edible York - more green issues, a contrasting approach to city-centre planting whcih would have something to offer any plans to alter the look of the city centre, through multi-agency working. Also this is an asset for city-centre residents who do not have gardens ie most of these residents and therefore contributes to (jargon) community cohesion, reduces loneliness etc. - Through 'thought' eg Genius website. - Be part of multi-agency and cross sectoral working as a resident - CYC's approach to encouraging this has been haphazard, not followed through and generally poor quality so more of the same would be a disaster. (The communities team.)
PAGE 3: Have your say
Schools and education
Housing
Jobs, training and volunteering
Frontline services need to be easily accessible to everyone - which means being in a location that is easily accessible (not just in terms of disabled access, but in terms of location, public transport availability, parking etc) Services need to be easily understood - a clear procedure for how to access a service, and availability of translation for those who do not speak/understand a reasonable level of English.
Help for people seeking to get into employment - courses for people wanting to prepare a CV, interview skills, etc. Support for those looking for childcare so that they can work - not necessarily financial support, but support in knowing how to find a childcare place. More affordable housing.
As a registered local charity we work to challenge myths and misconceptions about refugees and asylum seekers and to raise awareness of the contribution refugees and asylum seekers make to our society. We run a weekly drop-in for refugees, asylum seekers and migrants in York, offering free English conversation classes, talks by guest speakers and skills sessions for adults, on relevant topics (how to find a dentist, understanding you child's school report, community policing, etc) activities for children, and a signposting service for help with housing, immigration, health, domestic abuse, and many other issues that are brought to us.
Waste and recycling Health and social care
Streets, roads and pavements
I still feel that there is a lot of waste in council procedures and that the time scale for making decisions is far too long which delays savings being made. I think that if the decision making process could be streamlined and speeded up we would save money by being able to implement changes in a more timely manner. The dependence on casual staff to run front line services because of the time taken to recruit positions is an obvious expense that needs to be addressed.
Basic things like making the business rates affordable for smaller business not just the multiples. Further promotion of the living wage - its excellent that the council pay it but it should be more widespread.
I feel that I already contribute positively to the city. I would like more opportunities for 'one off' volunteering as I don't have the time to make a regular commitment but would be interested in short projects.
PAGE 3: Have your say
Sports and leisure Schools and education
People and communities
Ensure staff are well trained and supported to deliver a first class service, focus leadership on delivering services that local people priortise and work to partnership with others to suppliment/complimnet/replaces services as appropriate.
Promote payment of a real living wage not just the minimum wage, invest in education and apprenticeships and encourage investment and enterprise.
Investing in the education and training of 5-18year olds, provison of facilities for business and enterprise, providing services and facilities in the community that foster and promote healthy lives and communities.
PAGE 3: Have your say
Planning and building Libraries and archives
Environment
I deplore the omission of 'Protection of the Environment' in this version of the Council Plan for 2015-19. It was one of five principles upon which the previous Plan was based. The environment is where everyone in the City lives and works, and a pleasant environment is recognised as a necessary condition for well-being. Protecting the environment would ensure that changes to the environment would be sustainable, and would organise transport and other activities in a sustainable way.
In addition, the environment is a major commercial asset to the Authority. We are told often that it is the environment of the City that makes it a desirable place for people to live, to visit and to do business in. To fail to protect it, would on these bases be severely culpable.
It is even more inexplicable to leave it out of the basic principles when wide publicity has been given to this Council's pledge to protect the Green Belt. What is the Green Belt if not the environment? Protection of, and care for, the environment will require adequate resources to ensure its improvement and enhancement.
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Q6: How can the council support the
achievement of a prosperous city?
Q7: What could you do to help achieve the aims for the city?
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Health and social care, Housing
Jobs, training and volunteering
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| Health and social care | |
|---------------------------------------------|-----------------------------------------|
| Q4: | What services are most important to you |
| and your household? Please select the three | |
| most important | |
| | |
Q5: How would you protect frontline services?
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achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
Planning and building Housing
Jobs, training and volunteering
Increasing the income from services already available - libraries are large buildings, and can accommodate community groups. I noted when I visited that the central library had movable book shelves, but the option for businesses, groups, or other interested parties is either not available, or the information is hidden away somewhere. I thought about starting a clothes swap in York [redacted]. I'm aware that one event brings in at least £900 worth of income every Saturday they run, and that's before they count the income from the food, stalls and cafe on site, as well as providing free clothes to participants, and significant amounts of gifted clothes to charities. The main library would have no problems accommodating a clothes swap if the main area is utilised.
Beyond that, volunteering also seems under used - I've applied to be a volunteer, and the response was to be sent an email detailing all the organisations I could then apply to to be a volunteer -
shouldn't it be that I apply to one place and they apply on my behalf? Considering I'm giving my time free, I was surprised that my offer wasn't grasped quickly and firmly. It's put me off volunteering when it's time consuming to even get started! This could significantly reduce the need for paid staff, but also bolstering the CVs of many young people. Maybe make the cost of becoming a volunteer manager free - the training costs are extortionate!
Make volunteering easy - make it free to be a volunteer manager, this will then mean more managers, then more volunteers. Make it a lot easier to volunteer with the council or related organisations. Want housing officers to know what's happening with a family and help them? See if they can get voluntary help from the person's neighbors (with consent). If nothing else, it can help the family feel part of a community that cares.
Want more support with free good food? See about extending allotments, or if there's not the space, then start allotments on areas that housing firms are waiting on planning permission - there's been a successful pilot scheme in Glasgow where shipping crates were used as an allotment on waste grounds that was in the process of planning permission. When the building starts, the crates will be moved to another site that's awaiting planning. What about furniture recycling? Leeds has a dedicated shop next to one of their waste and landfill collection sites so people can give the furniture to the charity instead of the landfill. Affordable housing is a problem, and ideas such as the tiny house movement needs to be considered - how feasible would a plot of land be considered for tiny houses? It would give a step up for many young people to be able to afford a small home, allowing them to save for a permanent residence.
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Environment
Streets, roads and pavements ,
Business
I agree that front line services need to be protected, however I believe the council should look at the costs of all the staff they employ to carry out these duties, too often in the past councils have employed people into non jobs and kept them employed even when it is obvious that a job does not exist. Many people in the York area are able to pay for services that are given free or at least they should contribute to them if they want to use them. Having said that a person should not be denied a service if they are unable to pay or contribute
This can be achieved by welcoming visitors and residents to the city and not constantly making it difficult or charging a fortune to do so, most of the things the council have done in the past have forced people to stop visiting the city and given the impression that we are an unfriendly place that does not want visitors.
If the city was kept clean, the market was full and events that are taking place advertised on as many different platforms as possible I would encourage people to come and visit either the family or to stay in local hotels/guest houses and see what a fantastic city we live in
PAGE 3: Have your say
Planning and building People and communities
Q4: What services are most important to you and your household? Please select the three most important
Streets, roads and pavements
Q5: **How would you protect frontline services?**
pay more council tax
No encouragement of hen parties/ stag parties - which deter other tourists and local residents from using city centre.
Volunteering
Sports and leisure Health and social care
Q4: What services are most important to you and your household? Please select the three
most important
Jobs, training and volunteering
Q5: How would you protect frontline services?
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achievement of a prosperous city?
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aims for the city?
Waste and recycling People and communities
Business
Engage with the customers & their carers/families & ask them what's important.
Engage with & support local businesses who contribute to the economy of the city through living &
working in York.
Every year York City Centre & York Racecourse host a variety of events & we see traders from outside the City providing goods & services which locally based businesses can do just as well if not better. This is particularly apparent in the City Centre where existing established traders find themselves competing with visitors offering the same goods & services
That would depend on what the aims are & what we could offer
Planning and building Housing
## Q4: What Services Are Most Important To You And Your Household? Please Select The Three Most Important Page 4: Have Your Say Q5: **How Would You Protect Frontline Services?**
We are very proud and value the life and rural setting in our village of Wheldrake.
Wheldrake has suffered a great deal over the last 10 to 20 years by a large influx of housing, and this has been difficult to accommodate into the village way of life. We are doing our best to incorporate this large rise in population and I think we are gradually getting there. What we do not need if a further flush of new development forced upon us by the York Development Plan.
Please let us enjoy our rural life and not subject us to the urban life that so many of us have come here to avoid.
I think many villages are of the same view so why not build a new village and let us live our lives as we wish to, it is so sad that in the end we no say in our environment and how we wish to live, the City Council decides that.
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Planning and building People and communities
Q4: What services are most important to you and your household? Please select the three
most important
Streets, roads and pavements
Q5: How would you protect frontline services?
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Benefits support Waste and recycling Environment
Stop privatising and fragmenting all council services to pointless greedy private sector companies. Increase revenue generation from 'Waste services' by recycling much more, and making money from selling and processing metals and other packaging like other councils have. And sell compost to garden centres or cheap to public from garden waste collections. Stop paying excessive capitalist wages to in house and outsourced staff. Anything over 40000 gross a year is excessive so stop doing it. When were those payscales agreed by people in york exactly? Build roads out of recycled plastic like the Netherlands do and stop pandering to car users. Increase council tax for all band D-G houses and charge higher business rates to supermarkets and betting shops.
Support equality for all. A living wage for all. Equality equals prosperity. Not a few overpaid jobs for posh people, just good basic wages for everyone.
If called on I would be willing to give details of my experience of living in york. I would be willing to pay more council tax and would accept yearly rises above the 2% limit. I would also support and enjoy the introduction of new council owned ventures providing things like sporting and community facilities. For example, why not build a big, fun council owned swimming pool with rides and big slides and several large free-form pools. I currently believe york is lacking a good large, fun swimming centre.
Environment Jobs, training and volunteering Other (please specify)
Adult learning and adult education opportunities (recreational as well as vocational)
1. Ensure they are prioritised in council spending to maintain good levels of service and opportunity. 2. Make sure people heading these departments are included in Council decision making so that they have their say and to ensure that the rest of the council appreciates why these services are so crucial to the well-being of York residents.
(Relating to my priorities earlier):
By helping to empower its residents - for example, by ensuring the continued development and learning opportunities for all adults, from job based learning to more recreational learning. This not only empowers, but also provides well-being and social cohesion, providing opportunties to all ages. Continued learning and provision of jobs, courses and volunteering opportunities gives people an increased sense of social awareness, self-confidence and hence has health benefits. This helps produce a healthier, happier and more prosperous city. The Council can support this by backing the adult education services and training/ job support/ voluntary services across the city and offering free venues within its offices and buildings for classes. Where people can pay for these courses (eg payment of fees for courses) the aim should be to try and cover costs as much as possible by fees from the student to take strain off Council support of these services, but at the same time, where people can't afford to pay, they should be supported, be it a vocational or recreational course, for all the benefits mentioned above.
Ensuring that the roads are well maintianed and the environment is clean and safe for residents, and appealing to visitors. The more people who visit and appreciate the city, the more positive feedback they will give it, and the more people will visit in future. This helps us achieve prosperity.
The Council should ensure that frontline environmental and street cleaning/maintenance services continue to be an important part of what we do as a city. This could be partly carried out by volunteers - eg environmental cleaning up of some parts of York, and community garden groups to make the visual impact of the environment more appealing to residents and visitors. The Council could help with the coordination of this.
## Q7: **What Could You Do To Help Achieve The Aims For The City?**
Voulunteering eg in environmental clean-up projects. Cycling and walking rather than taking the car into work and town (which I mainly do anyway) Help with promotion of adult education courses, particularly amongst the elderly, who might be socially isolated, and not realise what opportunities are available in York to help them socialise and learn new skills at the same time.
Waste and recycling People and communities
Environment
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Waste and recycling Libraries and archives
Environment
Q5: How would you protect frontline services?
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Q4: What services are most important to you and your household? Please select the three
most important
Q5: How would you protect frontline services?
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Planning and building Environment, Streets, roads
and pavements
Stopping unnecessary expenditure on: Council newspaper 20 mph signs Lendal bridge type trials Grand Departy concerts Let the private sector redevelop the Guildhall site Scrap "Make it York" and other Quangos Inessential involvement with LEPS, Combined Authorities, Without Walls and the like
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## Q6: **How Can The Council Support The Achievement Of A Prosperous City?**
By investing in sub-urban areas such as Front Street. The Council has ignored Acombs needs for the last four years and must invest in a regeneration project for the Front Street area
Keep telling the Council where it is going wrong!!!
Environment Streets, roads and pavements Other (please specify):
Council house estate regeneration
Reducing expenditure on inessential services such as: 20 mph signs where they are not needed Lendal bridge type closure experiments Council newspaper Quangos including scrapping "Make it York", "Without Walls" etc Involvement with LEPs, Combined Authorities, Leeds City Region etc Unnecessary new swimming pools (e.g. at Monks Cross but keep Yearsley) Let the private sector redevelop the Guildhall area (But keep public access to the Hall itself) Let the private sector provide older persons accommodation at Lowfields No more "Grand Departy" type subsidised concerts Let the private sector pay for access links to York Central
1. Invest outside the City centre. Regenerate sub-urban shopping areas like Front Street (including the provision of a street market there)
2, Make a major investment in Yorks Council housing estates. Many public spaces, garage forecourts etc are a disgrace and have not had any investment for decades.. Improvement would raise the morale of residents (not just the City centre elite)
## Q7: **What Could You Do To Help Achieve The Aims For The City?**
A very strange question to ask on a survey about the Council's future plan (which is, frankly, somewhat threadbare). You should be asking what the Council and elected rep[representatives can do better for York taxpayers? So my answer is that I will continue to pay each month a significant amount of money to the Local Authority.
In return I expect that basic street services will be provided to an acceptable standard and that the Council will have a modernisation programme which will lead to tangible, measurable improvements over the next 5 years. I expect to be able to monitor the progress made in achieving these targets on the Council's web site
I'll play my part by doing some tidying up outside my home each week. But this will not instead of a regular visit by the street sweeper or by replacing the Councils obligation to ensure that we do not have to endure a weed infested street scene in summer or an icy wilderness in winter.
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| Q4: | What services are most important to you |
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| and your household? Please select the three | |
| most important | |
| | |
| Parking and travel | |
| Housing | |
| Children and families | |
Q5: How would you protect frontline services?
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Health and social care Environment
Streets, roads and pavements
Find a way of charging visitors to York for the services they consume
Ensure that businesses in the city centre remain varied and diversified, so that it doesn't become a vast "food court" or night-club quarter
I am a management consultant with specific skills in eliminating waste and creating robust business cases for controlled change. I am prepared to give my services for a nominal fee to cover expenses as a pro bono offer
Q4: What services are most important to you and your household? Please select the three
most important
Q5: How would you protect frontline services?
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| Streets, roads and pavements | |
| Children and families | |
## Q4: What Services Are Most Important To You And Your Household? Please Select The Three Most Important Page 4: Have Your Say Q5: **How Would You Protect Frontline Services?**
Engage, consult/discuss, gain support/cooperation of citizens.
Investigate business requirements and assist development & provision of opportunities/facilities. Advertise benefits of York throughout UK & abroad, assist & sponsor establishment of new business. Ensure education & training is aimed at providing the skilled workforce needed. Protect existing employers, consider rate rebates in difficult times, monitor property speculators/
landlords who are detrimental to small business tenants.
Support the administrators & developers with best plans & actions for York's future.
Housing People and communities
Q4: What services are most important to you and your household? Please select the three
most important
Jobs, training and volunteering
Q5: How would you protect frontline services?
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Council tax support Health and social care
Environment
In the face of the extent of Tory Government cuts the Council should work as closely as possible with local residents ad communities to prioritise protection for our most vulnerable residents and to support residents in caring for their neighbourhoods.
The Council should constantly review its priorities - for example whether £1 million to support free green bin collections can be justified in these circumstances.
Much research has shown that more equal societies are more prosperous societies (The Spirit Level, Wilson and Pickett, University of York).
The Council should very actively promote the Living Wage, whilst also supporting small and independent businesses. It should prioritise support to the most vulnerable, maintaining the Financial Assistance Fund and reducing the 30% requirement for residents on very low incomes under York's current Council Tax Support Scheme.
Q7: What could you do to help achieve the aims for the city?
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Parking and travel Health and social care
People and communities
Concentrate on frontline services. No more vanity.
Traffic lights on ring-road roundabouts. Charges to enter the city in cars. Build the stadium. Build more houses, but with adequate infrastructure. Encourage more Hiscox. Generally get things moving.
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Q7: What could you do to help achieve the aims for the city?
PAGE 3: Have your say
Waste and recycling Libraries and archives
Q4: What services are most important to you and your household? Please select the three most important
Health and social care
PAGE 4: Have your say
Q5: **How would you protect frontline services?**
n/a
Listening to their citizen needs
being informed of the plans and find ways to help PAGE 3: Have your say
Benefits support, Council tax support, Health and social care
Q5: How would you protect frontline services?
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Q7: What could you do to help achieve the aims for the city?
Planning and building Health and social care
Streets, roads and pavements
Engage local businesses and communities in determining priorities and more cost effective ways to deliver them. Provide more transparency of service delivery and why changes are made Invest to save in terms of capacity building in the voluntary sector, in services and in cutting running and energy costs.
Ensure that the residential environment is cared for, streets are maintained, only top quality developments are approved and low energy and sustainable transport are an integral design for all new developments. World class businesses will not be attracted to a dirty scruffy congested city and we have to foster innovation and new businesses too. Culture the arts and high quality of life are also key elements of what attracts new business to the city. The council needs to have a vision, and to invest in low energy networks, carbon reduction and sustainable transport.
Work with local voluntary organisations to build community, care for the local environment and develop supportive voluntary care networks.
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Health and social care, Schools and education
Q5: How would you protect frontline services?
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achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
Health and social care People and communities
Jobs, training and volunteering
Protect services that offer preventative measures and community support to lessen the strain on the emergency and crisis services. Promote jobs and business but employing a living wage and promote tolerance and equality by having a liberal and fair view on the migrant crisis and promoting opportunities for those with learning disabilities.
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Q7: What could you do to help achieve the aims for the city?
Libraries and archives Health and social care
Schools and education
Collaborate with other councils to explore ways to reclaim local financial autonomy from Westminster. The previous question makes me v uneasy as public services are not a popularity contest but a question of absolute need. However, an observant cynic might also note the growing professionalisation (and corresponding pay increase over the last few decades) of council members in contrast to expenditure, and see opportunities there.
A prosperous city requires good education, good planning, commercial taxes that target rich businesses without causing high streets to empty (as seemed to happen to chunks of Goodramgate the last time the rates went up), etc. It can start by valuing its own services and workforce. I appreciate that councils lack any sort of effective power in the current regime. Perhaps it's time to pull together with other councils and find a way to tackle the problem directly.
Pay my taxes and vote for people who will hand back some autonomy to local government. Both of which I already do. If you're looking for a voluntary sector, you're undermining the aims of your last question. What is more, to return to my earlier cynical remark, it is wrong for a body of people who have gone from a voluntary role to a professional one (ie councillors) to expect that traditionally professional services become voluntary ones (the easy example here is libraries, but it is one of many). I realise the council gets very little back once government have chewed at the council tax, but you can't have a prosperous city if noone is getting paid.
Parking and travel Housing
Other (please specify): The community
stadium
Q5: **How would you protect frontline services?**
By investing in them
Q6: **How can the council support the achievement of a prosperous city?**
By investing in it
Take a big pay cut, sacrifice my trade union rights, and work through my holidays. Is that the answer you're looking for, Mr Steward?
People and communities, Environment
Streets, roads and pavements
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Parking and travel Schools and education
Environment
This is very difficult. Clearly they need to be as efficient as possible but that may be expensive and need investment.
Allow more housing so that York house prices may some down in relation to the rest of Yorkshire. This is in danger of becoming a barrier to the successful development of York. We should look for housing that can be very high density; like housing for the elderly and student accommodation, as well as pushing through on developments like York Central and Sugar Beet factory etc.
Continue to encourage people to walk, cycle and jog to stay fit and cut down on car traffic.
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Waste and recycling Health and social care
Schools and education
Q5: How would you protect frontline services?
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Stop bowing down to travelers and no tax payers look after the people who pay in, do not build on green belt land
I pay the council tax you do the work PAGE 3: Have your say
Health and social care, Environment, Jobs, training and
volunteering
By doing all you can as local government representatives to put pressure on the Conservative government to end the failed experiment with austerity, increase taxes on the super wealthy and crack down on tax avoidance - then give local government more money
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## Q6: **How Can The Council Support The Achievement Of A Prosperous City?**
Support small businesses, invest in apprenticeships and jobs training
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Q7: What could you do to help achieve the aims for the city?
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Schools and education People and communities
Environment
PAGE 4: Have your say
## Q5: **How Would You Protect Frontline Services?**
I am writing to "comment on this page" regarding the various parks. It would be good to include a few photos of the parks. That's all I want to say.
I am writing to "comment on this page" regarding the various parks. It would be good to include a few photos of the parks. That's all I want to say.
I am writing to "comment on this page" regarding the various parks. It would be good to include a few photos of the parks. That's all I want to say.
PAGE 3: Have your say
Parking and travel, Environment, Streets, roads
and pavements
Q5: How would you protect frontline services?
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achievement of a prosperous city?
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Q7: What could you do to help achieve the
aims for the city?
Q4: What services are most important to you and your household? Please select the three
most important
Q5: How would you protect frontline services?
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achievement of a prosperous city?
Q7: What could you do to help achieve the
aims for the city?
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Planning and building Health and social care
Q4: What services are most important to you and your household? Please select the three
most important
Business
Q5: How would you protect frontline services?
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achievement of a prosperous city?
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aims for the city?
People and communities Environment
Other (please specify): cultural services
Competence of councils is a major danger with posts being removed at all levels. Services cannot be effectively managed without strategic planning in conjunction with service users and partners.
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Parking and travel Sports and leisure
Q4: What services are most important to you and your household? Please select the three
most important
Streets, roads and pavements
Q5: How would you protect frontline services?
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PAGE 3: Have your say
Parking and travel Environment
Streets, roads and pavements
Simple: 1. Halt ALL further traffic calming schemes that include speed humps/cushions/tables (i.e. vertical measures). 2. Shrink the size of the Highways Service. (It is currently bloated with employees who create a job for themselves by creating unwanted vertical traffic calming schemes.) 3. Limit the scope of the Highways Service and their budget to the repair of road surfaces.
Currently vast amounts of council money are being spent on 'traffic calming' schemes that discriminate against disabled/frail/elderly/sick residents and visitors. Vertical traffic calming measures cause pain and injury to many disabled/frail/elderly/sick people, to such an extent that many are unable to use roads where traffic calming has been introduced, and so are unable to participate fully in the life of the city.
An example is the hundreds of thousands of pounds spent last year on traffic calming on University Road. No-one had asked for this. All that had been asked for - by the University - was a zebra crossing. A zebra crossing would have cost far far far far less, and would not have discriminated against (i.e. would not have cause an access problem for) disabled/frail/elderly/sick people. And yet, despite the Parish Council and many residents and other groups opposing the implementation of CYC's traffic calming scheme, it was introduced. (And a a result I, for one, have now lost access to a road and all its key services and bus routes, that I had been using without incident for the past 48 years.) (And healthy local residents have reported that they are caused spinal pain by going over the speed 'cushions' installed there.)
The Highways Service is fully aware of the problems their vertical traffic calming measures cause disabled/frail/elderly/sick people, but it is of the opinion that inflicting pain and injury on innocent people is a sensible thing to do. It isn't. (And I'm pretty sure it isn't legal, either.)
CYC is currently institutionally humpist. CYC Highways employees have a vested interest in continuing to push vertical traffic calming schemes (as that is where their expertise lies, and so that is where their job security lies). It doesn't need to be like this. Hundreds and hundreds of thousands of pounds could be saved and diverted to frontline services by implementing the three measures I have outlined here. Other councils don't use vertical traffic calming. We don't need to either.
PAGE 5: Have your say
## Q6: **How Can The Council Support The Achievement Of A Prosperous City?**
By enabling *all* its residents to participate fully in the life of their city by being able to access *all* of its facilities, services, road network, bus network, amenities. This is currently not the case. Many disabled/elderly/frail/sick residents are currently discriminated against by CYC's traffic calming policies. The vast number of speed humps/cushions/tables in York are preventing many disabled/elderly/frail/sick residents from getting to where they want/need to go (without incurring pain and injury). Vertical traffic calming measures need to be removed (with priority given to removing the appallingly painful pre-formed rubber 'cushions') and all further vertical traffic calming schemes need to be halted. As a disabled person, there are swathes of York I cannot access because of vertical traffic calming measures. This flies in the face of at least 5 of the aims in your - very laudable - Council Plan, i.e. - 'Everyone is supported to achieve their full potential': not possible for me, as speed cushions/humps/tables prevent me accessing libraries, evening classes, swimming pools, concert halls, job locations, green spaces, etc. etc. etc. - 'Efficient and affordable transport links ...': not possible for me. Last year CYC (in the face of public opposition) put vertical traffic calming measures on University Road, which means that all my bus routes have been removed from me (because of the pain and injury I suffer when a bus goes over a vertical traffic calming measure). A bus journey home from the station used to cost me £1.50. I now have to take a taxi, and that costs £10. This is neither efficient for the city nor affordable for me. It is discrimination. -'Environmental Sustainability underpins everything we do': It doesn't at present. Quite the reverse. Vertical traffic calming measures mean that many people - myself included - now have to go on ludicrously long diversionary routes to get from A to B. And this has to be done in private transport/taxi rather than on public transport. And often means - in my case - that I end up sitting in a traffic jam on e.g. Fulford Road or the Hull Road (roads I would not otherwise have been on.) The result? More exhaust fumes, i.e. greater air pollution. 'Everyone who lives in the city can enjoy its unique heritage and range of activities': Not possible for me as a disabled person. For example, I had been looking forward very much to being able to swim (therapeutically) when the Sports Village opened near me in Heslington. However, large numbers of pre-formed speed cushions were put down on the approach road, making it inaccessible to me. 'Visitors, businesses and residents are impressed with the quality of our city': Many of my (healthy) visitors are shocked by the huge number of humps/cushions/tables they are forced to negotiate when they come to visit me in York, and are particularly shaken by how painful the pre-formed rubber speed 'cushions' are. It's not a great advert for our city. As to residents being impressed - see all my points above. I'm not impressed. I'm ashamed by how little regard our city pays to its less able and more vulnerable residents and visitors.
As I have outlined here, my ability to contribute to the creation of a prosperous city is severely compromised by CYC's vertical traffic calming measures. I am very far from being alone in this.
PAGE 6: Have your say
## Q7: **What Could You Do To Help Achieve The Aims For The City?**
I have spent the past 20 years or so trying to help the city to achieve these aims, by repeatedly flagging up to the relevant council officers and councillors the discriminatory effect of vertical traffic calming measures (humps/tables/cushions) on disabled/sick/frail/elderly people.
I have devoted much time and effort and energy to offering alternative non-vertical (i.e. nondiscriminatory) traffic calming solutions - as practised successfully by other councils. And to offering to be part of testing different measures to give a disabled perspective. All this at a personal cost to me - being disabled is hard enough, without having to expend precious energy battling authorities time and time again. However, my efforts have, for the most part, fallen on deaf ears. (This despite York Access Group being against the use of vertical traffic calming measures.) The Highways Service is populated by people with expertise in - and therefore a vested interest in - vertical traffic calming measures. So when asked to come up with a review of traffic calming last year, what they actually came up with was simply a justification of their own practices. Words such as 'torture devices' are used by disabled people to describe the vertical speed humps/cushions/tables CYC uses. (Read the letters pages of The Press to see how residents describe the pain and injury humps/cushions/tables inflict on them). I spoke to a York resident with osteoporosis recently who told me going over humps/cushions/tables was 'agony'. She went on to say: 'But we're little old ladies. We're invisible.' What would be absolutely fantastic, and would transform our lives for the better, would be to have a council for whom 'little old ladies' with appalling medical conditions were no longer invisible. Where all of the residents with medical conditions were allowed equal access to our road network, and equal access therefore to all the city has to offer. We disabled/sick/elderly/frail have a lot to offer the city - if only we were able to access it all.
Planning and building Schools and education
Streets, roads and pavements
By becoming more efficient in administration. Not translating documents into 100 languages. By operating on the lines which a private company would do to deliver the same services. By not trying to spend money but by trying to save it. Reduce amount of time and money spent on diversity and equality which in practice achieves nothing but spending lots of money dealing with it
By as little involvement as possible in all areas except those which are needed Market forces will then help prosperity.
Respondent skipped this question
Q7: What could you do to help achieve the
aims for the city?
Waste and recycling Housing
Streets, roads and pavements
Demand more from those coming into the city and using facilities for business purposes and not paying for them Students and landlords need to take more responsibility for themselves and the waste they produce. they need to pay for bulky collections, and use of the HWRC at the end of terms. The cost of clearing student properties is being passed onto residents and not being paid for by the landlords. Also charity use of the HWRC'S should be limited and charged for after a certain amount of tips. this would create a saving for the service and create income. CYC should stand up for residents and not be held to ransom by the student population and profit making landlords.
Respondent skipped this question
Q6: How can the council support the achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the aims for the city?
PAGE 3: Have your say
Libraries and archives People and communities
Environment
Rent out some of the empty properties rather than selling them off for the quick cash. Increace council tax for those who can afford it like myself.
Encourage the starting of more local businesses. Not just cafes and shops but also tech and manufacturing. Offering space and incentives for new companies to start. Cheaper rents and rates etc. Also support during growth. Some will fail and we should encourage that as it is a part of the process. Release more of the land both brown and green around the city for development but put strict requirements for extra investment in parks, cycle lanes and footpaths on them. We can have more building and more green space at the same time. Move the limits for polluting cars, lorries and buses further out from the centre of the city. Put pedestrians as the top priority for junctions around the city centre. Offer better routes in for cycling, pedestrians, or maybe even small trams in the heart of the city giving people other options to driving into town.
Pay a little more tax.
I am part of a maker space group trying to encourage people to make more things and get back to a real connection with the things they own. The rewards you feel when you have physically made something for yourself is really important and giving people the space and encouragement to try new things and experiment with new tools and fail and learn is really important. We are trying to go from just a group with a meeting to a functional space with the tools and support that people need.
Parking and travel Waste and recycling
Libraries and archives
Work with communities to see what people can do. Concentrate on the services that help the most people and will have positive long term outputs.
Improve the bus services. I know this sounds minor but it really isn't. Tourists and locals use the bus services. The recent changes to First York services have had a massive negative impact on large amounts of people. These are people trying to get to work, people travelling around the city and people trying to get to the hospital. If the basics such as travel aren't working how can you hope to have a prosperous city.
Continue in my job which benefits the city. I make sure I use local services and I want to support local bus services when they run well. I use the local library to ensure that the service will stay open for other people to use it. I also contribute to the food bank weekly, although I do think it is sad that in a 'prosperous' city like York people have to use a food bank.
PAGE 3: Have your say
Health and social care People and communities Other (please specify): community help and
swupport for older4 people with autism
what services-nil in haxby#no befrienders,help,advice,no community,pay to be spoken to monthly,broke etc
Respondent skipped this question
Q6: How can the council support the achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the aims for the city?
Waste and recycling People and communities
Environment
Keep costs down by always employing local contractors to ensure enough funds to employ enough staff
Listen to Residents and Businesses and their employees
Not sure PAGE 3: Have your say
Sports and leisure Jobs, training and volunteering
Other (please specify): Webcasting
By shrinking other services, cuts have to be made and tough decisions have to be made about which services are more of a luxury.
PAGE 5: Have your say
Respondent skipped this question
Q6: How can the council support the achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the aims for the city?
PAGE 3: Have your say
Waste and recycling Streets, roads and pavements
Business
Q5: How would you protect frontline services?
Respondent skipped this
question
Respondent skipped this question
Q6: How can the council support the
achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the
aims for the city?
Waste and recycling Health and social care
Streets, roads and pavements
Q5: How would you protect frontline services?
Respondent skipped this
question
carrying out pot hole / road surface maintenance, especially in cycle lanes throughout York committed to a well funded health service for all improve recycling - especially 1) taking advantage of household food waste (compost), 2) allowing bicycle users to access recycling facilities (not allowed due to safety measures) by creating bicycle / walker areas at recycle centres throughout York.
provide food waste compost every 2 weeks
help identify pot holes / road surfaces which require maintenance maintain good health via prevention instead of cure continue to pay council tax
Parking and travel Waste and recycling
Q4: What services are most important to you and your household? Please select the three
most important
Streets, roads and pavements
Q5: How would you protect frontline services?
Respondent skipped this
question
Respondent skipped this question
Q6: How can the council support the
achievement of a prosperous city?
Respondent skipped this question
Q7: What could you do to help achieve the
aims for the city?
| en |
4419-pdf | ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the futureGB heritage railway at a level crossing
## Orr / Hra Rm3 2019 Seminars
ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the future Ian Skinner Assistant Chief Inspector of Railways Office of Rail and Road
## Safety Management Systems Why? Orr'S Vision For Gb'S Railways Zero Workforce And Industry-Caused Passenger Fatalities, With An Ever Decreasing Overall Safety Risk
■*My perception* on passenger's expectations:
- '1953 experience' with 21st century levels of safety and service
■A management system will help achieve this.
- Stop and think
- Improve - Record
Purpose of a management system
■
What is the number one objective of a heritage railway organisation?
–
Preserve & enjoy - members and visitors
–
Helping visitors understand rail based history
–
More track, locos, carriages?
–
Make money?
## Delivery Of Something That 'The Market' Needs
•
Management system help deliver a solution to the identified market need.
•
Good management systems do that:
•
Repeatedly;
•
Efficiently;
•
Responsively; and
## !!!Safely!!! Why Do 'Heritage' Need Management Systems? Low Speed Little Risk
Think of the energy:
moving vehicles - kinetic energy
gravity - potential energy
steam boiler, braking systems - stored energy
Think of the controls:
the hardware role of the paid workers & unpaid volunteers and passengers
## The Management System Principles
■Know your operation / asset ■Know your risks ■Know your controls
- And gaps
■Put in place:
- Planning - Organisation - Monitoring - Review
■And demonstrate it
'If you can't describe what
you're doing as a system you
don't know what you are
doing'
W Edwards Denning ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the future and the five maturity levels Ian Skinner Assistant Chief Inspector of Railways Office of Rail and Road An introduction to RM3
## Isk Rm3 Management M
aturity odel
## The Rm3 Model
Local groups are organised to ensure repeatable performance BUT each work group performs similar tasks differently Ad hoc and uncoordinated
## The 5 Maturity Levels
Proactive/continual improvement Delivery can be predicted by the management system Variation and change is controlled Good practice synthesised into standard processes
## Why Does Risk Control Need To Get Better? …Because Essentially It Is People That Control Risks Day In, Day Out And Human Performance Varies.
If they are already high performing ("excellent"), then greater likelihood that any dips in performance will still be above the legal minimum and risks will be adequately controlled…
…If they are only poorly performing ("ad hoc"), then greater likelihood that their normal performance (and any dips) are below the legal minimum and risks are uncontrolled.
## Ad Hoc Excellent Getting Better In Risk Control …..The Legal Bit The Railways And Other Guided Transport Systems (Safety) Regulations 2006
schedule 1 looks for the safety management system to show how continuous improvement of the safety management system is ensured.
## And, More Generally The Management Of Health And Safety At Work Regulations 1999
looks for continuous improvement through risk assessment and control through the principles of prevention (the 'risk control hierarchy') and the requirement to review arrangements.
So what about the risks?... … what is ORR's focus?
- Health and safety
management systems
## Our Strategy For Regulating Risks …
- Industry staff competence
and human failure
# … Is Set Out In Our 14 Strategic Risk Chapters
- Management of change
- Level crossings - Interface system safety - Track - Civil engineering assets - Rolling stock asset
management
- Occupational Health
- Worker safety - Management of train
movements and signalling
- Health and safety by
design
- Leadership and culture
- Tramways
## The Rm3 Journey 2011 2017Rm3 Front Cover 2017 2019 - Version 3 Published On 1St Aprilrm3 Front Cover General Layout For Criteria, Maturity Levels And Evidence Factors Oc6 - Organisational Culture Collation How Will Orr Use Rm3 Going Forward ?
We are going to be more consistent and use RM3 with all our dutyholders ?
We will engage with you and discuss our findings and yours before reporting on assessment levels
## Rm3 Process In Our Quality Management System
Moderation of RM3
assessments in all sectors We will apply these fundamental principles CONSISTENCY
QUANTITY
QUALITY
CURRENCY
We will support you in using RM3
Our assessments will be evidence based There will be refresher training for our inspectors
# Orr'S Annual Health And Safety Report
## Rm3 And Network Rail We Want You To Use Rm3 To Improve Your Success And Demonstrate Your Capability To Manage Risks:
•
internally, and with your ORR inspectors, discuss the evidence found through all assessment work; to
•
determine the good things, and not so good things, about your arrangements to control risks; and
•
identify what you need to do to improve these arrangements and share your success with other railways
We have designed this new edition of RM3 to be more readily accessible to those just starting out with RM3 .…
…. we have thought about the needs of the heritage sector…..
….but the model also pushes boundaries of excellence for experienced users.
SHARING OUR AUDIT EXPERIENCE
LIZ PARKES, HEAD OF OPERATIONS & SAFETY NYMR logoheritage railway workers REGULATORY
FRAMEWORK & STANDARDS
ROGS: competence, safety management systems, risk assessment, management of engineering change, ( use of common safety methods and safety verification for non-mainline and light rail operators ) Environmental legislation BS/EN/ISO 14001: 2015heritage railway workers
- Organisation - scope, interfaces, description,
policy safety management, planning, management accountability, workforce involvement, monitoring
- Management of change - Risk assessment and risk control - Competence - Provision of information - Incidents - Emergency planning - Audit - Co-operation
## Meeting Safety Requirements
Railways and other guided transport systems (Safety Regulations) 2006
MEETING ENVIRONMENTAL REQUIREMENTS
BS/EN/ISO 14001: 2015 Environmental Protection Act 1990 and regulations under the act
## Common Concerns
Show stoppers: fire, collision, derailment
Platform train interfaces Shunting Heritage stock - sub optimum ergonomics Signalling systems Rail/road vehicle and pedestrian interfaces Congestion
Noise and vibration, water, land and air pollution avoidance Accessibilityheritage railway workers
## How Are We Doing ?
1. Ad hoc ? 2. Managed ? 3. Standardised ? 4. Predictable ? 5. Excellent ?
| OC7 | Record keeping | 3 |
|---------|------------------------|---------|
| OP1 | Worker involvement | 3 |
| OP2 | Competence management | 3 |
| P13 | Workload planning | 4 |
| RCS1 | Safe systems of work | 3 |
| RCS2 | Asset management | 3 large |
| 2 small | | |
| RCS3 | Change management | 2 |
| RCS4 | Control of contractors | 3 |
## Traction & Rolling Stock Audit 2019
SHARING OUR EXPERIENCES
HOW DO WE BEST LEARN FROM EACH OTHER ?NYMR logoheritage railway workers ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the future Ian Skinner Assistant Chief Inspector of Railways Office of Rail and RoadRM3 front cover RM3*2019* for the Heritage Sector
## Rm3 Topic Sets ■Rm3 Topic Sets
- To provide focused assessment of key risk management areas
- E.g. Occupational Health, Infrastructure management
- Support the RM3 approach in a targeted manner
## ■Potential To Support Rm3 Introduction Into The Heritage Sector
- Accessible - Meaningful - Useful
## Rm3 Topic Set - Heritage Railways
■Nine criteria over the 5 themes
■Retain the 5 maturity steps - ad-hoc thro' excellence ■Meaningful descriptors for each maturity level
- Plus governance descriptors
■Under development
- Ready to test first draft - Asking for your help and input
## The Nine Criteria Testing The Approach
■Draft Topic set produced
■Use in practical applications ■Provide feedback
ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the futureRM3 front cover
## What Evidence? Assessing Principles Example Company: Mid-Fens Heritage Railway
■The Mid-Fens Heritage railway runs on 8 miles of single track
between Outwell and Whittlesey;
■Operates a mixed fleet with steam locomotives and mk1 stock, 1
DMU and 1 DEMU;
■Outwell is a two track station with a headshunt
■Whittlesey is a single track terminus with run-round facilities
■There is an island platform within a passing loop at the
intermediate station at Elm Drove; and some level crossings.
■There are workshops and stabling at Outwell, where restoration is
also a major activity.
■Staffing includes
- 35 full-time employees
- 400 regular working volunteers
## Scenario ■You Are To Carry Out An Assessment Of The Mid-Fens Heritage Railway Management System Using The Rm3 Heritage Topic Set;
■You have a number of different sources of evidence;
- Train dispatch monitoring report;
- Station masters report; - Email with ISO 45001 accreditation; - Email about performance monitoring workshop; - ORR inspector's contact notes re: complaint from member of the public; - Copy of email from Safety Rep to Health and Safety Manager; - Safety Reps' inspection report
## Instructions ■For Each Piece Of Information;
- Identify the relevant RM3 Criteria;
- Determine the level of achievement using
the RM3 guidance;
- Have you got any culture evidence? …..and
what is the maturity level??
- Record the results and plot on the RM3
graph;
## ■Remember That There May Be Different Levels Of Performance For Different Pieces Of Evidence.
ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the futureGB Heritage railway at a level crossing SEVERN VALLEY RAILWAY 03 December 2019
## Orr / Hra Rm3 2019 Seminars
ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the future Steve Turner HM Principal Inspector of Railways Office of Rail and Road ORR's approach and 'an inspector calls'
## Orr'S Vision For Gb'S Railways
■Zero workforce and industry-caused passenger fatalities, with an ever
decreasing overall safety risk
■*ORR perception* on heritage passenger's expectations:
- '1950's experience' with 2019 levels of safety and service
■Increasing ORR's capability in the heritage sector
- Supervision - greater presence on the ground
- *RM3 type* support tool
- Approach to supervision
A bit of credibility: my class 47 at GCRN on a Santa train 10/12/17my class 47 at GCRN on a Santa train 10/12/17
## Austerity 'Whiston' On The 26Th May 2019Austerity 'Whiston' On The 26Thmay 2019 Some Comparisons
| Year | Worker |
|------------|-----------|
| fatalities | |
| Suicide | Trespass |
| mainline | |
| Nr of Pass | |
| LUL | |
| Pass + | |
| public | |
| fatalities | |
| 1874 | 788 |
| 1983 | 28 |
| 1993 | 11 |
| 2015 | 4 |
| 2018-19 | 2 |
No passenger fatalities as a result of a train accident since 2007 (Grayrigg)
No heritage railway fatalities since 2012 when a guard was crushed whilst shunting
## To Put Into 19Th Century Perspective (1)
■The honourable Gentleman the Member for Belfast
mentioned the relative risk of life between railway-men
and soldiers. I have this comparison to make; that there were 29 British soldiers killed at the battle of Khartoum, and that there were 501 railway-men killed on our railways last year. There were 148 killed in the Balaclava charge, and there are considerably more shunters and
brakesmen killed every year in the industry of our railways. It seems to me to be a curious fact that the man who is paid for getting killed rarely gets killed. In 15 years, from 1872 to 1886, out of 1,407,000 troops liable to be engaged in battle, there were only 1,396 killed in action, and in that same period of 15 years there were 8,400 men killed on our railways, and a total of 6,500 civilian workmen killed in the same period.
## To Put Into 19Th Century Perspective (2)
■We cannot permit this wanton sacrifice of human life to
go on. Officers in the Army and Navy, to their credit be it said, look after the protection of their men, and do everything in their power to prevent the needless slaughter of those who are placed under their command.
■
Unfortunately, we have not, in relation to our railwaymen, officers who take up the same position with regard to the railway industry as a Colonel of a regiment does with the soldiers under his command. The nearest substitute to that kind of a man in the railway world is the President of the Board of Trade.
## To Put Into 19Th Century Perspective (3)
■
Every year in this industry there are 500 men killed, and 67,000 more or less injured. They are killed by the neglect of the most elementary causes, and through the lack of administrative control which the right, honourable Gentleman himself can provide, and I would respectfully suggest to him that instead of allowing Colonels of the Royal Engineers to be present at a
coroner's inquest after a railway accident has happened he should appoint sub-inspectors and Chief Inspectors of railways to examine lines and to make suggestions, and their advice should be forced upon our railway companies, and if he does that I am sure that the 50s per cent. diminution of accidents in America which we have witnessed will be followed by a remarkable diminution in the number of men injured and killed in this country.
■
John Burns MP for Battersea ( in 1899 on a debate about automatic
couplers for railways )
## Heritage Railway Numbers: Source Hra
■200 plus heritage railways
■2016 HRA figures (2/3): 9.6m passengers, 562m of line, 460
stations, 11.7m visitors resulting in revenue of £130m
■2,867 full time employees; 21,659 working volunteers
■790 steam locomotives
■1021 diesel locomotives ■268 DMU ■2176 carriages and 3950 wagons ■HST power car and six Mk3 carriages at GCRN (as below)! 41001
returning to NRM and two production power cars donated by ROSCO
## Any Latin Scholars ■Sales Populi Suprema Lex Esto
■"Let the good (or safety) of the people be the supreme (or highest
law)"
■Marcus Tullius Cicero (106 BC to 43BC) - Roman Politician and
lawyer
■So good health and safety is nothing new!
## Origins Of Modern Safety Legislation
■Industrial revolution: first Factory Inspector in 1833, £1000 pa.
■Dark satanic mills, children and women in the mines, bad
conditions in most of industry - notable exceptions such as Titus
Salt at Saltaire, Joseph Rowntree of York or Cadbury's in Bourneville, Birmingham: "model villages".
■Various Factories Acts / Regulations throughout history to date.
■HSWA 1974 following Robens Report
http://www.hse.gov.uk/aboutus/40/robens-report.htm
■21st October 1966: Aberfan (116 children, 28 adults died)
https://en.wikipedia.org/wiki/Aberfan_disaster
■Edwards v NCB All ER 743 CA
https://en.wikipedia.org/wiki/Edwards_v_National_Coal_Board
■Risk assessment
## Perhaps A Reason For Safety Inspectors?
■
"We do not believe any group of men adequate enough or wise enough to operate without scrutiny or without criticism. We know that the only way to avoid error is to detect it, that the only way to detect it is to be free to inquire. We know that in secrecy error undetected will flourish and subvert."
## - J Robert Oppenhiemer 1904-67 - Father Of The Atomic Bomb
■
There's an old saying that if you think safety is expensive, try an accident. Accidents cost a lot of money. And, not only in damage to plant and in claims for injury, but also in the loss of the company's reputation."
## - Professor Trevor Kletz Requirements
■HSWA 1974 Sections 2(1), 3(1), 4, 6, 7, 36 and 37
■Powers of Inspectors (IN, PN, Legal Proceedings - triable either
way)
■Penalties
■Regulations such as ■Railways and Other Guided Transport Systems (Safety)
Regulations 2006. Heritage based on 25mph, SMS (RB,
Competence, Maintenance and Risk Assessment)
■PSSR 2000, PUWER 2008, WAH 2006, LOLER 1998, EAW 1989,
COSHH 2002, CAW 2012, CLAW 2002, NAW 2005
## Recent Events
■Two trains in one section running towards one another.
Staff and ticket system broke down: Abermule 26/01/21 –
17 died. Happened quite a few years ago on another heritage railway!
## In Summary: A Ticket Could Be Issued Without Staff Present
No clear understanding between Signaller and Trainee Stationmaster as to what movements were planned Trainee not qualified in staff and ticket working and prepared a ticket without staff in his possession - staff on train coming towards him
## Recent Events
■
Driver accepted ticket without seeing the staff
Station master did not adequately supervise the trainee
https://www.gov.uk/government/publications/safety-digest-082019-romneysands/serious-operating-irregularity-at-romney-sands-28-august-2019
■
(OP2 Competence Management System)
Droplight windows: young man died on the mainline when his head hit a
close structure. A number of fatalities since 1999 including Clayton
Tunnel and Denmark Hill plus near misses. TOC fined £1m plus £52k
costs on 17/07/19.
https://orr.gov.uk/news-and-blogs/press-releases/2019/gtr-fined-after-
man-killed-on-the-gatwick-express
Letter to HRA and about forty heritage railways. Risk Assessment and necessary actions. Including moving nearby structures, vegetation clearance, train announcements, improved droplight door signage, ticket information, window bars as a last resort.
Bash Mash Kevin https://www.youtube.com/watch?v=pSQzSs56jVE and The Bashers https://www.youtube.com/watch?v=VUFm2rWn41g
## Droplight Windows Continued
Some adverse comments from enthusiasts as believed no fatalities since 1960 on heritage railways! Some that come to mind follow:
## No Names But:
Guard crushed to death between two carriages whilst shunting Guard caught between two buckeye connection Passenger run over by train when he was running for train and slipped Farmer in collision with a train on a crossing on a standard gauge line Three died in separate incidents on a narrow gauge line Fireman hit his head on a bridge whilst in tender shovelling coal forwards Surveyor crushed by jib of crane whilst undertaking LOLER inspection Fragile elderly lady died some months later after falling under a train Mark 1 corrosion: not just Mk1s 30 year life, now double.
Standards such as CMS 123, BR10906/7 don't consider corrosion.
Heritage railways must inspect and invasively if necessary.
## Sms Requirements Including Subsidiary Documents
Development of suitable maintenance standards and records: each carriage needs its own folder / record! Need for own wheel profile and buckeye gauges (or borrowed).
HOPS or other digital recording system. Some paper records very poor or sketchy. If records are poor what does that imply re the rolling stock. Days of heavy general repaints are over. (RCS2 Management of Assets, OC7 Record keeping, document control and Knowledge information)
## Some Non Fatal And Other Incidents (1)
■Gas main strike ■Volunteer tripped over steel plate # hip / another fell & fractured
shoulder
■Passenger tripped at toilet entrance on platform # hip ■Dropped fusible plugs (OP2 Competence Management System)
■Signals Passed at Danger (lots) (OP2 Competence Management
System)
■Passenger train buffer fell off due to broken shaft - others examined
and had potential problems (RCS2 Management of Assets)
■Derailments for a variety of reasons - latest only last week ■Platform despatch incidents: some on CCTV - quite useful! ■Falls from height: # broken sternum / # shoulder blade (RCS1 SSoW)
## Some More Incidents (2)
■
Collapsing large 'A' frame in course of movement (OP2 Competence)
■
Near crane overturn: no lift plan, weight of load unknown, outriggers and springs stops not deployed, non functioning ASLI, operator unable to show competence, outside wheels lifted off rails, CCTV. If gone over would have resulted in possible prosecution (OP2 Competence)
■
SPAD and subsequent collision resulting in PN being served (RCS1 Safe System of Work)
■
Light engine runaway, trolley, ECS, brake van runaway (RCS2 Management of Asset, RCS3
Change Management)
■
Collision between car and passenger train on Open Crossing
■
Other AOCL collisions
■
Child fell from moving train as door was opened
■
Low speed light engine and stock collision during station move (OP2 Competence)
■
Plant shed burned to the ground
## Some More Incidents In 2018 / 19 (3)
■
Locomotive failures of varying kinds: eg top water cock handle blew out, piston failure, gauge glass and frame
failure (RCS2 Management of Assets)
■
Permanent Way issues in general (RCS2 Management of Assets)
■
Operational incidents: lots of SPADS, two trains in section, trains in section without staff etc
■
Near blinding of volunteer from flying ballast chip (RCS1 Safe System of Work)
■
Locomotive running into MPD and damaging other locos (OP2 Competence Management System)
■
Near misses at level crossings - particularly AOCL
■
Passenger train division in 2019 - four in 2017 (RCS2 Management of Assets & OP2 Competence)
■
Excessive speed - in forties on passenger trains! (OC2 Management and Supervisory Accountability)
## Other Issues
■
Safety critical components: rivets, tubes, C107 copper etc
■
Health: done work with lead, asbestos, effluent discharge etc
■
Work with LAs - noise and smoke etc
■
Statutory Inspection: eg Level Crossing Orders
■
Complaints and Inspections: complaints are many and varied - just about
anything you can think of
■
Extra resource: Simon Smith joined the heritage team on a permanent basis in April 2019 (26 years as an Inspector) and looks after SE and SW England. Revolving six month secondments for trainees into heritage: as from 21/10/19 Andrew Clapp. This will allow for proactive inspections to occur inc RM3!
## Common Themes (1)
■Primary control for H&S is the SMS: Bell curve or normal
distribution: Improvement Notices served down the years (SP4 Written SMS)
■Competence or sometimes inability to demonstrate:
couple of railways as at Nov 2019 not running at present - one with PN (OP2 Competence Management.)
■Age / medical fitness: self assessment questionaires /
formal medicals for footplate staff (OP2 Competence Management)
## Common Themes (2) Assessment / Reassessment (Open V Closed Book And Periodicity Of Same) (Op2 Competence Management System)
Maintenance: T&RS, p'way, structures, signalling. One railway currently non operational partly due to inability to show proper maintenance. OC7 Record keeping, document control and knowledge management & RCS2 Management of Assets Need to assess those undertaking maintenance work, inspection (eg track patrolling or FTR) etc Don't forget workshop competence! (OP2 Competence Management System)
## Common Themes (3)
■
Standards for maintenance sometimes poor or not available! Make use of internet: eg Locomotive Manufacturers Handbook 1949 @
https://www.martynbane.co.uk/tech/steam-tech.html (OC7 Record keeping,
document control and knowledge management, RCS2 Management of Assets and OP2 Competence Management)
■
and MT 276 examination schedule on the internet @
http://www.tonysimons.me.uk/bestt/ewExternalFiles/MT276.pdf Boiler Code of
Practice @ https://www.hra.uk.com/guidance-notes
■
Rolling stock standards on internet and HRA website
https://www.hra.uk.com/br-maintenance-specs
■
Work with other railways to determine common standards: too much reinventing the wheel (OC5 System safety and interface arrangements)
## Common Themes (4)
Records: again like the proverbial "curates egg" . Very important to allow a railway to demonstrate say maintenance or competence etc. Many railways are exemplary but some are woeful. As above the normal distribution describes many aspects of heritage railways (OC7 Record Keeping, document control and knowledge management) Move to digital record keeping where possible: standards / procedures / rostering / boiler washouts / mech exams etc (OC7 Record Keeping, document control and knowledge management) Corporate Governance and Leadership: not always adequate (Self evident which criteria)
## Some Of My Prosecutions
■
2002: commuter train derailment in South London due to gauge spread. Prosecuted both the IC and IMC (RCS2 Asset Management & OC7 Record
Keeping)
■
Nov 2004: IC and IMC were fined a total of £285,000 following death of an
eight year old girl who was electrocuted by third rail. (RCS2 Asset Management)
■
March 2006: an employee lost part of his hand whilst fitting new pads to brake discs of Mk 3 rake in the depot. (Two non connected workstreams
underway on a rake plus loco at same time (RCS1 SSoW & SP4 Safety
Management System)
■
June 2007: employee received a 25kv electric shock whilst working on top of a class 86 in a depot. He was lucky to survive. £30,000 (RCS1 SSoW &
SP4 Safety Management System)
■
July 2012: 450kg rail dropped on to a volunteer on a heritage railway: severe leg injuries. £5,000 fine imposed (RCS1 SSoW & SP4 Safety
Management System)
## More Prosecutions
■
May 2010: boiler inspector fined following inadequate boiler inspection of a standard gauge steam locomotive. (OP2 Competence)
■
2011 - overgrown UWC with missing gate and other tied back: train / car
collision. £4000 fine (RCS2 Asset Management)
■
June 2016: TOC and driver fined total of £200,000 following significant SPAD at Wootton Bassett. Brake safety system isolated. (OC2 Management
and Supervisory Accountability)
■
May 2018: missing floor in Mk1 - child fell onto bogie: £40k fine plus £13k
costs (RCS2 Asset Management)
■
July 2019: mainline TOC fined £1m plus £52k costs re death of a passenger at a droplight (PI1 Risk Assessment & Management)
## Some Improvement And Prohibition Notices
■Lots (around 14) to do with inadequate safety management
systems: all complied with (SP4 Written Safety Management
System)
■Condition of level crossing (RCS2 Management of Assets &
SP1 Leadership)
■Many month closure of a heritage railway due to condition of
track, lack of competence of staff and very poor operating practices (SP1 Leadership, OC6 Organisational Culture, OP2 Competence Management, RCS1 SSoW and RCS2
Management of Assets)
■Voluntary cessation of operations for many months on
another railway due to similar problems (As above)
■PN re all operations: (OP2 Competence Management, 0C7
Record Keeping, document control and knowledge management), and RCS2 Management of Assets)
## Going Forwards
■Increased resource in heritage team: plan of work to include
proactive inspections
■Risk based approached to plan of work targeting a number of
higher priority dutyholders
■Criteria for risk includes: passenger numbers, route miles,
numbers of staff / working volunteers. Level crossings, t&rs,
previous history
■All based on lower risk than the mainline due to maximum speed of
25mph (not average as once believed by members of one railway)!
■That said trains are sometimes heavier and most assets and staff
are certainly older than the big railway
## Key Areas For Inspection
■
Safety Management System - bedrock
■
Governance and leadership
■
Asset management including p'way, structures, t&rs, level crossings, workshops
■
Competence management
■
Occupational health to include asbestos, lead, welding fume etc
■
We will be using RM3 ourselves but using just third of the criteria: individual railways can use more or less at a periodicity of their choosing.
■
Opportunity to compare dutyholders and HMRI evaluations over time
■
RM3 could lend itself to other issues: finance or commercial activites
## Selected Criteria For Our Inspection Work (1)
■SP1 Leadership and SP3 Governance: key to the successful
management of health and safety risk is effective Leadership and Governance : former to set and communicate a clear direction and required standards, and act in a consistent manner to reinforce the required behaviours; the latter to make sure the organisation is accountable for the management of risk, and has effective arrangements in place..
■SP4 written SMS arrangements: to help understand the
capability of the written safety management system, and identify areas for development.
■OP2 Competence management; Essential that all heritage
railways can have arrangements that can demonstrate
competence in all safety critical functions.
■OC7 Record Keeping; dovetails with OP2 & RCS2 to allow
dutyholders to demonstrate competence (and maintenance,
operations etc)
## Selected Criteria For Our Inspection Work (2)
■PI1: Risk Management - simple risk matrices to demonstrate
that risk have been identified, mitigations identified and prioritised for action.
■RCS2 Asset Management; how railways inspect and maintain
their assets; be it traction and rolling stock maintenance,
permanent way and structures. The SMS should determine scope, standards and periodicity and records must be readily available. (Similar to competence).
■MRA2 Audit: some internal auditing would be very useful to
dutyholders. An area for development in most operators.
■MRA3 Incident investigation: Such investigations need to be
robust with correct conclusions, pertinent recommendations and importantly follow up to ensure they are implemented.
## Questions And Possible Answers
Forbidden questions include:
■Brexit and forthcoming general election (SP1 Leadership and SP3
Governance)
■Will my beloved Stoke get back into the Premier League or for that
matter stay in the Championship (RCS2 Asset Management, OC3 Organisational Structure, SP3 Board Governance, OC2 Management, PI2 Objective / target Setting) etc etc
ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the future Steve Oates Heritage Railway Association Standards and guidance What's available?
Heritage Railway Association RM3 Seminars November/Dcember 2019
## Guidance Notes & Standards …
Boiler Code of Practice Standards for carriage maintenance Infrastructure standards Employment guidance Governance Operating & safety guidance
## Www.Hra.Uk.Com
www.hra.uk.com/guidance-noteswww.hra.uk.com/guidance-notes
# Www.Hra.Uk.Com/Guidance-Notes
## Boiler Code Of Practice …
TUBING OF LOCOMOTIVE BOILERS
BOILER STAYS
SUPERHEATERS BOILER MOUNTINGS PIPEWORK & FITTINGS FUSIBLE PLUGS WASHOUT PLUGS SAFETY
VALVES
MUDHOLE DOORS
PLATEWORK INNER FIREBOX REPAIR AND RENEWAL THERMIC SYPHONS & ARCH TUBES STEEL RIVETS & RIVETING WELDING PROCEDURES & PROCESSES PATCH SCREWS SMOKEBOXES STEAM HEATING APPARATUS BOILER WATER TREATMENT PREPARATION OPERATION & DISPOSAL FROST & CORROSION PROTECTION
MATERIALS & NON-DESTRUCTIVE TESTING
WASHOUT & EXAMINATION EXAMINATION IN SERVICE
# Reviews, Revisions And Updates Input From You
Establishing new standards Maintenance and Fitness to Run Standards for Heritage Carriages
## Ccop - Carriages Code Of Practice - 11 Modules
1. Introductory Module
2. Policies and
Procedures
6. Bogies and wheelsets 7. Braking systems 8. Underframes and
drawgear
3. Asbestos and
Hazardous Materials
9. Bodywork and
structure
4. Fitness to Run
Examinations
10.Ancillary systems –
toilets, water, electrics
5. Facilities and T
ooling
Requirements
11.Wooden bodywork
and structures
## Guidance Notes & Standards …
Boiler Code of Practice Standards for carriage maintenance Infrastructure standards Employment guidance Governance Operating & safety guidance
## Workshops, Seminars & Conferences
"The guidance notes are excellent … They should be mandatory to institute" "The HRA keep a keen eye on legislation and provides protection - this is really good"
## Heritage Rail Safety & Standards Board
- Establish a members forum for the discussion of common
safety issues and the exchange of experiences
- Manage the provision, development and production of a
sharable set of standards, guidance and competencies to
support HRA member heritage railways
- Gather industry and safety data and statistics, and monitor and
report on the sector's safety performance
- Circulate, publish and share safety information, experiences,
relevant data and best practice to members
- Establish and provide a mechanism to publish urgent safety
information and notices to members
- Assistance with creating and auditing SMS's
Stronger T
ogether
Supporting the UK's Heritage and T
ourist
Railways, Tramways, Museums and Related
Organisations
ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the future What more would you like?
## More Safety Support - Discuss
■The 'going forwards' bit (strategy)
■Future requirements ■Current gaps in support
■Working in groups,
- have a think about what further training, information and guidance you want,
- that you don't get
……. how can the gap be filled?
ORR protects the interests of rail and road users, improving the safety, value and performance of railways and roads today and in the future Summary of the day | en |
3865-pdf | # Railway Industry Health And Safety Advisory Committee (Rihsac) Minutes Of The 110Th Rihsac Meeting Tuesday 16 October 2018
Room 2, One Kemble Street, London ORR logo
## Present:
| | Justin McCracken | ORR |
|------------------|------------------------------------|-------------------------------|
| Ian Prosser | | ORR |
| Jen Ablitt | | |
| Tracy Phillips | | |
| Matt Farrell | | ORR (for item 4) |
| Matt Westlake | | ORR (for item 6) |
| Claire Dickinson | | ORR (for item 8) |
| Sharon Mawhood | | ORR (for item 8) |
| Anna O'Connor | | ORR |
| Steve Coe | | |
| George Bearfield | | RSSB |
| John Cartledge | | Co-opted (passenger interest) |
| Trevor Rosenberg | London Travelwatch-Transport Focus | |
| Bill Cooke | | |
| David Porter | | IOSH |
| Alistair Young | | Transport Scotland |
| Jason Connelly | | Transport Scotland |
| Mick Holder | | ASLEF |
| Bill Hillier | | |
| Rob Miguel | | Unite the Union |
| Garry McKenna | | DRDNI |
| Mark Newton | | |
| John Collins | | Angel Trains |
| | | |
| Andrew Knight | | British Transport Police |
| Nisa Carey | | British Transport Police |
## Item One: Welcome, Introductions And Apologies For Absence
1. Justin McCracken welcomed everyone to the meeting and noted new
representation from British Transport Police, Andrew Knight and Nisa Carey, that Bill Cooke attended in the place of Lisbeth Fromling for Network Rail, and Trevor Rosenberg in place of Tim Bellenger for London TravelWatch/Transport Focus and that it was Rob Miguel's (Unite the Union) first appearance in a while. Apologies
had been received from Stephen Chamberlain (Wales), Mark Ashmore (UKTram)
and David Davies (PACTS).
2. RIHSAC reviewed and accepted the minutes and actions arising from the 29 May
2018 meeting. Tracy Phillips provided verbal updates on the actions:
◦ On action 109.1 concerning Network Rail's proposed electrical safe working
distance changes, Anna O'Connor updated that she had written to RMT and TSSA offering to meet to discuss more fully but confirmed that Network Rail were holding workshops with staff representatives providing more clarity, which was helping to reduce previous issues of miscommunication. She confirmed that in fact Network Rail were trying to achieve better compliance with the law and
improve risk control.
◦ Action 109.2 concerning RIHSAC input to the revision of RM3 would be
addressed in Matt Farrells' presentation later on the agenda. Mick Holder expressed caution around molding ISO standards into Taking safe decisions -
he would rather standards were set by Government or the regulator.
◦ RIHSAC's comments on the draft Chief Inspector's 2017/18 annual report had
been passed onto Ben Shirley (ORR) - action 109.3.
◦ Claire Dickinson was speaking with Paul Clyndes on the matter of preventing
staff assaults and abuse - action 109.4.
3. Tracy Phillips confirmed that the minutes had been amended to incorporate David
Porter's recent comments against para 33 and advised that RAIB had had sight of ORR's Prior Role Review as part of its Sandilands investigation. It was still ORR's intention to publish it in due course but this could not be done whilst inquests and potential prosecutions were ongoing. In the meantime ORR was using the findings
to inform its work to progress recommendation 9 of the Sandiland's report.
4. In response to John Cartledge's enquiry, it was still the intention that photographs
taken at the last meeting (and represented logos) would be published on the RIHSAC pages of ORR's website, but as the terms of the ORR generic approval did not match the purpose for which the photos were to be used (it was considered far too broad), ORR was working on wording approval that would comply with
GDPR and satisfy RIHSAC members.
## Item Two: Matters Arising Of Interest From Health And Safety Regulation Committee (Hsrc) And Other Orr Board Meetings
5. There had been two meetings of HSRC, one in June another in September.
Discussions included a paper on the charter and heritage sectors of the rail industry and a new strategic risk chapter of ORR guidance on heritage is to be developed and brought to RIHSAC .A new guidance note was being prepared for ORR inspectors' use which explained how safety matters in the Channel Tunnel were regulated including the relationship with the Intergovernmental Commission (IGC) a Franco-British French body which takes the lead on regulatory matters in
the tunnel. HSRC also received a progress report on the consequences of the Sandilands tram derailment.
6. Andy Thomas had appeared at the September HSRC to explain his industry wide
leadership role in Occupational Health and following the Grenfell Fire Inquiry, ORR
had conducted a "lessons learnt" review to see what might be applicable to the regulation of the rail sector. No major issues were highlighted.
## Item Three: Chief Inspectors Update
7. Ian Prosser apologised for his absence from the last RIHSAC meeting. He reiterated the three themes of his 2017/18 Chief Inspector's annual report - supporting our people, system pressure and technology and shared that the final determination for PR18 was well advanced and that ORR had started work on its
regulatory approach for CP6. A funding scheme for the new tram standards body was ready to go to ministers for approval and the first phase of the Timetabling Inquiry had been published. This and the prior role review of ORRs involvement with the 2018 re-timetabling problems could both be found on the ORR Website.
8. ORR had launched a suicide prevention "Million Hour Challenge", Rail Delivery
Group (RDG), MTR, and Network Rail are also piloting this. Ian anticipated this would help the Samaritans and also provide a strong push for mental health support.
9. Ian Prosser would be meeting the new Chief Executive of NR and would be
highlighting the value of undertaking RM3 assessments across the whole spectrum to identify strengths and weaknesses.
10.
Ian also advised on senior staff changes - Paul Appleton was now RSD's Deputy Director (operations).
11.
Preliminary work had been undertaken on "What can we gain from Artificial Intelligence as a Regulator in the long term" and ORR was working with universities to improve the approach.
12.
At John Cartledge's request RIHSAC put on records its congratulations to Ian Prosser on his recent receipt of the rail industry award for "Outstanding Personal Contribution from Senior Management"
13.
In response to:
Mick Holder's enquiry Ian Prosser advised that the name Million Hour Challenge had been suggested by Samaritans. Trevor Rosenberg's request for an update on safety issues arising from Selective Door Operation, Ian Prosser advised that this was captured in the PTI strategy but he had no update yet. RIHSAC agreed that progress in implementing this strategy would form a good item for a future RIHSAC agenda.
Action 110.1 RIHSAC secretary to add "PTI strategy" to the forward programme.
## Item Four: Timetable Inquiry - Interim Report Findings
14.
The presentation had been previously circulated *(available on the ORR website)* and the agenda item provided RIHSAC with an opportunity to comment. Matt
Westlake added that Phase 1 ended in September, Phase 2 would lead to another report in December.
15.
In response to a question from David Porter about the extent to which the language around "diffused accountability" would impact on systemic health and safety risk, Anna O'Connor advised that the relatively new Network Rail role of System Operator was key and had to take safety into account. ORR would be monitoring closely.
16.
Steve Coe felt that not much had been learnt since the Finsbury Park station overcrowding incident as the issue of health and safety impacts on frontline staff remained unaddressed.
17.
Ian Prosser stated that he had written to GTR (on whose system the biggest disruption was reported), addressing the impact of late cancellations, changing of platforms. Changes had since been made to make the timetable more stable. We now awaited data from British Transport Police in relation to increases in staff assaults and this matter could return to a future RIHSAC meeting. ORR would continue to engage on this issue to ensure mechanisms were in place to support staff. Ian confirmed that the key lessons which had emerged from the Inquiry related to over optimism in planning and the absence of anybody taking overall charge.
## Item Five: Orr'S Strategic Approach To The Development Of H&S Leadership And Management Competence.
18.
David Porter referred to the paper distributed to RIHSAC members ahead of the meeting *(available on the ORR website)* and summarised its key points as being the challenges to health and safety management arising from the level of
competency of those at the top of individual organisations. Do organisations pay sufficient attention to this and do we need to think of alternative ways of stimulating improvements?
19.
George Bearfield agreed that there was a thin spread of competency across the board and that new initiatives needed to be sought to make improvements. He explained that the Risk Management Capability Group was developing bite size sessions on *Taking safe decisions* to different groups and highlighted a good course run by AD Little. Noting that risk was a function of change, he questioned if we had the appropriate level of understanding at senior level.
20.
Ian Prosser agreed that the course run by A D Little was worthy of promotion and that *Taking safe decisions* was a powerful and well-written document.
21.
Ian noted that a more devolved NR increased the potential for variability so RM3 assessments would be done for each route. ORR would be organising itself to regulate NR on this basis with a likely route lead for teams. Looking at all aspects (safety, financial, technical) across each route. NR had a strong assurance function
and TOC changeovers needed to be watched for points of distress (including maintaining current fleets).
22.
Competence was covered in RM3 assessments and Ian Prosser would be using the industry's *Leading health and safety* at route level and at meetings twice a
year with RSSB (which Paul Clyndes and Manuel Cortez attended) to highlight competence issues; the relaunch of *Taking Safe Decisions* would be done at one of these meetings. Ian also confirmed that there was a lot of relevant guidance out there to be read and applied.
23.
John Cartledge thanked Jen Ablitt (ORR) for her slides compiled in response to David Porter's paper which helped provide further context. He asked whether the training courses suggested by George Bearfield and Ian Prosser adequately encompassed what all directors (not simply those with specific safety remits)
needed to know about their legal responsibilities. Ian Prosser responded that he thought people with safety critical roles did understand "where the buck stopped". Mick Holder felt that the threat of corporate manslaughter charges did not go far enough as they do not include prosecuting individuals so some people might be prepared to take the risks.
24.
David Porter was of the opinion that it was more about the capability to deal with systemic risk and not just about the knowledge - should we be looking at it from the angle of "what is the board doing?"
25.
Bill Hillier agreed that addressing the Board as a whole was important and was concerned that - in the heritage sector - people did not always fully understand their responsibilities in law.
26.
Rob Miguel agreed there were issues with senior level competence and that leadership went hand in hand with worker involvement.
27.
Justin thanked David again for his discussion paper and noted that there would be a further chance to reflect on some of the points made in discussion when RIHSAC reviewed the Strategic Risk Chapter (SRC) on heritage. He noted that the SRC on
leadership and culture had recently been reviewed but asked Jen to discuss with David and George offline whether there was a case for revisiting it and to determine the roll out plan for the revised version of *Taking safe decisions.*
## Action 110.2 - Discussion To Be Arranged Between Jen Ablitt, David Porter And George Bearfield To Review Whether The Leadership And Culture Src Should Be Revisited And To Determine The Roll Out Programme For The Revised *Taking Safe Decisions*. **Item Six: Rm3 2019 Project - Seeking Rihsac Views**
28.
Matt Farrell advised this was a follow up from May's RIHSAC to illustrate how RIHSAC's feedback had been taken on board in relation to the organisational culture criterion and broadening membership of the RM3 Governance Board, and to set out next steps in the work. His presentation *(available on the ORR website)* was circulated to members in advance.
29.
In response to David Porter's question about the appropriateness of having an "RM3 light", as regardless of size the hazards still exist and whether that might lead to dilution of the Regulatory approach, Anna O'Connor advised that the proposed version of RM3 light is a tailor made approach for light rail sector use.
30.
Bill Hillier commended the retaining of the culture model as it is an important contributor to achieving a base level in legal compliance.
31.
Matt Farrell invited Mick Holder to a consultation on the subject of organisational culture following Mick's comments to help more clearly define organisational culture.
32.
Anna O'Connor invited Rob Miguel to join her on a visit. As Rob Miguel welcomed the inclusion in the model of an open culture enabling people to comfortably
challenge managers but he was unsure how ORR would be able to see this evidenced. Matt Farrell explained that he revised model is very focused on the ability of staff to challenge confidently and this is a thread throughout the modelparticularly to achieve higher levels of maturity.
33.
In response to Ian Prosser's comment that NR senior leadership involved in developing a just culture, David Porter reiterated that a just culture is not the same as a challenge culture. Justin McCracken said that trade unions being on the RM3 governance board would enable them to help ORR get this right.
## Item Seven: Level Crossing Update
34.
Anna O'Connor gave a presentation describing risk reduction at level crossings on mainline infrastructure and outlining ORR's regulatory approach. She also introduced a proposed revision to the way ORR will handle Level Crossing Orders. This is in response to the government's decision not to progress the recommendations arising from the Law Commissions' 2013 report on Level Crossings. It was still being piloted, but would be consulted on shortly and ORR would welcome the input of RIHSAC members.
35.
John Cartledge recalled that initially DfT developed an extremely comprehensive action plan which was subsequently dropped. Ian Prosser advised that he is still pushing the Department to recognise the benefits of the Law Commission reforms but acknowledged Parliamentary time is limited. Justin McCracken concluded that whilst we are unable to achieve legislative change we should continue to implement/manage improvements within the existing legislative framework.
## Item Eight: Occupational Health
36.
Claire Dickinson provided an update on current ORR occupational health activity and invited RIHSAC to discuss this. The ORR's 5 year programme is due to conclude in March 2019. ORR is well advanced with preparations for its programme end review, setting out ORR's view of the industry's management of health risk. This will be ORR's 3rd review of the many data sources and will be
supplemented with interviews with key stakeholders and a survey. ORR sought information on further data sources and acknowledged that there are significant limitations to the OH data.
37.
Rob Miguel enquired if there was scope to deliver training on fatigue. Claire
Dickinson responded that she would be welcome a discussion with him about this. She stated that both ORR's and RSSB's web pages contained strong guidance on Fatigue Management.
38.
Mick Holder recommended that ORR approach the TUC about extracting data applicable to the rail industry from the TUC biennial survey carried out with H&S reps on their health concerns. The key issues emerging were the long hours culture, stress and musculoskeletal conditions.
39.
In response to David Porter's question on why ORR were leading on this topic, Claire Dickinson said it has started to transition now that RSSB has established the Health & Wellbeing Policy Group and subsidiary groups in response to LHSBR. At the current time, ORR is minded to drive forward on OH via the activities cited in the OH Strategic Risk Chapter (SRC) rather than proposing a third programme. The SRC will be updated following the ORR's review. ORR will continue to monitor industry leadership on health and will be prepared to step in if necessary.
40.
Steve Coe would like to see more on manager fatigue and stress management
41.
The ORR work focuses on health risk rather than wellbeing (e.g. smoking cessation or obesity). Inspectors deal with health surveillance for those topics where there is a regulatory requirement (e.g. COSHH or hand-arm vibration syndrome.
42. Claire Dickinson asked everyone to encourage duty holders to offer case studies of
good practice demonstrating how improvement in managing health risk has been beneficial.
43.
ORR agreed to return to RIHSAC with the health review paper to discuss emerging findings.
## Item Nine: Forward Plan & Meeting Review
44.
If anyone has something for the forward plan they should contact Tracy Phillips.
45.
A lesson learnt from today was that the meeting needs to run to agenda times. Next meeting scheduled for 15 January 2019.
## Glossary Of Abbreviations Aslef Associated Society Of Locomotive Engineers And Firemen
| | COSHH | Control of Substances Hazardous to Health Regulations |
|--------|------------------------------------------------------|----------------------------------------------------------|
| CP | | Control period |
| DfT | Department for Transport | |
| DRDNI | Department of Regional Development (NI) | |
| GDPR | | General Data Protection Regulations |
| HMRI | | Her Majesty's Railway Inspectorate |
| HS2 | High speed 2 | |
| HSRC | Health & Safety Regulation Committee | |
| IGC | Intergovernmental Commission (on the Channel Tunnel) | |
| IOSH | Institute of Occupational Safety & Health | |
| ISO | International Standards Organisation | |
| LHSBR | Leading Health & Safety on Britain's Railways | |
| LUL | London Underground Ltd | |
| NI | | Northern Ireland |
| ORR | Office of Rail and Road | |
| OH | | Occupational health |
| PACTS | Parliamentary Advisory Committee on Transport Safety | |
| PPE | Personal protective equipment | |
| PTI | | Platform train interface |
| RAIB | Rail Accident Investigation Branch | |
| RDG | Railway Development Group | |
| RIHSAC | Rail Industry Health & Safety Advisory Committee | |
| RM3 | Risk management maturity model | |
| RMT | Rail Maritime & Transport Union | |
| ROI | Republic of Ireland | |
| RSD | Rail Safety Directorate (of ORR) | |
| RSSB | Rail Safety & Standards Board | |
| TSSA | | Transport Salaried Staffs Association |
| TUC | Trades Union Congress | |
| | | |
| en |
4778-pdf |
Financial year 2016/17
Percentage of invoices
paid within 5 days
paid within 30 days
1st quarter (Apr-Jun)
6%
83%
2nd quarter (Jul-Sep)
6%
87%
3rd quarter (Oct-Dec)
6%
93%
4th quarter* (Jan-Mar)
14%
96%
| en |
1318-pdf | BETTER ENVIRONMENT, BETTER HEALTH
A GLA guide for London's Boroughs London Borough of Newham
## Copyright Greater London Authority November 2013
Published by Greater London Authority City Hall The Queen's Walk More London London SE1 2AA
www.london.gov.uk enquiries 020 7983 4100 minicom 020 7983 4458 ISBN
Photographs © Copies of this report are available from www.london.gov.uk
## Please Print And Circulate Widely Contents
CONTENTS
1
FOREWORD
2
INTRODUCTION
3
GREEN SPACES
5
ACTIVE TRAVEL & TRANSPORT
8
SURFACE WATER FLOOD RISK
12
AIR QUALITY
15
HEALTHY FOOD
18
FUEL POVERTY
21
OVERHEATING
24
REFERENCES
28
FURTHER READING
31
PUBLIC HEALTH OUTCOMES FRAMEWORK
32
DATA APPENDIX
35
ACKNOWLEDGEMENTS
42
## Foreword
The Mayor's vision is for London to be the 'greatest city on earth' - this means making the city a great place for Londoners to live, relax, work and raise a family, whilst being attractive to investors. However there are significant inequalities in the health and quality of Londoners' lives. 2009-11 ONS figures show that average *healthy* life expectancy reduces by almost one year for every stop eastwards on the District Line between the boroughs of Richmond and Tower Hamlets - a difference of 18 years. The reasons for this are complex but the evidence points strongly to the important impact of the wider determinants of health. This inequality means some Londoners are unable to benefit from and contribute to the city's dynamism because of preventable health problems. The Mayor wants to ensure all Londoners have the chance to participate in what London has to offer. Furthermore, if we are to maintain and improve London's position as the attractive world city it is, we need to create a resilient city, able to deal with extreme weather events, and a city that offers a high quality of life with green spaces, a fantastic public realm and a pleasant, healthy environment. Local authorities have a unique role to play in achieving these goals, and with their new responsibilities for public health they have a new set of capabilities and levers for catalysing change. Better Environment, Better Health offers a bespoke guide to each of London's thirty three boroughs, describing the impact of seven wider environmental determinants of health on their specific populations and highlighting possible actions that could be taken to promote a better environment leading to better health and well-being, overall, for Londoners. For example we know that by encouraging walking and cycling we are not only helping to improve London's air quality but also cardiovascular health, whilst reducing levels of obesity. The guides demonstrate how such an approach can be taken on a range of issues, without necessarily adding to the financial burden on boroughs' already squeezed budgets, just by doing things differently. We hope you will find value in the guide and will use it to drive improvements locally to create strong environments which promote health and well-being, and are resilient. Finally, we would like to thank the project team for writing the guides and their drive in taking this project forward.
Victoria Borwick
Matthew Pencharz Deputy Mayor of London Senior Advisor for Environment
and Mayoral Health Advisor and Energy
## Introduction
What is likely to shape the health of our communities over the next twenty or thirty years? What will improve quality of life? What will help people live longer, particularly those most likely to die early? What will improve people's quality of life, reducing years lost to disability and poor mental and physical health? What will improve the health and wellbeing of children and young people? The United States Center for Disease Control and Prevention (CDC) has argued that in the 20th century public health measures added 25 years to the life of an average American.1 In its list of top ten interventions half are closely connected to the environment. The same list would be likely to apply to the UK and London. In the 21st century public health measures, including measures seeking to improve the environment, are likely to be as important in supporting good health as improvements in healthcare. We need to prepare, assess and plan for extreme weather events and their impacts not just to improve Londoners' health and wellbeing but to increase economic prosperity, for business and service continuity and to strengthen community resilience. In this guide we focus on seven environmental issues and their relationship to health:
-
Green spaces
-
Active travel & transport
-
Surface water flood risk
-
Air quality
-
Healthy food
-
Fuel poverty
-
Overheating
For each of these we ask certain questions:
-
What is the issue and how do we measure it?
-
What is its impact on health? What is the evidence?
-
Who will experience the impact most?
-
What is the local borough picture?
-
What are the key actions to promote good health?
We also provide links to the Public Health Outcomes Framework and suggested further reading. The aim of the bespoke borough guides is to maximise opportunities for improving health and wellbeing, as well as enhancing community resilience. They are aimed at professionals working in health, environment, regeneration, economic development or any aspect of shaping local places, as well as local people interested in improving the quality of life in their communities. Where issues are locally relevant we hope this document will help to start a conversation which enables them to be identified and addressed in borough Joint Strategic Needs Assessments (JSNA) and health and wellbeing strategies. These guides do not cover all of the wider environmental determinants of health. For example, they do not look at some aspects of housing (such as overcrowding), workplace health, wider resource use, access to services, water resource management or noise pollution. More broadly, issues of planning and environmental control tie many of these areas together. How we shape ongoing development and use of our town centres, neighbourhoods and business districts presents opportunities to maximise the health of users: residents, employees and visitors. Similarly, environmental consideration provides the scope to address potential risk to resilience, health and wellbeing as well as promoting good practice amongst, for example, businesses, landlords and facilities managers.
## Green Spaces
Accessible green space has long been recognised as a wider environmental determinant of good health. Wide ranging research shows strong evidence that outdoor spaces have a beneficial impact on both physical and mental well-being2. When considering green space it is helpful to think about both access and **use:** availability being a necessary but insufficient indicator and determinant of use. A
range of data are available on both access and use including the Natural England MENE survey
(frequency, mode of access, reasons3); London.gov.data: 'Access to Public Open Space and Access to Nature by Ward'4; and Sport England: Active people Survey (physical activity rate)5.
What is the impact on health?
Accessible, safe green space is shown to reduce mental distress, depression and Attention Deficit- Hyperactivity Disorder (ADHD) symptoms in children. Access to a garden or living a short distance to/from green areas, as well as having the potential to lead to improvements in the environment, are associated with a general improvement in mental health and wellbeing.6 Both the Marmot Review and NICE have highlighted evidence that the presence of good quality outdoor green spaces encourages physical activity7 which is important across a wide range of health issues such as cardiovascular diseases, obesity, type 2 diabetes and mental/physical health. Increasing and improving the proportion of green spaces in urban centres also has a secondary positive impact on health through other wider environment determinants of health such as urban heat-island effect, surface flood risk and air quality. Who will experience the greatest impact?
Urban residents (through impact on quality of life)
Older people and children
People suffering from obesity, cardio-vascular diseases, diabetes
People suffering from mental distress and depression.
## The Newham Picture
-
24 per cent of the borough surface has green space coverage, 7 per cent below the London
average.8
-
Within Newham, more than 50 per cent of households in 9 out of 20 wards, have deficient access
to nature.9
-
17 per cent of Newham's population participate 5 times per week in physical activity for at least
30 minutes and nearly 46 per cent participate once a week which is below the London average.10
-
Newham's adult obesity prevalence is 25 per cent, which is higher than the London rate, 21 per
cent, and the national rate, 24 per cent.11
## Figure 1 Green Spaces In Newham Pink Coloured Areas Are Defined As Area Of Deficiency In Access To Local, Small And Pocket Parks. Proximity Rate Is +/- 400M From Households.
http://www.gigl.org.uk/Ourdatasets/Openspace/tabid/117/Default.aspx Potential actions:
Given the significant relationship between health and green spaces in the urban environment some key actions can be identified to improve quality and proximity in order to enhance access and use. This includes considering:
- All London Green Grid Supplementary Planning Guidance to improve *biodiversity* function and
connectivity of green spaces;12
- The Green Flag Award system to improve quality and promote access to green spaces.13 - Promoting physical activity in outdoor spaces through "outdoor gyms" and "guided walking
exercise prescription" as a way to recover from cardiovascular diseases and illness.14
See also sections on surface water flood risk and healthy food.
Case Study: Regenerating Burgess Park, London Borough of Southwark The regeneration of Burgess Park, in Southwark, was underpinned by a comprehensive plan that made the focus of the park a place for healthy living, showing how to combine ' natural' regeneration with health promotion15. This has also included opportunities for investment, growth and jobs. For example improved access to, and routes through, the park, alongside enhancements to the lakes, planting, lighting and on-site facilities, has made the park a much more attractive and welcoming place, encouraging play and informal recreation. The park also has over 10 km of running, cycling and fitness routes and a new BMX track, to cater for more formal sport and physical activity. Contact: Ruth Miller, Burgess Park Project Manager [email protected]
## Suggested Further Reading Links To Public Health Outcomes Framework
- Planning for Health (2009) HUDU
- The Marmot review (2010)
www.instituteofhealthequity.org
- www.nice.org.uk
- Benefit of Urban Parks, IFpra (2013): - www.ecehh.org
## Primary 1.16 Utilisation Of Outdoor Space For Exercise/Health Reasons Additional (For Example) 2.6 Excess Weight In 4-5 And 10-11 Year Olds 2.13 Proportion Of Physically Active And Inactive Adults 2.23 Self-Reported Well-Being
- www.naturalengland.org.uk - www.hphpcentral.com
- CMO (2011) Start Active, Stay Active
## Active Travel & Transport
Travel is essential for connecting people to employment, recreation, education and health and community services. Most people travel in some way every day, making it part of everyday life and therefore a factor that can greatly affect the health of all London's citizens16. Travel includes walking and cycling, use of private vehicles, public transport and goods vehicles. In London more than 80 per cent of journeys take place on roads either by motor vehicle, bike or on foot; therefore road transport and street environments have a very significant impact on health and wellbeing17. There are inequalities in the impact of transport upon health, with the most deprived people and those using the most heavily trafficked roads experiencing the most negative health impacts18. Only a few London boroughs include a dedicated transport focus in their Joint Strategic Needs Assessment (JSNA), suggesting the impact of travel on health may be underestimated.
What is its impact on health?
A comprehensive public transport network provides many health benefits including access to services, reducing social isolation and increasing work and social opportunities. A major benefit of travel in London is that it enables people to maintain regular physical activity via walking (particularly as part of public transport trips) and cycling. Only around 20 per cent of Londoners currently meet the minimum recommendation for physical activity of 150 minutes per week19. Everyday physical activity is essential for good physical and mental health, contributing to the prevention of over 20 diseases including obesity, type 2 diabetes, cardiovascular disease and some cancers20. Cycling and walking can be easily incorporated into daily routines to meet physical activity needs. In London, approximately
4.3 million trips currently made by car or public transport have been identified as easily cyclable21. Creating opportunities which enable Londoners to walk and cycle has other potential health benefits including access to safe, green spaces. This could lead to reductions in congestion which, in turn, may reduce overheating and improve air quality. The negative impacts of transport in London are concentrated in the London's most heavily trafficked streets, where high concentrations of vehicles contribute to air and noise pollution and increased injury risk22. This can create the impression of a hostile environment for walking and cycling and can exacerbate health inequalities. Motor vehicles are responsible for 41-60 per cent of air pollutants in the UK, which have an impact on cardiovascular and respiratory diseases. People who live on or use heavily trafficked streets are the most adversely affected.
## The Newham Picture
On average 590,000 trips per day are made by people originating in Newham. 23 Low numbers of people participate in active travel, with the percentage of people cycling to work
below the Greater London average.
Use of motor vehicles is 7 per cent below the Greater London average. 24 There was an average of 1014 casualties and 4 fatalities per year on Newham's roads between
2005 and 2009: this decreased by 10% during 2009-2011.
The most heavily used road (excluding motorways) is the A13 with an average daily flow of
152,000 motor vehicles. 25
The Borough currently has one cycle super highway and another is proposed in the Mayor's 'Vision
for Cycling'. 26
Source: London Travel Demand Survey Potential actions:
- Designing street environments to encourage walking and cycling. - Designing and engineering roads to reduce motor vehicle speed and implement 20mph zones
where appropriate.
- Promoting a network of roads and paths that are safe and convenient for cycling and walking. - Supporting walking and cycling by ensuring that, where possible, the needs of cyclists and
pedestrians are considered before other road users.
- Promoting cycling through information, maps and cycle hire schemes.
- Improving safety of heavily trafficked streets where most traffic related health risk is concentrated.
See also section on air quality.
Case Study: Cycling across Hackney Hackney has the highest levels of cycling in London. There are more cyclists than motorists in many parts of the borough. This is evidenced by the fact that 6 per cent of journey's originating from Hackney are on bike, higher than any other borough in London23. Since 2001 the Council has sought to increase the areas that are cycle friendly by improving the design and increasing the accessibility of the road network for cyclists.27
- Road safety has been improved by reducing motor traffic speeds and volumes. The aim is to
enforce 20 mph speed limits across the borough on all residential roads.27
- Systematic improvements have been made to the public realm for pedestrians, cyclists and public
transport users and a number of designated cycle routes such as the Hackney Park cycle route have
been created.27
- Hackney has invested in a range of cycle parking bays including lockers in estates, hangars (on
street bike/storage lockers), on residential streets and large bike ports at transport hubs such as railway stations and town centres.
- A comprehensive free cycling training programme has targeted a range of audiences.27
Contact: Ben Kennedy, Hackney Council, [email protected]
Example of a cycling improvement scheme Wordsworth Road/Palatine Road, Hackney
## Links To Public Health Outcomes Framework Suggested Further Reading
- Healthy Transport Healthy Lives, British
Medical Association (BMA)
- NICE Walking and Cycling, Local
Government Briefing
- Mayors Vision for Cycling, 2013 GLA - London Borough of Hackney Sample of
Schemes for cycling & public realm (2013)
## Primary 2.13 Proportion Of Physically Active And Inactive Adults Additional (For Example) 1.16 Utilisation Of Outdoor Space For Exercise/Health Reasons 2.7 Hospital Admissions Caused By Unintentional And Deliberate Injuries In Under 18S
- What are the health benefits of active
3.1 Fraction of mortality attributable to particulate air pollution travel: A systematic review of trials and cohort studies, PloSOne, 8
## Surface Water Flood Risk
Surface water flooding describes flooding on the land surface from sewers, drains, groundwater and runoff from land after a heavy rainfall event28. Surface water flooding events are difficult to predict but can cause significant disruptions to local populations and to health and other services. London is vulnerable to surface water flooding because some areas have poor drainage systems and large areas of impervious surfaces29. Approximately 480,000 London properties and ten hospitals are at risk of surface water flooding in London30. Surface water flooding is already a considerable risk and one that, without action, will increase in London due to population growth, urban expansion and ageing of drainage systems. In addition, changing climate patterns are likely to increase the number and intensity of large magnitude precipitation events leading to a likelihood of more frequent and larger magnitude surface water flooding events. Local Flood Authorities are responsible for mapping, assessing and managing local flood risks, identifying whom and what is at risk and the vulnerability of services such as hospitals and schools to surface water flooding. The Mayor's Regional Flood Risk Appraisal identifies surface water flood risk as the most likely cause of flooding in London. The GLA, Thames Water, the Environment Agency and London Councils have been developing and delivering a programme to manage this risk, known as Drain London. There are multiple ways in which flooding can create health risks:
- Fast flowing water has multiple potential hazards such as moving debris which can cause physical
injury and even death. Contaminated flood water containing pollutants such as chemicals and sewage can cause disease.
- Flooding of health facilities results in disruption to access to healthcare facilities, with increased
difficulty providing routine medical care and increased patient admissions in neighbouring facilities.
- Exhaust emissions from machinery operating in the clean-up process and recovery from a flood can
cause carbon monoxide poisoning31.
- Disruptions in flood recovery, fear of repeat events and added effects of stress due to insurance
claims and refurbishing properties can cause mental health problems. Up to 25 per cent of people who experienced flooding in their homes in the major UK floods in 2007 experienced mental health
issues after the event32.
Who might experience the greatest impact?
Some areas in London are at risk of surface water flooding particularly where there is inadequate sewer/drainage capacity, and some groups are at greater risk4. These include people with limited mobility or/and those who are dependent on medication and/or regular healthcare at home or at a health/social care facility. Those with less flood awareness due to weak social networks and limited or no access to public warning systems and/or information are also at risk. The Newham Picture The Environment Agency will be releasing a national surface water flood risk map for each London borough in December 2013. Whilst this will show the areas at risk it should also be noted that any low lying area could also potentially be affected but may not be visible on the maps because of the difficulty in assessing surface water flood risk. The maps will provide borough-specific assessments.
Potential actions:
- Developing emergency plans to reduce effects of surface water flood risk. - Including integrated emergency planning for priority groups/services. Developing land
management strategies such as green roofs to reduce likelihood of surface water flooding.
- Incorporating Sustainable Urban Drainage Systems (SuDS) as an alternative to traditional
approaches to managing runoff.
- Identifying vulnerable and isolated people and implementing early warning systems and evacuation
plans.
- Planning for disruption of infrastructure and increase in patient volumes at health and social care
facilities. See also section on green spaces and healthy food
## Case Studies: Purley (Lb Croydon) Community Flood Plan 6
- Purley is vulnerable to flooding and experienced a large flood event in 2007. In response the
community developed a Community Flood Plan.
- The flood plan is owned by the community, and aims to reduce the impact of flooding. - It advises the community on how to prevent flooding and what to do if it happens. - It is a low cost but effective way of reducing a wide range of impacts of flooding. - The community has created a number of flood wardens who play a central role in advising local
citizens and businesses on the flood risk and actions they can take to reduce the impact and nature of flood events.
## Surface Water Flooding Event, London, July 2007 7
- In July 2007, 121mm of rainfall fell in London, mostly on July 20th, causing some significant
surface water flooding.
- Approximately 400 properties were flooded, 158 schools affected and two hospitals were closed as
a result.
- The closure of St George's Hospital caused major disruption.8
## Suggested Further Reading Links To Public Health Outcomes Framework
- GLA Regional Flood Risk Appraisal, 2013 - Drain Londonhttp://www.london.gov.uk/priorities/environment/loo king-after-londons-water/drain-london Programme London Climate Change Adaptation Strategy
- Multi-Agency Flood Plan, LB Havering, 2012
- Floods in the European Union, Health effects and their
prevention (2013), World Health Organisation (WHO)
## Primary: 3.7 Comprehensive, Agreed Interagency Plans For Responding To Public Health Incidents And Emergencies Additional (For Example) 3.6 Public Sector Organisations With A Board-Approved Sustainable Development Management Plan Air Quality
Good air quality has long been recognised a basic requirement for good health. The UK Air Quality Standards Regulations 2000, updated in 2010, set standards for a variety of pollutants that are considered harmful to human health and the environment. These are based on EU limit values and are for a range of air pollutants: sulphur dioxide, nitrogen dioxide, oxides of nitrogen, particulate matter
(PM10 and PM2.5), lead, benzene, carbon monoxide, benzo(a)pyrene and ozone.
Much of the focus of air quality action is on nitrogen dioxide (NO2) and particulate matter (PM).
Particulate matter (PM10 and PM2.5) refers to a complex mixture of non-gaseous particles of varied physical and chemical composition. It is categorised by the size of the particulate. In London, road traffic is a significant source of PM mainly from exhaust emissions and wear, tyre and brake wear and dust from road surfaces. In addition, older furnaces and boilers may have an impact on the overall air quality environment within a house. Poor air quality could potentially compromise health and well-being. It should be noted that exceedences apply across the whole of London, particularly near built up areas and major roads.
What is the impact on health? What is the evidence?
Long-term exposure to poor air quality can contribute to the development of chronic diseases and can increase the risk of respiratory illness. In Greater London it is estimated that the equivalent of 4,267
deaths in London in 2008 were attributable to long-term exposure to PM2.5. It should be noted that this does not relate to real individuals, but is a statistical construct whereby all health impact associated with air pollution are amalgamated. Since everyone breathes the air where they are, a more realistic interpretation is that the risks are distributed across the whole population, with a total mortality impact of the concentrations equivalent to that number of deaths. At high concentrations NO2 can result in inflammation of a person's airways; long-term exposure can affect lung function and respiratory symptoms and can increase asthma symptoms. PM aggravates respiratory and cardiovascular conditions. The smaller the particle, the deeper it will deposit within the respiratory tract. The impact of PM2.5 on health is especially significant.
Who may experience the greatest impact?
-
People who live or work close to areas with poor air quality
-
People with respiratory problems
-
People with heart problems
## The Newham Picture - On Some Of Newham'S Main Arterial Roads There Are High Concentrations Of No2 (See Map) Which
are above the recommended limits.
- Statistical tools are used by public health specialists to try to understand the comparative impact of
different factors on mortality. Using these techniques, Newham is the 11th highest affected area by poor air quality in London. 33
- In 2011 the GLA identified six Air Quality Focus Areas within Newham.
## Potential Actions: - Promoting A Modal Shift To Encourage Higher Proportions Of Walking, Cycling And Use Of Public
transport and less use of cars. This could include a wide range of measures from systemic action within the planning and transport system to one-off events such as car free days. Such measures could lead to significant improvements in air quality.
- Promoting energy efficiency in homes, public and commercial offices. For more information see the
Energy Company Obligation34.
- Individual steps could be taken to:
a) reduce personal contribution to air pollution such as engine idling; and,
b) reduce risk of exposure where it is potentially hazardous to health (particularly for people with
underlying vulnerabilities) through systems such as airText.
See also section on active travel and transport.
## Case Studies: Reducing Exposure - City Air Mitigating Impact - Croydon Air Text
'CityAir' was launched in May 2011 in the City of London to encourage businesses to help to improve local air quality. Best practice guidance and case studies were produced to provide advice to City businesses on reducing emissions from buildings, encouraging staff to walk and cycle in the City, using purchase contracts to require low polluting vehicles and building air quality targets into environmental reporting. Information is available at www.cityoflondon.gov.uk/cityair. To date over 50 businesses have been engaged, representing over 40,000 employees. CityAir employee walking campaigns have been very popular. Contact: Ruth Calderwood [email protected] In 2005 the London Borough of Croydon developed with the European Space Agency and Cambridge Environment Research Consultants an air quality forecasting service called 'airTEXT'. AirTEXT provides information on pollution levels in the borough using 'low', 'moderate' and 'high' bandings. Whenever moderate or high pollution levels are expected, subscribers to airTEXT receive a text message, call or voicemail. This enables recipients to respond, if necessary, for example by taking a different route/mode of transport to work, keeping their medication with them or not exercising outside on certain days. In 2012 a new airTEXT app was developed which provides information on four health-relevant alerts: UV, pollen, air quality and temperature. Currently around 10,000 people use the airTEXT service through text, Twitter or the website.
## Suggested Further Reading Links To Public Health Outcomes Framework
- GLA Local Authority Air Quality Guides - www.londonair.org.uk - www.comeap.org.uk - NICE Guidance PH41 Walking and
cycling: local measures to promote walking forms of travel or recreation
- Kilbane-Dawe (2012) 14 Cost Effective
Primary
3.1 Fraction of mortality attributable to particulate air pollution Additional (for example)
2.13 Proportion of physically active and inactive adults 1.14 The percentage of the population affected by noise Actions to Cut Central London Air Pollution
## Healthy Food
Access to healthy food is an important wider environmental determinant of health. Improving the food environment means enhancing the availability of affordable and nutritious food and recognising the relationship between the geography of food retailing and dietary patterns35. It also means considering of sustainable production, processing and delivery. Policy attention has focused on the role of local planning measures and the impact of large supermarkets, provision of food growing places, the physical environment and education on a healthy diet. Many factors influence the availability of healthy food. The predominance of unhealthy food and low income may interact with environmental factors to limit access. Access to healthy food can be measured through the following indicators: cost, quality, geography, mode of transportation, physical proximity and socio-economic variables. What is the impact on health? What is the evidence?
Reduced access to healthy food and the ready and cheap availability of unhealthy foods (such as fastfood and takeaway outlets) increases the risk of a diet based on high consumption of sugar, saturated fat and salt and low in vegetables and fruit36. This could lead to obesity, cardiovascular disease, type 2
diabetes and some cancers associated with obesity. The National Obesity Observatory estimated the cost to the UK economy of overweight and obesity to be £15.8 billion per year (2007). This has an impact on children as well as adults. Studies have also found that an increased density of fast food restaurants is directly related to increased Body Mass Index (mass index showing body fat based on height and weight) and that having a fast food outlet within 160m of a school is associated with a 5
per cent increase in obesity37.
The Newham Picture
Newham's adult obesity rate is 25 per cent. This is higher than the London average (21 per cent),
and the national average (24 per cent).38
Newham's obesity rate among primary school children (year 6) is 26 per cent. This is higher than
the national and London rates (19 and 23 per cent respectively).39
In 13 out of 37 Middle Super Output Areas (two darkest blue areas on map), 33-37 per cent of the
total population consume five portions of fruits and vegetables a day.40
17 per cent of Newham's population participate five times per week in physical activity for at least
30 minutes and nearly 46 per cent participate once a week.41
Model based consumption of fruit and vegetables in Newham by ward, 2006-8 LA population consuming five portions of fruits and vegetables a day.
Potential actions
- Developing schemes to promote local and easily accessible healthy food from retailers (for example
www.cieh.org/healthier-catering-commitment.html).
- Using planning controls to manage proliferation of fast-food outlets on high streets and near
schools.
- Promoting the GLA Healthy Schools London Awards Initiative (www.healthyschoolslondon.org.uk).
Healthy food choice in schools is recognised as a way to tackle obesity and chronic diseases caused by poor nutrition. This includes diet, education, and healthy meals provided at schools and accessible from nearby areas.
- Capital Growth (www.capitalgrowth.org) initiatives have the potential to promote community food
growing. These activities reconnect people to the food system, engages them in issues such as where their food comes from, seasonality, healthy eating, and food security.
- Procuring from local food suppliers and retailers, signed up to the Healthier Catering Commitment
Plan.
See also section on green spaces and surface flood risk.
Case Study: Fast-food Fix - LB Waltham Forest - Tackling the Takeaways: Making an Impact
-
Community engagement on 'takeaways' in the borough identified dissatisfaction with the number and location of 241 local hot food takeaways (HFT). This included schools, concerned that the proximity of HFTs to schools had a negative impact on healthy eating programmes.
-
A HFT corporate steering group was established to:
-
Ensure existing HFT businesses operated as responsibly as possible;
-
Develop strategies to tackle the wider social, environmental and economic issues associated with the proliferation of HFTs in the borough.
Achievements:
- Supplementary planning documents were developed restricting the opening of new HFT shops. So
far, 20 applications have been refused planning permission and only 4 HFTs have been given planning permission.
## - Hfts In The Borough Have Been Reduced From 241 To 194 Contact: Gordon Glenday, Head Of Planning Policy And Regeneration [email protected] Links To Public Health Outcomes Framework
Suggested further reading
NICE guidance: www.nice.org.uk Takeaways Toolkit (2012): see www.london.gov.uk District Action on Public Health:
http://districtcouncils.info/;
CIEH Food Policy, (2013): www.cieh.org Healthy People, Healthy Lives, (2011); Good planning for Good Food: see
## Primary: 2.11 Diet Additional (For Example): 2.6 Excess Weight In 4-5 And 10-11 Year Olds 2.12 Excess Weight In Adults 2.17 Recorded Diabetes
www.sustainweb.org/publications/?id=192
## Fuel Poverty
There are three factors that can result in fuel poverty, often in combination: low income, poor energy efficiency in homes and increasing energy prices. A household is now defined as 'fuel-poor' if its total income is below the poverty line (taking into account housing energy costs) and its energy costs are higher than typical for its household type.42 Data on fuel poverty is collected from the English Housing Survey Domestic Fuel Inquiry and published annually by the Department of Energy and Climate Change (DECC). More than 560,000 households in London are estimated to be spending more than ten per cent of their basic income on energy (the previous official definition of fuel poverty).43. Fuel poverty has the potential to have an adverse impact on children already in poverty as well as to increase the numbers of children living in poverty. Fuel poverty is also known to have an impact on well-being as indicated in self-reported well-being surveys.44
What is the impact on health? What is the evidence?
Fuel poverty can have a negative impact on health, especially on people with pre-existing medical conditions. Fuel poverty results in cold homes, exacerbating cardiovascular and respiratory conditions, rheumatoid arthritis and influenza, and negatively affects mental health.42 The effects of fuel poverty may be compounded by social isolation, poor emotional well-being, reduced mobility and poor diet. Cold homes are also known to affect cognitive performance. However, actual deaths are only one part of the problem. Age UK estimates the cost to the NHS of cold homes as £1.36 billion per year (not including additional costs to social services for subsequent care).45 The recent DECC fuel poverty framework attempts to monetise the health impacts of fuel poverty. It refers to a model estimating changes in people's health from the installation of energy efficiency measures (resulting from changes in the indoor temperature and pollutant exposure).46
Who might experience the greatest impact?
Fuel poverty affects vulnerable groups such as older people, the group most likely to suffer excess winter deaths. Children, people with disabilities and/or those living in deprivation are also at greater risk of suffering from the effects of fuel poverty as they often need to spend longer time indoors and require heating for longer periods of time. Additionally, private sector tenants are at significantly greater risk of encountering the worst housing quality and are also least likely to access support or feel empowered to do anything about the issue.
The Newham Picture
- The older population of Newham is projected to rise from 21,300 (2012) to 30,900 (2025) and
44,300 (2040). 47
- A Fuel Poverty Risk score has been developed. There are some stark disparities between wards with
Royal Docks achieving the 149th lowest risk score of all London wards but Canning Town North
being 603rd out of 625 wards and at significantly greater risk.
- No Newham wards are at low risk of fuel poverty and seventeen are at high risk according to the
fuel poverty risk indicator. On the positive side, three wards show significant improvement between
2006-2010.48
The Fuel Poverty Risk Index was developed by the London Assembly Health and Public Services Committee in their investigation into fuel poverty in London. It is calculated on the basis of twelve indicators across four sections: Housing Dwellings without central heating Uninsulated cavity walls Lofts with less than 150mm insulation Health Health Deprivation & Disability
domain (ID2010)
Standardised Mortality Ratio Incapacity benefit claimant rate Older people People aged 60 and over Older people claiming pension credit Worklessness Unemployment Poverty Income support claimant rate Child poverty rates Households classified 'fuel poor'
Source: GLA (2013) Fuel Poverty Risk Indicators Tool, available on London Datastore
## Potential Actions: The First Key Step To Any Intervention Is To Identify Vulnerable Areas/Individuals And Map The Extent Of The Problem. Vulnerable Individuals And Households Can Be Identified And Supported Through: - Close Collaboration With Third-Sector Organisations Which Are Working With Vulnerable
groups/isolated populations/people to refer or inform them of available support.
- Home energy improvements as a vital sustainable solution to fuel poverty. There are opportunities
through initiatives such as the Green Deal and Energy Company Obligation49. The Mayor's RE:NEW Programme support team50 can offer advice on funding, procurement and best practice to partner
with energy efficiency providers. In addition, the issue of overheating should be taken into account when implementing any energy efficiency works especially wall and loft insulation. Whilst take up of the Green Deal to date has not been significant, it remains an important delivery mechanism to reduce fuel poverty in London. (See section on overheating).
- Promoting collaboration between local authorities and private landlords in line with upcoming
energy efficiency legislation (2018 energy efficiency requirements51).
- Raising awareness of benefits entitlement and support through public health campaigns, working
with third sector organisations and the local community.
## Suggested Further Reading
See also section on overheating and air quality.
Case Study: Barts Health in Tower Hamlets - Reducing Fuel Poverty Barts Health has recently established a partnership project with British Gas and Global Action Plan that aims to reduce fuel poverty in Tower Hamlets. Hospital staff, GPs and community groups refer patients from vulnerable groups or those people living in hard-to-treat homes to the Energy Companies Obligation, supporting the installation of energy efficiency measures in low-income households. The project will train and support 40 health professionals (GPs, outpatient care staff and community nurses) plus community groups. The partnership initially aims to target 200 homes. The initiative is not just a referral mechanism but will raise awareness among vulnerable groups, medical practitioners and the wider community on what steps could be taken to address fuel poverty. Such an initiative could be linked with other seasonal health initiatives such as winter flu jab promotion. Contact: Fiona Daly, Barts Health NHS Trust, [email protected] Links to Public Health Outcomes Framework
- Marmot Review Team, 2011 - The Health Impacts of Cold Homes
and Fuel Poverty
Primary
1.17 Fuel poverty
Additional (for example)
1.1 Children in poverty
2.23 Self-reported well-being 4.15 Excess winter deaths
- Age UK, 2012 - The Cost of Cold - Hills, 2012, Getting the measure of fuel poverty - DECC, 2013, Helping-households-to-cut-their-energy-bills - DECC, 2013, Fuel Poverty, A Framework for future action. - London Assembly, 2012, In from the cold? Tackling fuel poverty
in London, GLA
## Overheating
What do we mean by overheating? How do we measure it?
Extreme weather events are more likely to be a factor affecting people's health in future years52.
Heatwaves, such as the one in the summer of 2003 which caused the death of 2000 people, could become more frequent (London had an excess mortality of 42%, compared to England of 17%). The Urban Heat Island (UHI) effect means that urban areas tend to be hotter than rural areas. This is due to increased absorption of the sun on concrete compared with green or brown spaces, reduced cooling from breezes due to buildings and increased heat production from houses, industry, businesses and vehicles. This is especially relevant for London with its densely built-up central boroughs and high concentration of traffic and people. The UHI effect is not universally experienced across the city as it relates to availability of green space/water bodies, building density, amount of traffic and energy consumption. However there are particularly vulnerable spots in each borough, as well as vulnerable people across areas. (See maps below). When considering London as a whole, the costs associated with overheating mortality are expected to be around £7-78 million in the 2030s (473-712 heatattributable deaths); by the 2050s, this could rise to £13-149 million (1200-1838 heat-attributable deaths).53
What is the impact on health?
Overheating54 can cause heat strokes, exacerbates existing cardiovascular and respiratory conditions and affects people with respiratory conditions due to a combination of overheating and poor air quality. A heatwave can also affect mental health with peak suicide and homicide rates reported during previous heatwaves in the UK. Research has shown a direct link between a temperature rise to more than 24˚C and risk of death.55 Additionally, people may suffer from heat-related illnesses, such as heat cramps, heat rash and heat syncope (fainting as a result of overheating). Overheating may lead to dehydration, especially in older people, and there is a strong link between high temperatures, dehydration and blood stream infections, also particularly in older people.56
Who will experience the greatest impact?
Certain housing conditions (older and small top floor, purpose built flats because of the low solar protection offered by the top floor of poorly insulated flats; and newly constructed houses not suitably designed for extreme heat events and the quality of the built environment could potentially contribute to the overheating of an environment. Certain groups such as children have less efficient body cooling mechanisms and are therefore at greater risk. Similarly, the body's thermoregulatory mechanisms could be impaired in older people and those with chronic health conditions. Those considered vulnerable to overheating may not always perceive themselves to be at risk. Simple measures to reduce the negative impacts of overheating are not always implemented which could place these groups at even greater risk.
The Newham Picture The map below shows temperature differences across the borough and also shows the effects of existing infrastructure and green space on overheating risk. Combined with data on vulnerable populations, this will provide a more precise picture of the biggest risk areas. 2010).
London Average Screen Temperatures in degrees Celsius for the period 26 May-19 July 2006 Equal count mapping method: each interval; contains 7% of the total number of grid points
Potential actions:
The NHS Heatwave Plan for England 2013 suggests actions to mitigate and/ or ameliorate some of the effects of future heatwaves and hot weather.57 Short term actions include:
Modifying surface properties and integrating green infrastructure, for example, 'cool roofs', 'green
roofs' and 'cool pavements' (paving materials that tend to reflect, provide cooler surfaces and increase water evaporation ratio).
Planting trees and vegetation and creating green spaces to enhance evaporation and shading,
(temperatures in and around green spaces can be several degrees lower than their surroundings). The development of 'green spaces' can not only help to alleviate the impact of the UIH effect but has been shown to have other positive health benefits such as improving mental health and wellbeing. Increasing green infrastructure also improves air quality.
Insulating homes. This protects against hot weather as well as reducing heating needs in the
winter.
Introducing an active transport plan or car-sharing schemes. These will reduce numbers of vehicles
used leading to improvements in air quality, whist promoting healthy living.
Using reflective paint on south-facing walls and roofs.
- Taking fuel poverty into account when implementing any energy efficiency works.
- Considering using the planning process to influence planning decisions on housing and commercial
properties' heat thresholds.
- Retrofitting public buildings with energy-saving technology - including low-energy lighting and
high-efficiency boilers. This presents one of a number of opportunities to improve on infrastructure, growth and support local job creation.
The Plan makes the case for a medium term (10–30 years) and long term approach (30+ years). See also section on fuel poverty and air quality.
Case Study: London Borough of Islington and the CRISP Project CRISP is a joint project between Islington Council and North London Cares that took place in the beginning of 2013. Research among residents aged 65+ concluded that the majority of elderly people did not take hot weather issues as seriously as cold weather issues. Although levels of information were generally found to be good, there were some everyday actions being taken that might exacerbate the risk of overheating. The project identified the need for a widespread information campaign on proper use of windows, curtains and fans. The research identified challenges of communicating information about overheating. The findings and recommendations will inform Islington's Council Seasonal Resilience Plan and the work of the Seasonal Health Interventions Network (SHINE). Contact: John Kolm-Murray, Islington Council [email protected] Links to Public Health Outcomes Framework
## Suggested Further Reading
NHS Heatwave Plan for England
RE:FIT is the Mayor of London's innovative scheme to reduce
carbon emissions in Greater London, www.refit.org.uk
GLA (2011) London Climate Change Adaptation Strategy London Climate Change Partnership (2012) Heat Thresholds
Project: Final Report
Built Infrastructure for Older People in Conditions of Climate
Change (BIOPICCC)
Design and Delivery of Robust Hospital Environments in a
Changing Climate (De2RHECC)
Primary:
3.7 Comprehensive, agreed inter-agency plans for responding to public health incidents and emergencies Additional (for example)
3.6 Public sector organisations with a board-approved sustainable development management plan
## References
1Centre for Disease Control and Prevention (CDC), 2013,from CDC (USA);
www.cdc.gov/about/history/tengpha.htm
2 Evidence demonstrating links between access to green spaces and health:
Coombes, E., Jones, A P, & Hillsdon, M. (2010). The relationship of physical activity and overweight to objectively measured green space accessibility and use. *Social science & medicine*, 70(6), 816-822; Maas, J., Verheij, R. A.,et al (2006). Green space, urbanity, and health: how strong is the relation? Journal of epidemiology and community health, 60(7), 587-592;
Nielsen, T. S., & Hansen, K. B. (2007). Do green areas affect health? Results from a Danish survey on the use of green areas and health indicators. *Health & place*, 13(4), 839-850; Schipperijn, J., Bentsen, P et al (2013). Associations between physical activity and characteristics of urban green space. *Urban Forestry & Urban Greening*, 12(1), 109-116. Mitchell, R., & Popham, F. (2008). Effect of exposure to natural environment on health inequalities: an observational population study. The Lancet, 372(9650), 1655-1660.
3MENE Survey evidencing frequency, mode and motivation in access to Green Space, (2012-2013), from Natural England www.naturalengland.org.uk/ourwork/research/mene.aspx
4Local access to public open spaces, taken from Access to Public Open Space, (2012), London Data Store http://data.london.gov.uk/datastore/package/access-public-open-space-and-nature-ward ;
5Survey showing number of people participating in sport in local communities, taken from Active People Survey (2013), Sport England www.sportengland.org/research/active_people_survey.aspx
6 Use of small public urban green spaces and health benefits, Peschardt, K. K., Schipperijn, J., & Stigsdotter, U. K. (2012) Use of small public urban green spaces (SPUGS). *Urban Forestry & Urban Greening*, 11 (3), 235-244
7 Physical Activity and the Environment, taken from "Marmot Review (2010) Fair Society, Healthy Lives";
NICE (2008). Physical activity and the environment., PH Guidance 8
12GLA All London Green Grid Supplementary Planning Guidance ,(2012) taken from, www.london.gov.uk/priorities/planning/publications/all-london-green-grid-spg; Datasets to support this guidance, taken fromwww.gigl.org.uk/Ourdatasets/Openspace/tabid/117/Default.aspx;
13 Green flag award system for green spaces, taken from Keep Britain Tidy, http://greenflag.keepbritaintidy.org/
14 Southwark Council outdoor gym, taken from www.southwark.gov.uk/info/200435/free_outdoor_activities/2611/outdoor_gyms/1
15 Burgess Park regeneration project July 2012, taken from www.southwark.gov.uk/news/article/792/burgess_park_to_reopen_after_8_million_transformation)
16 London Travel Demand Survey (LTDS),2011,taken from Transport for London, Travel in London, Supplementary Report: ,www.tfl.gov.uk
17 Evidence demonstrating link between transport and health, March 2013, Keeping well in hard times:
Protecting and improving health & well-being in an income shortfall: taken from, London Health Inequalities Network.
18 Link between heavily trafficked streets and health impacts, 2005, taken from Health Development Agency Making the case: Improving health through transport.
19 Data showing physical activity rates in London, 2010, taken from Public Health England: Physical Activity in London: Key Facts. www.lho.org.uk/LHO_Topics/Health_Topics/Lifestyle_and_Behaviour/PhysicalActivity.aspx
20 Link between active travel and health, 2012, taken from British Medical Association, Healthy Transport=
Healthy Lives, BMA,www.bma.org.uk
21 Analysis of cycling potential, 2010, taken from Transport for London, December Analysis of Cycling Potential, Travel in London, www.tfl.org.uk
22 Report showing negative impacts of transport in London, 2011, taken from Mackett, R.L. & Brown, R. ;
Transport, Physical Activity and Health. Present knowledge and the way around. Centre for Transport Studies, University College London, www.cege.ucl.ac.uk
23 Number of travel trip by each modal share, 2011, taken from London Travel Demand Survey. Transport for London, www.tfl.org.uk
24 Reported road casualties in Great Britain, annual report 2011, taken from www.gov.uk
25 Most heavily vehicular used roads, 2000-2012, taken from Traffic Statistics, Department of Transport
26 The Mayor's proposed cycle superhighways for London, 2013, taken from Mayor's Vision for Cycling, GLA, www.tfl.gov.uk
27 Hackney's case study showing cycling promoting measures, 2013, taken from London Borough of Hackney Sample of Schemes for cycling & public realm. www.hackney.gov.uk (
28 Surface Water Management Plan (SWMP), 2010, taken from, Technical Guidance. DEFRA
www.defra.gov.uk
29 London Regional Flood Risk Appraisal, October 2009, taken from GLA, ; , www.london.gov.uk
30 Overall strategic plan for London, the London Plan, 2011, taken from GLA, www.london.gov.uk
31 Secondary impact of floods on health, 2013, World Health Organisation ; Floods in the WHO European Union, Health effects and their prevention. Edited by Bettina Menne and Virginia Murray, taken from Public Health England's website, www.gov.uk/government/organisations/public-health-england
32 Effects of floods on mental health, 2011, taken from Murray, V, Caldin et al (2011); The Effects of Floods on Mental Health, Health Protection Agency,www.hpa.org.uk
33 www.phoutcomes.info
34 https://www.gov.uk/green-deal-energy-saving-measures/how-the-green-deal-works 35Access to healthy food, taken from, White (2007), Food Access and Obesity, *Obesity reviews*, 8 (s1), 99-
107. ; Chartered Institute for Environment and Health, 2013, taken from Chartered Institute for Environment and Health Food Policy: http://cieh.org/.
36 Takeaways Toolkit, 2012, taken from, London Food Board and Chartered Institute of Environmental Health
http://www.london.gov.uk/priorities/environment/promoting-healthy-sustainable-food/londonboroughs/takeaways-toolkit;
37 Effect of fast food restaurants on obesity and weight gain, taken from, Currie, J., Vigna, SD et al (2010), The effect of fast food restaurants on obesity and weight gain. American Economic Journal: Economic Policy, 32-63.
42 New Fuel Poverty Definition 2013, taken from Department of Energy and Climate Change (DECC), taken from Fuel Poverty, A Framework for future action. www.decc.gov.uk
43Tackling fuel poverty in London 2012, taken from GLA - London Assembly In from the cold?
www.london.gov.uk
44 Fuel poverty impact on wellbeing, 2011, taken from, Marmot Review Team, The Health Impacts of Cold Homes and Fuel Poverty, www.gov.uk/government/organisations/public-health-england
45 Cost of fuel poverty to the NHS, 2012, taken from AgeUK, The Cost of Cold www.ageuk.org.uk/latestnews/archive/cold-homes-cost-nhs-1-point-36-billion
52 Heatwave Plan 2013, taken from Public Health England, Making the case: the impact of heat on health -
now and in the future www.gov.uk/government/organisations/public-health-england
53 Potential costs of overheating including data, 2013, taken from Department for Environment, Food and Rural Affairs, The Economics of Climate Resilience: Health and Well-being Theme CA0401 www.defra.gov.uk
54 Overheating and health, 2011, taken from Health Protection Agency, Overheating and health: a review into the physiological response to heat and identification of indoor heat thresholds www.hpa.org.uk/webc/HPAwebFile/HPAweb_C/1317133912939
55Association of mortality with high temperatures in a temperate climate: England and Wales, Armstrong et al. (2010) Association of mortality with high temperatures in a temperate climate: England and Wales, Journal of Epidemiology and Health, vol.65:4, 340-345
56 Heatwave Plan 2013, taken from Public Health England, Making the case: the impact of heat on health -
now and in the future www.gov.uk/government/organisations/public-health-england
57 Heatwave Plan 2013, taken from Public Health England, Making the case: the impact of heat on health -
now and in the future www.gov.uk/government/organisations/public-health-england
## Further Reading
Local Authorities' strategies (e.g. Planning, Transport) are monitored on an annual basis and
PHOF indicators may be relevant additions to these strategies and a way of spreading a public health approach across the Council: www.phoutcomes.info provides useful borough summaries for this approach.
The Index of Multiple Deprivation (IMD) highlights the impact of wider environmental
determinants most adversely on those in more deprived areas: www.gov.uk/government/organisations/department-for-communities-and-localgovernment/series/english-indices-of-deprivation
Public Health has an important role in reminding other departments about health inequalities
and intra borough inequalities. Basic summaries can be found at: www.apho.org.uk/?QN=P_HEALTH_PROFILES
The local authority planning process offers the opportunity to mainstream some of these
issues through planning guidance. The Town & Country Planning Association offers a useful guide: www.tcpa.org.uk/data/files/TCPA_FINAL_Reuniting-health-planning.pdf
The NHS London Healthy Urban Development Unit www.healthyurbandevelopment.nhs.uk
and their Watch Out for Health Checklist and the Health Impact Assessment Gateway http://www.apho.org.uk/default.aspx?QN=P_HIA offers useful insight across many fields including regeneration, social infrastructure planning, housing, policy development, planning advocacy and negotiations, planning obligations, development management, master planning, environmental and health impact assessment.
Some themes in this Guide, for example, (food, fuel poverty, active travel) are addressed in
Keeping Well in Hard Times hwww.lho.org.uk/Download/Public/17975/1/Keeping per cent20well per cent20in per cent20hard per cent20times.pdf
There is a useful guide for developers on maximising environmental benefits at:
www.environment-agency.gov.uk/research/planning/147852.aspx
Effect of exposure to natural environment on health inequalities: an observational population
study http://eprints.gla.ac.uk/4767/1/4767.pdf
Great Outdoors: How Our Natural Health Service Uses Green Space To Improve Wellbeing
www.fph.org.uk/uploads/bs_great_outdoors.pdf
## Public Health Outcomes Framework Mapping Environmental Determinants To The 2013-2016 Public Health Outcomes Framework
| Primary | Improvements or worsening will have a direct impact on the indicator | |
|-------------|-------------------------------------------------------------------------|-----|
| Secondary | Improvements or worsening may have an impact on this indicator | |
| | AQ - Air Quality | AT - Active Travel and Transport | GS - Access to Green Space |
|-----------------------|-------------------------|--------------------------------------|------------------------------------|
| FR - Surface Flooding | | OH - Overheating | FP - Fuel Poverty |
| HF - Healthy Food | | | |
| AQ AT | GS | FR | OH HF | FP | Domain 1 |
|--------------------------------------------------------|-------|-------|----------|-------|--------------|
| Improving the wider determinants of health | | | | | |
| | | | | | |
| 1.1 Children in poverty | | | | | |
| 1.2 School readiness | | | | | |
| 1.3 Pupil absence | | | | | |
| 1.4 First time entrants to the youth justice system | | | | | |
| | | | | | |
| training | | | | | |
| | | | | | |
| secondary mental health services who live in stable | | | | | |
| and appropriate accommodation | | | | | |
| | | | | | |
| significant mental illness | | | | | |
| | | | | | |
| conditions including adults with a learning disability | | | | | |
| or who are in contact with secondary mental health | | | | | |
| services | | | | | |
| 1.9 Sickness absence rate | | | | | |
| | | | | | |
| England's roads | | | | | |
| 1.11 Domestic abuse | | | | | |
| 1.12 Violent crime (including sexual violence) | | | | | |
| 1.13 Re-offending levels | | | | | |
| | | | | | |
| noise | | | | | |
| 1.15 Statutory homelessness | | | | | |
| | | | | | |
| reasons | | | | | |
| 1.17 Fuel poverty | | | | | |
| 1.18 Social isolation | | | | | |
| 1.19 Older people's perception of community safety | | | | | |
| Primary | Improvements or worsening will have a direct impact on the indicator | |
|-------------|-------------------------------------------------------------------------|-----|
| Secondary | Improvements or worsening may have an impact on this indicator | |
| | AQ - Air Quality | AT - Active Travel and Transport | GS - Access to Green Space |
|-------------------------------------------------------|-------------------------|-------------------------------------|------------------------------------|
| FR - Surface Flooding | | OH - Overheating | FP - Fuel Poverty |
| HF - Healthy Food | | | |
| | | | |
| Domain 2 | | | |
| Health Improvement | | | |
| | | | |
| | | | |
| 2.1 Low birth weight of term babies | | | |
| 2.2 Breastfeeding | | | |
| 2.3 Smoking status at time of delivery | | | |
| 2.4 Under 18 conceptions | | | |
| 2.5 Child development at 2-21/2 years | | | |
| 2.6 Excess weight in 4-5 and 10-11 year olds | | | |
| 2.7 Hospital admissions caused by unintentional and | | | |
| deliberate injuries in under 18s | | | |
| 2.8 Emotional well-being of looked after children | | | |
| 2.9 Smoking prevalence - 15 year olds | | | |
| 2.10 Self-harm | | | |
| 2.11 Diet | | | |
| 2.12 Excess weight in adults | | | |
| 2.13 Proportion of physically active and inactive | | | |
| adults | | | |
| 2.14 Smoking prevalence - adults (over 18s) | | | |
| 2.15 Successful completion of drug treatment | | | |
| 2.16 People entering prison with substance | | | |
| dependence issues who are previously not known to | | | |
| community treatment | | | |
| 2.17 Recorded diabetes | | | |
| 2.18 Alcohol-related admissions to hospital | | | |
| 2.19 Cancer diagnosed at stage 1 and 2 | | | |
| 2.20 Cancer screening coverage | | | |
| 2.21 Access to non-cancer screening programmes | | | |
| 2.22 Take up of the NHS Health Check programme - | | | |
| by those eligible | | | |
| 2.23 Self-reported well-being | | | |
| 2.24 Injuries due to falls in people aged 65 and over | | | |
| | | | |
| | | AQ AT | GS | FR | OH HF | FP |
|----|----|----------|-------|-------|----------|-------|
| | | | | | | |
| | | | | | | |
| | | | | | | |
| | | | | | | |
| Primary | Improvements or worsening will have a direct impact on the indicator | |
|-------------|-------------------------------------------------------------------------|-----|
| Secondary | Improvements or worsening may have an impact on this indicator | |
| AQ - Air Quality | AT - Active Travel and Transport | GS - Access to Green Space |
|-----------------------------------------------------------|-------------------------------------|------------------------------------|
| OH - Overheating | FP - Fuel Poverty | FR - Surface |
| Flooding | | |
| HF - Healthy Food | | |
| | | |
| Domain 3 | | |
| Health Protection | | |
| | | |
| 3.1 Fraction of mortality attributable to particulate air | | |
| pollution | | |
| 3.2 Chlamydia diagnoses (15-24 year olds) | | |
| 3.3 Population vaccination coverage | | |
| 3.4 People presenting with HIV at a late stage of | | |
| infection | | |
| 3.5 Treatment completion for Tuberculosis (TB) | | |
| 3.6 Public sector organisations with a board approved | | |
| sustainable development management plan | | |
| 3.7 Comprehensive, agreed inter-agency plans for | | |
| responding to public health incidents and emergencies | | |
| | | |
| Domain 4 | | |
| Healthcare public health and preventing | | |
| premature mortality | | |
| | | |
| 4.1 Infant mortality | | |
| 4.2 Tooth decay in children aged 5 | | |
| 4.3 Mortality rate from causes considered preventable | | |
| 4.4 Under 75 mortality rate from all cardiovascular | | |
| diseases (including heart disease and stroke) | | |
| 4.5 Under 75 mortality rate from cancer | | |
| 4.6 Under 75 mortality rate from liver disease | | |
| 4.7 Under 75 mortality rate from respiratory diseases | | |
| 4.8 Mortality rate from infectious and parasitic | | |
| diseases | | |
| 4.9 Excess under 75 mortality rate in adults with | | |
| serious mental illness | | |
| 4.10 Suicide rate | | |
| 4.11 Emergency readmissions within 30 days of | | |
| discharge from hospital | | |
| 4.12 Preventable sight loss | | |
| 4.13 Health-related quality of life for older people | | |
| 4.14 Hip fractures in people aged 65 and over | | |
| 4.15 Excess winter deaths | | |
| 4.16 Estimated diagnosis rate for people with | | |
| dementia | | |
| | | |
| AQ | AT | GS | FR | OH | HF | FP |
|-------|-------|-------|-------|-------|-------|-------|
| | | | | | | |
| | | | | | | |
| | | | | | | |
| | | | | | | |
| AQ | Tr | GS | FR | OH | HF | FP |
| | | | | | | |
| | | | | | | |
| | | | | | | |
| | | | | | | |
| | | | | | | |
Participation in Physical
Green Space Access Deficiency (% value
Activity % per week - Adult
Obesity Prevalence
Adult Obesity
per Ward)
Obesity -
Borough Green Space Surface
Total Ward N.
Ward with Access Deficiency
% Households
1 time a week
5 times per week
LA
London
England
Barking & Dagenham
33.6
17.0
4.0
over 50%
45.1
15.4
28.7
Barnet
41.3
21.0
4.0
over 40%
54.9
17.6
17.9
Bexley
31.7
21.0
4.0
over 40%
60.8
20.0
26.4
Brent
21.9
21.0
4.0
over 40%
49.4
16.3
21.2
Bromley
57.8
22.0
2.0
over 50%
62.4
21.1
21.8
Camden
24.8
18.0
5.0
over 50%
65.1
26.0
15.5
City of London
4.8
0.0
0.0
1.0
52.8
28.7
City of Westminster
21.5
20.0
4.0
over 50%
59.3
25.4
15.0
20.7
24.2
Croydon
37.1
24.0
7.0
over 50%
58.9
19.8
24.3
Ealing
30.9
23.0
6.0
over 50%
48.2
14.6
18.1
Enfield
45.6
21.0
8.0
over 50%
50.7
18.6
23.2
Greenwich
34.4
17.0
1.0
over 40%
55.4
19.5
22.6
Hackney
23.2
19.0
5.0
over 40%
58.9
24.0
22.6
Hammersmith & Fulham
19.1
16.0
5.0
over 50%
66.4
27.6
15.6
Haringey
25.5
19.0
6.0
over 40%
54.9
17.7
20.1
Harrow
34.6
21.0
8.0
over 50%
51.7
17.1
19.2
Havering
59.3
18.0
7.0
over 50%
52.5
16.4
27.3
Participation in Physical
Green Space Access Deficiency (% value
Activity % per week - Adult
Obesity Prevalence
Adult Obesity
per Ward)
Obesity -
Borough Green Space Surface
Total Ward N.
Ward with Access Deficiency
% Households
1 time a week
5 times per week
LA
London
England
Hillingdon
49.2
22.0
2.0
over 50%
48.9
14.1
23.2
Hounslow
39.6
20.0
5.0
over 40%
52.4
17.8
20.5
Islington
12.4
16.0
4.0
over 50%
61.3
22.4
18.0
Kensington & Chelsea
15.1
18.0
1.0
over 50%
63.5
21.5
13.9
Kingston upon Thames
36.4
16.0
5.0
over 50%
61.2
23.1
16.7
Lambeth
17.3
21.0
7.0
over 50%
62.0
30.2
20.7
20.7
24.2
Lewisham
22.5
18.0
3.0
over 40%
56.4
21.3
23.7
20.7
24.2
Merton
34.6
20.0
3.0
over 40%
55.0
17.5
19.1
20.7
24.2
Newham
23.9
20.0
9.0
over 50%
45.7
17.3
25.3
20.7
24.2
Redbridge
40.6
21.0
5.0
over 40%
54.5
19.4
22.3
20.7
24.2
Richmond upon Thames
50.8
18.0
1.0
over 50%
69.3
27.4
14.9
20.7
24.2
Southwark
24.9
20.0
7.0
over 50%
59.5
19.5
22.5
20.7
24.2
Sutton & Merton
32.0
18.0
4.0
over 50%
64.2
19.7
21.6
20.7
24.2
Tower Hamlets
15.2
17.0
5.0
over 50%
55.9
19.7
19.4
20.7
24.2
Waltham Forest
31.4
20.0
8.0
over 40%
56.2
20.3
23.4
20.7
24.2
Wandsworth
26.9
20.0
2.0
over 50%
66.4
26.9
15.0
20.7
24.2
## Active Travel And Transport Data
| | Number of | Annual Casualties on |
|----------------------|-------------------------------------------------|-------------------------|
| | 'Travels per | the Road, 2005- |
| day' (000's) | 2009 average | |
| Barking & Dagenham | | |
| 280 | 604 | 1 |
| Barnet | | |
| 769 | 1,344 | 3 |
| Bexley | | |
| 357 | 644 | -12 |
| Brent | | |
| 592 | 918 | -2 |
| Bromley | | |
| 691 | 929 | -6 |
| Camden | | |
| 744 | 902 | 3 |
| City of London | | |
| 262 | 369 | 11 |
| Croydon | | |
| 720 | 1,208 | 2 |
| Ealing | | |
| 633 | 1,155 | -15 |
| Enfield | | |
| 594 | 1,033 | 7 |
| Greenwich | | |
| 428 | 919 | 1 |
| Hackney | | |
| 404 | 948 | -8 |
| Hammersmith & Fulham | 494 | 745 |
| Haringey | | |
| 483 | 830 | 10 |
| Harrow | | |
| 422 | 534 | -21 |
| Havering | | |
| 477 | 903 | -10 |
| Hillingdon | | |
| 563 | 1,028 | -8 |
| Hounslow | | |
| 488 | 959 | 4 |
| Islington | | |
| 486 | 742 | 33 |
| Kensington & Chelsea | | |
| 472 | 818 | -2 |
| Kingston upon Thames | | |
| 378 | 430 | 3 |
| Lambeth | | |
| 614 | 1,234 | 6 |
| Lewisham | | |
| 476 | 968 | 10 |
| Merton | | |
| 431 | 522 | -2 |
| Newham | | |
| 590 | 1,014 | -10 |
| Redbridge | | |
| 524 | 866 | 9 |
| Richmond upon Thames | | |
| 447 | 486 | 7 |
| Southwark | | |
| 582 | 1,137 | 0 |
| Sutton | | |
| 393 | 576 | -7 |
| Tower Hamlets | | |
| 561 | 977 | -3 |
| Waltham Forest | | |
| 387 | 865 | -6 |
| Wandsworth | | |
| 621 | 925 | 14 |
| Westminster | | |
| 1168 | 1,695 | -3 |
| Average | | |
| 531 | 886 | |
| Source | | |
| London Travel | | |
| Demand Survey | Reported Road Casualties, Great Britain, gov.uk | |
% Change
2005-2009 to
Average Fatalities
Number of
2011
2005-2009
Vehicles
6
95634
## Air Quality Data
Fraction (%) of mortality attributable to long term exposure to PM2.5
Rank
Barking & Dagenham
7.1
14
27%
3
Barnet
6.8
10
21%
15
Bexley
6.6
7
18%
1
Brent
7.2
17
29%
6
Bromley
6.3
1
13%
1
Camden
7.7
24
38%
5
City of London
9
33
61%
2
Croydon
6.5
5
16%
5
Ealing
7.2
17
29%
5
Enfield
6.6
7
18%
10
Greenwich
7.2
17
29%
7
Hackney
7.8
26
39%
8
Hammersmith and Fulham
7.9
27
41%
5
Haringey
7.1
14
27%
9
Harrow
6.4
3
14%
5
Havering
6.3
1
13%
3
Hillingdon
6.5
5
16%
8
Hounslow
7.1
14
27%
10
Islington
7.9
27
41%
3
Kensington and Chelsea
8.3
31
48%
3
Kingston upon Thames
6.7
9
20%
2
Lambeth
7.7
24
38%
9
Lewisham
7.2
17
29%
9
Merton
6.9
12
23%
4
Newham
7.6
23
36%
6
Redbridge
7
13
25%
4
Richmond upon Thames
6.8
10
21%
4
Southwark
7.9
27
41%
7
Sutton
6.4
3
14%
3
Tower Hamlets
8.1
30
45%
6
Waltham Forest
7.3
21
30%
7
Wandsworth
7.3
21
30%
4
Westminster
8.3
31
48%
8
Source:
% different from UK average
Number of Air Quality Focus Areas
## Table 4 Healthy Food Data
Childhood
Adult
Participation in Physical
Obesity
% Consumption of 5 portions of fruits and
Obesity
Activity % per week
Prevalence (6yrs
vegetables a day
Prevalence
old)
LA
Once a week
5 times per week
LA
Total MSOA N.
Areas (MSOA) with highest % of consumption
% Intervals
Barking & Dagenham
28.7
45.1
15.4
22
8
(25.40 - 31.20)
Barnet
17.9
54.9
17.6
41
16
(43.90 - 56-10)
Bexley
26.4
60.8
20
28
10
(31.20 - 37.20)
Brent
21.2
49.4
16.3
34
13
(38.20 - 45.30)
Bromley
21.8
62.4
21.1
39
15
(27.20 - 45.30)
Camden
15.5
65.1
26
28
10
(44.60 - 55.10)
City of London
52.8
28.7
48
City of Westminster
15
59.3
25.4
24
10
(48.60 - 52.10)
Croydon
24.3
58.9
19.8
44
17
(35.50 - 48.8)
Ealing
18.1
48.2
14.6
39
15
(41.10 - 55.40)
Enfield
23.2
50.7
18.6
36
14
(33.90 - 41.90)
Greenwich
22.6
55.4
19.5
32
12
(32.70 - 42.20)
Hackney
22.6
58.9
24
27
10
(34.90 - 41.60)
Hammersmith & Fulham
15.6
66.4
27.6
25
10
(41.70 - 48.20)
Haringey
20.1
54.9
17.7
36
14
(39.20 - 48.00)
Harrow
19.2
51.7
17.1
31
12
(39.70 - 47.60)
Havering
27.3
52.5
16.4
30
12
(30.80 - 37.30)
Hillingdon
23.2
48.9
14.1
32
12
(34.20 - 45.40)
Hounslow
20.5
52.4
17.8
28
10
(36.90 - 47.20)
Islington
18
61.3
22.4
23
7
(27.60 - 40.80)
Kensington & Chelsea
13.9
63.5
21.5
21
8
(50.70 - 54.30)
Kingston upon Thames
16.7
61.2
23.1
20
8
(41.90 - 49.40)
Lambeth
20.7
62
30.2
35
13
(36.00 - 42.90)
Lewisham
23.7
56.4
21.3
36
14
(36.00 - 42.90)
Merton
19.1
55
17.5
25
10
(41.40 - 55.40)
Newham
25.3
45.7
17.3
37
13
(32.60 - 36.60)
Redbridge
22.3
54.5
19.4
33
12
(35.50 - 43.30)
Richmond upon Thames
14.9
69.3
27.4
23
8
(44.70 - 48.30)
Southwark
22.5
59.5
19.5
33
11
(37.50% - 43.30)
Sutton
21.6
64.2
19.7
24
9
(35.20 - 44.30)
Tower Hamlets
19.4
55.9
19.7
31
12
( 29.70 - 42.90)
Waltham Forest
23.4
56.2
20.3
28
10
(33.70 - 37.40)
Wandsworth
15
66.4
26.9
37
15
(42.30 - 46.80)
Average
20.6
57.0
20.7
30.7
11.6
48.0
London
20.7
22.53
England
24.2
19.2
Source
Health Needs Assessment Toolkit
National Obesity Observatory (2010-2011)
Health Needs Assessment Toolkit
## Table 5 Fuel Poverty Data
Excess winter deaths 2010/11
Population Aged 65
Households in privatelyrented 2011
Percentage in privately-rented 2011
2012
2025
2040 Barking and Dagenham
60
19,700
24,700
35,900
17,000
22.9
Barnet
90
49,400
65,600
88,100
28,000
20.5
Bexley
90
38,500
45,100
56,300
10,000
10.9
Brent
40
33,800
46,300
61,100
26,000
29.2
Bromley
190
54,200
64,200
79,500
17,000
12.6
Camden
70
24,800
30,200
39,300
29,000
26.8
City of London
10
1,100
1,700
2,800
1,000
8.6
Croydon
70
46,200
61,200
84,100
19,000
13.9
Ealing
90
37,500
49,000
65,300
29,000
24.3
Enfield
150
40,000
49,900
64,300
27,000
22.7
Greenwich
70
27,300
38,200
54,100
18,000
19.7
Hackney
30
17,900
23,900
34,500
21,000
22.8
Hammersmith and Fulham
40
16,900
20,200
26,100
21,000
26.4
Haringey
60
23,000
29,000
38,600
20,000
23.3
Harrow
60
34,800
43,700
50,000
18,000
22.2
Havering
130
44,000
53,800
64,600
10,000
9.4
Hillingdon
120
36,400
44,300
56,100
21,000
19.8
Hounslow
110
27,800
35,500
45,900
25,000
27.9
Islington
30
18,400
22,500
31,000
22,000
24.2
Kensington and Chelsea
50
20,100
26,600
33,500
18,000
23.0
Kingston upon Thames
70
21,100
26,600
34,100
16,000
22.6
Lambeth
60
23,700
31,200
45,600
29,000
23.2
Lewisham
90
26,600
32,100
44,800
25,000
21.7
Merton
60
23,800
29,800
39,800
19,000
24.4
Newham
70
21,300
30,900
44,300
29,000
35.4
Redbridge
80
34,300
41,200
51,400
25,000
25.8
Richmond upon Thames
40
26,500
33,100
42,000
17,000
21.5
Southwark
90
22,900
30,200
43,500
29,000
22.4
Sutton
60
28,600
34,500
44,100
14,000
16.9
Tower Hamlets
40
15,800
20,600
31,200
32,000
33.9
Waltham Forest
110
26,500
34,600
48,100
24,000
26.6
Wandsworth
150
27,700
33,000
43,600
41,000
34.6
Westminster
20
25,200
30,400
39,400
44,000
35.9
75.8
28357.6
35872.7 47363.6
22454.5
22.9 Source:
## Acknowledgements
Project Team-Responsible for project management, project delivery and writing the guides:
Annette Figueiredo- Principal Policy & Programme Officer, Resilience and Quality of Life Team-GLA; Jason Strelitz, Public Health Specialist, GLA Alena Ivanova; Elena Guidorzi; Joe Parsons- MA/MSc postgraduate students-University of London, Kings College, GLA work placements Dr Angie Bone-Consultant in Public Health Medicine, Extreme Events and Health Protection, Public Health England The Project Team would like to thank everyone who has been involved in the project and contributed to the production of the guides. Particular thanks go to:
GLA Staff
Helen Walters, Head of Health Alex Nickson, Policy & Programmes Manager, Resilience and Quality of Life Team Peter Massini, Principal Policy & Programme Officer, Resilience and Quality of Life Team Lucy Saunders, Public Health Specialist, Health Team Jonathan Pauling, Principal Policy Officer, Food, Economic & Business Policy Team Mark Ainsbury, Senior Policy Officer, Food, Economic & Business Policy Team Elliot Treharne, Principal Policy & Programme Officer, Resilience and Quality of Life Team Liz Prosser, Senior Project Officer, Healthy Schools London, Health Team Kat McKinlay, Policy Officer, Transport Team Gareth Baker, GIS Officer, GIS and Infrastructure Team Michael Jeffreys. GIS Officer, GIS and Infrastructure Team Alison Murray, Programme Officer, Regeneration Team Emma Williamson, Principal Strategic Planner, Planning Team Susan Pape, Internal Communications Officer, HR & Organisational Development, Communications Team Una Buckley, Employee Engagement Manager, HR & Organisational Development Charlotte Hall, Health Inequalities Programme Leader, Health Team Larissa Bulla, Principal Policy & Programme Officer, Energy & Waste Team Kevin Reid, Principal Policy & Programme Officer, Resilience and Quality of Life Team Rebecca Roper, Childhood Obesity and Health Team Support Officer, Health Team GLA Design Team Other Colleagues Alex Trouton, Policy and Information Officer, Lambeth and Southwark Public Health Department Jonathan Hiderbrand, Director of Public Health, London Borough of Kingston Caroline Hancock, Senior Public Health Analyst - Public Health England Thomas Abeling, PhD Researcher, UNITED NATIONS UNIVERSITY, Institute for Environment and Human Security (UNU,EHS) Paul James, Director of the United Nations Global Compact, Cities Programme John Kolm-Murray, Seasonal Health Officer, Islington Council Fiona Daly - Environmental Manager, Barts Health NHS Trust Gordon Deuchars, Policy and Campaigns Manager, Age UK London Dr Anna Mavrogianni, Lecturer in Environmental Design and Engineering, UCL Jonathon Taylor, Research Associate, UCL Professor Virginia Murray, Head of Extreme Events and Health Protection, PHE Professor Sue Grimmond - Department of Meteorology, University of Reading Other formats and languages For a large print, Braille, disc, sign language video or audio-tape version of this document, please contact us at the address below:
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## Annual Report & Accounts: 2018–2019
HC 2393
# Foreign & Commonwealth Office Annual Report And Accounts 2018–19
(For the year ended 31 March 2019)
Accounts presented to the House of Commons pursuant to Section 6(4) of the Government Resources and Accounts Act 2000 Annual Report presented to the House of Commons by Command of Her Majesty Ordered by the House of Commons to be printed 11 July 2019
## © Crown Copyright 2019
This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/opengovernment-licence/version/3. Where we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned. This publication is available on our website at: www.gov.uk/government/official-documents Any enquiries regarding this publication should be sent to us at: Foreign and Commonwealth Office, Finance Directorate, King Charles Street, London, SW1A 2AH ISBN 978-1-5286-1343-9 CCS0519323540
07/19
Printed on paper containing 75% recycled fibre content minimum Printed in the UK by the APS Group on behalf of the Controller of Her Majesty's Stationery Office
## Correction Slip
Title: Foreign & Commonwealth Office Annual Report and Accounts 2018-2019
This correction slip replaces an error made in the Diversity and Inclusion table at the bottom of page 99.
Session: 2017–19 HC 2393
ISBN: 978-1-5286-1343-9 Ordered by the House of Commons to be printed 11 July 2019
## Correction:
The row headings in the table on page 99 of the report are incorrect. Text currently reads:
| | SMS | D7 | D6 | C5 | C4 | B3 | A2 | A1 |
|----------|-------|------|------|------|------|------|------|------|
| Female | 35% | 42% | 41% | 40% | 46% | 58% | 59% | 57% |
| Disabled | 7% | 5% | 9% | 10% | 17% | 26% | 30% | 14% |
| BAME | 7% | 10% | 10% | 11% | 11% | 14% | 15% | 31% |
| LGBT | 4% | 6% | 7% | 4% | 7% | 2% | 5% | 21% |
Text should read:
| | SMS | D7 | D6 | C5 | C4 | B3 | A2 | A1 |
|----------|-------|------|------|------|------|------|------|------|
| Female | 35% | 42% | 41% | 40% | 46% | 58% | 59% | 57% |
| BAME | 7% | 5% | 9% | 10% | 17% | 26% | 30% | 14% |
| Disabled | 7% | 10% | 10% | 11% | 11% | 14% | 15% | 31% |
| LGBT | 4% | 6% | 7% | 4% | 7% | 2% | 5% | 21% |
4 Foreign & Commonwealth Office Annual Report and Accounts 2017–2018 4 Foreign & Commonwealth Office Annual Report and Accounts 2018–2019
Foreword by the Foreign Secretary The Rt Hon Jeremy Hunt MP
"I have no doubt about the scale of the challenges that lie ahead. I am equally confident that the FCO will be more than equal to meeting them."
The first duty of the Foreign and Commonwealth Office is to keep the British people safe. Our efforts to fulfil this obligation have been a central theme of the diplomacy of 2018-19.
Terrorism inspired by Daesh presents one of the greatest threats. On 23 March, military action by many nations, including Britain, broke Daesh's grip on its last fragment of territory in the Middle East. The terrorists who once imposed their pitiless rule on thousands of square miles of Syria and Iraq were driven from their physical domain. This does not mean that Daesh has been defeated: military action by the UK and our partners will continue to be necessary. But we can take heart from the fact that millions of people have been freed from Daesh's barbarism. Our diplomats helped to assemble the Global Coalition of 79 countries and international organisations which mounted this campaign. The FCO hosts the Global Coalition's strategic communications cell, charged with countering Daesh's online propaganda. Elsewhere in the Middle East, I have made the quest for peace in Yemen a central priority. Thanks in large measure to British diplomacy, the parties agreed in Stockholm on 13 December to call a ceasefire in Hodeidah province and allow the unhindered flow of humanitarian aid. The progress is fragile and reversible. But the ceasefire has broadly held so far, keeping open the Red Sea ports that provide a lifeline for emergency supplies. I am grateful to the British officials who worked to bring this about. On 21 December, the Security Council unanimously approved UNSCR
2451, sponsored by the UK, which endorsed the Stockholm agreement and set out the steps needed to ease the humanitarian crisis in Yemen.
to secure some hugely significant deals. In 2018, a cross-Whitehall campaign helped BAE Systems to win the Australian Future Frigate contract worth £10 billion. On 28 June, Australia announced that nine Type 26 frigates would be constructed using UK designs, meaning that Britain will be a ship-building partner with Australia for the next 40 years.
I have also made relieving the plight of the Rohingya Muslims in Burma a key priority. I visited Burma myself on 19 and 20 September where I met State Counsellor Aung San Suu Kyi and toured northern Rakhine state, the scene of the expulsion of hundreds of thousands of Rohingya. So far, scarcely any have been able to return. There remains a pressing need to ensure accountability for this tragedy.
On 9 February, Canada followed suit and chose the Type 26 frigate as the mainstay of its navy. Canada will build 15 ships, based on British designs, creating huge opportunities for UK companies.
Elsewhere, Britain joined our partners in the Chemical Weapons Convention to call a Conference of States Parties in The Hague on 27 June. Our diplomats helped to overcome Russian lobbying to win a vote that will allow the Organisation for the Prohibition of Chemical Weapons to attribute responsibility for any future chemical weapon attacks in Syria.
Throughout this period, the FCO played its part in the negotiations over Britain's withdrawal from the EU. Our European diplomatic network has been supporting our colleagues from DExEU. The FCO has led the negotiations on particular subjects, including Gibraltar and sanctions policy.
This reform will strengthen the global ban on chemical weapons, which is profoundly in the interests of UK national security.
Our staff have been planning for the contingency of leaving the EU without an agreement, particularly with respect to the status of Britons living overseas.
Our network has also promoted British prosperity by assisting UK business Meanwhile, the Africa Directorate led the UK's response to highly sensitive elections in Zimbabwe, Nigeria and the Democratic Republic of Congo. All of these episodes show that Britain's interests and influence span the world. Our aim is to keep the British people safe by taking forward a global foreign policy, in the best traditions of the FCO. The overarching aim is to preserve the international rules and institutions that were, in large measure, the joint creation of Britain and America after the Second World War. In that spirit, we will also uphold the values of our country. This year, I will join the Canadian government to launch a global campaign to defend media freedom. The line that separates open from closed societies is whether journalists are able to hold the powerful to account without fear of retribution. I have no doubt about the scale of the challenges that lie ahead. I am equally confident that the staff of the FCO will be more than equal to meeting them.
6 Foreign & Commonwealth Office Annual Report and Accounts 2017–2018 6 Foreign & Commonwealth Office Annual Report and Accounts 2018–2019
## Executive Summary - Permanent Under-Secretary
Sir Simon McDonald KCMG KCVO
"Everything we do in the UK and around the world is driven by our determination to protect our people and our values, and ensure that our country prospers."
In an interconnected and uncertain world, the security and prosperity of the United Kingdom increasingly depends on action overseas. That's why the Foreign and Commonwealth Office works across the breadth of government business—from helping victims of forced marriage to improving global patient safety, from securing market access in Taiwan for British pork producers to tackling those who launch cyber-attacks. Day in day out around the world, our diplomats are fostering the relationships we need to call on in order to respond to security threats, to unlock economic opportunities and to help British citizens when they are in need. This year, much of our work has focused on preparing to leave the EU, both in a deal and no deal scenario. We have delivered an extensive set of agreements for Gibraltar, supported the arrangements for other Overseas Territories and the Sovereign Base Areas on Cyprus, negotiated continued trade access with a number of third countries and prepared for implementing an autonomous sanctions policy. And above all, we have strived to ensure that UK nationals living in the EU retain the same rights as they now do and are informed about any action they need to take. As we leave the EU, the Government is committed to reinvigorating our partnerships with Commonwealth countries. In April, the UK hosted the Commonwealth Heads of Government Meeting at which we ensured that important issues such as LGBT rights, modern slavery and climate change were discussed. We also secured endorsement from all 53 members for the goal of 12 years of education for every girl and the Government announced £212 million to support over one million marginalised girls to access quality education and learning.
the globe; helping to increase UK exports and showcasing the UK as a place for investment. Prosperity Fund programmes delivered by the FCO have supported inclusive economic growth, trade openness, and poverty reduction in middle-income countries. Programmes launched by the FCO in the last year include a £45m anticorruption programme, and £34m to support economic reform and low carbon development in ASEAN.
This is one of a number of global challenges that we tackled this year, from LGBT rights to climate change to modern slavery. In October, we worked with other Government departments to bring the illegal wildlife trade to the top of the international political agenda through a global conference in London. 65 countries signed the London 2018 declaration calling for trade in illegal wildlife to be treated as a serious organised crime, and for the closure of markets.
While much of what we do can seem remote to people at home in Britain, 22,000 Brits who got into difficulty around the world received consular assistance last year. Our consular focus remains on prevention and the most vulnerable. We are also seeking to use smarter technology to make our service as efficient as possible, both for the customer and for us as an organisation, freeing up our staff to support those most in need.
Protecting our national security, we built on the co-ordinated international response to Russia's use of a nerve agent in Salisbury by leading an international campaign to strengthen the global norm against chemical weapons. This led to the international community mandating the Organisation for the Prohibition of Chemical Weapons to attribute responsibility for the use of chemical weapons in Syria, sending a clear message that those who use chemical weapons cannot do so with impunity. And in the EU, we secured help to establish a new chemical weapons sanctions regime, and then used it to sanction nine individuals including the two Salisbury suspects. We have also continued to help build a strong prosperity footprint across All this can only be achieved through a global diplomatic network. This year, we agreed to expand the network so that, by the end of 2020, the FCO will have sovereign missions in 161 countries, more than any other European country. This will facilitate our efforts on the front line overseas as part of our diplomatic efforts; will strengthen our bilateral ties with key European partners and build strong relationships with EU neighbours; and will deliver a step change in our presence in Africa, in order to deliver the ambitions of a truly Global Britain worldwide. We have recruited on a scale unprecedented in recent years to support our ambitious diplomatic uplift and the demand for staff across Europe. This has been an opportunity to increase the diversity of our organisation. Of the 113 Higher Executive Officers and Executive Officers directly appointed this year, 67.9% are women and 21.4% Black, Asian and Minority Ethnic (BAME). To ensure we continue to attract highpotential candidates from BAME and low socio-economic backgrounds, our student outreach campaign involved 13 University Roadshow events across the UK, meeting around 800 students. We are developing a network which represents the whole of the UK, celebrating its diversity, encapsulating our twenty-first century UK values and interests, and committed to delivering for British nationals across the globe. And, as this report shows, everything we do in the UK and around the world is driven by our determination to protect our people and our values, and ensure that our country prospers.
8 Foreign & Commonwealth Office Annual Report and Accounts 2017–2018 8 Foreign & Commonwealth Office Annual Report and Accounts 2018–2019
## Performance Report Overview Who We Are And What We Do
The FCO network in 2018-19: 270 posts in
169 countries & territories including in 9
multilateral organisations
The FCO network supports the whole of the UK government overseas.
31 Government partners rely on our global platform, including DfID, DIT and the British Council.
The FCO represents all parts of the UK, ensuring the international interests of the Devolved Nations are represented, delivered and advanced.
Our global network, of Embassies, High Commissions, Consulates and other offices, is integral in supporting the UK Government achieve its international objectives.
As we prepare for the UK's exit from the EU, we will support the UK Government and partners in securing the UK's future relations with EU member states and EU
institutions, as we build a global Britain that is confident on the world stage.
## Our Objectives In 2018–19 Protect Our People Project Our Global Influence
Safeguard our national security by countering terrorism, extremism, weapons proliferation, and other state and non-state threats in cooperation with allies and partners. Assist British people living, travelling and working around the world when they are most in need.
Protect and promote the values and influence of Global Britain, strengthening our partnerships and the rules-based international system. Support good governance, democracy, rule of law and human rights; prevent and resolve conflict; and build stability overseas.
## Po1 Security Threats Po4 Conflict And Stability
>
>
Strengthening the rules based international system, including more credible UN action to resolve conflict, working with the UNSG on reform.
>
>
Reducing threats to the UK and its interests overseas from Daesh, extremism and terrorism; weapons proliferation, focused on DPRK and Iran; and illegal migration and Serious and Organised Crime.
>
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Raising the cost of malicious cyber activity and defending a free, open, peaceful and secure cyberspace
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Focusing UK effort on NSC priority countries, advancing political processes in Afghanistan, Syria, Libya, Yemen; supporting security, stability and good governance in the Middle East and Africa; and working to resolve the Rohingya humanitarian crisis
## Po2 Consular And Crisis Re Sponse
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>
Providing high quality, accessible consular services globally, focused on those most in need.
## Po5 Promoting Uk Interests And Values
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Reducing preventable incidents
affecting British people overseas through collaboration with partners and governments.
>
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Championing democracy, human rights and the rule of law and addressing global challenges, including through campaigns on preventing sexual violence in conflict; reducing modern slavery and promoting female education.
>
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Responding rapidly to all overseas crises, leading crossgovernment action.
## Po3 Euro-Atlantic Security
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Promoting human and environmental security through the London Illegal Wildlife Trade Conference in 2018, reducing threats to endangered species.
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Ensuring a strengthened, more cohesive NATO with increased defence contributions from European Allies and an effective Western response to Russian security challenges.
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Deepening relationships between states and peoples, including through the Commonwealth Summit in April 2018 which agrees action to help build more prosperous, secure, sustainable and fair societies.
>
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Supporting a more resilient European neighbourhood, including through hosting a Western Balkans summit in July 2018.
>
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Building a distinct UK voice and strategy on wider Euro- Atlantic policy through a new security partnership with the EU, deepened bilateral/small group links with other Europeans.
## Promote Our Prosperity
Promote our prosperity by opening markets, driving economic reform, championing British business, and supporting free trade and sustainable global growth.
## Po6 Europe
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Bolstering bilateral relationships and people-to-people links with partners across Europe.
>
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Supporting DExEU to achieve its negotiating objectives for Exit.
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Delivering results on FCO- led EU Exit issues such as sanctions legislation, Overseas Territories (including Gibraltar), Kimberley Process and Third Country Agreements.
## Po7 Economic Diplomacy
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Showcasing global leadership
of free trade and economic diplomacy, supported by a fully developed trade profession.
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Reinforcing the WTO's role in global trade and deepening dialogues with future FTA partners.
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Achieving, with DIT, the UK government's strategic vision to support UK exports and inward and outward investment.
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Promoting economic development and security, clean and sustainable growth and better business environments in key markets.
## Po8 Overseas Territories
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Building resilient OTs with good governance, increasingly diversified economies and prosperous communities, able to better prepare for and recover from crisis.
## The Fco In 2018-19 Protect Our People
A new intelligent online enquiry FCO led on the form has reduced 40,000
international response consular enquiries to Embassy to the use of a mailboxes to 12,000. With less than 1 in 10 needing to be escalated further, consular staff can focus on helping those who need it most.
## Project Our Global Influence
FCO-led 'Life After The Illegal Wildlife Trade Daesh' campaign campaign launched the worked to stabilise the United for Wildlife Financial region and maintain counter-
Taskforce to help report terrorism assurance. Over illicit financial flows. So far,
50% in the MENA region on there have been 52 law a Facebook poll agreed the enforcement investigations Global Coalition is helping.
supported and 19 interdictions of suspect shipments.
FCO engagement with EU27
counterparts has protected
## Uk Nationals' Rights.
All EU member states have given public assurances that UK Nationals may remain in the state they reside on exit day.
scholars from
150
countries
1,790 scholars from over 150
countries joined the FCO-led Chevening programme last year. We now have an alumni network of over 50,000
leaders around the world making positive change in their communities and countries.
## Promote Our Prosperity
…which include a **£45m**
Global Anti-Corruption programmes, worth a combined programme, and **£34m**
£850 million, provide expertise and ASEAN economic reform and assistance in sectors and countries low carbon programmes.
where there is high potential to support the inclusive economic growth needed to reduce poverty...
## Our Global Network
FCO believes that the By the end of 2020, better our workforce the UK's diplomatic network will have 1,000
reflects the **diversity**
of the country we more staff members represent, the stronger and sovereign an organisation we missions in will be. We have kept
161 countries, this is mind when more than any other recruiting this year.
European country.
We have continued to build greater resilience in the Caribbean Overseas Territories following Hurricanes Irma and Maria. Resilience funding in 2018-19 included
6.5m in Anguilla to refurbish the island's only hospital.
The Tech Overhaul The Beyond Plastics programme deployed campaign to remove over 20,000 new all plastics from our devices to 223 Posts Estates has led to a across the FCO network.
## 97% Reduction In Plastic Use In
As a result, 68% of staff polled reported FCO UK buildings.
they now work smarter.
## Ministerial Visits In 2018-19
During 2018-19, the Foreign Secretary and FCO Ministers visited
92 countries on 187 trips.
The FCO Ministerial Team has visited 92 countries and territories this last year. From Yemen to Malaysia to Cuba, the Foreign Secretary and his team of Ministers have used their overseas visits to help deliver our international objectives, build relationships and secure agreements on key international and bilateral issues. Their engagement overseas continues to progress UK interests and demonstrate UK leadership on key international issues across the globe.
## Global Britain
Global Britain is the UK's strategic response to a challenging and rapidly changing global environment, strengthening our influence on the world stage to promote our prosperity and security. It is about projecting the UK as a world class economy; a free, fair and tolerant society; an active and responsible country; and a global power.
Alongside our exit from the European Union, there are other global trends that are significant for UK interests, including the eastward shift of the global centre of economic gravity; technological transformation;
the challenges to liberal democracy; and the threat from climate change. These require us to adapt how we use the wide array of world-leading diplomatic, defence, security, development, trade and soft power assets and capabilities to deliver UK interests and ensure that we retain our influence. Last year, we worked with colleagues across Government to use this range of capabilities to tackle the increasingly complex global challenges that we face, including by:
»
» **Leading** an international campaign to strengthen the global norm against the use of chemical weapons
»
» **Promoting** human and environmental security by hosting the largest conference
to date aimed at eradicating the illegal wildlife trade
»
» **Investing** in the capabilities we will need in a changing world, through announcing the UK's largest diplomatic
expansion in a generation that will create the broadest network of sovereign missions of any European country.
We are enhancing our links with the world's fastest-growing economies as well as with our traditional partners in the Commonwealth and Europe. We are increasing our representation to multilateral organisations and our links with key regional organisations, ensuring that UK expertise supports the international system to update the international rulebook so it's fit for today and tackling the global challenges that will affect the next generation. And in a cross-government effort to co-ordinate Global Britain activity, the 2018 National Security Capability Review established a way forward to ensure strategic coherence and apply the Fusion Doctrine as a platform for strengthening HMG's collective approach. An FCO-chaired Board brings together over a dozen Departments and Agencies to drive delivery of the Global Britain agenda with a focus on the rules-based international system, soft power and influence, and an open, innovative and welcoming economy.
14 Foreign & Commonwealth Office Annual Report and Accounts 2018–2019
## Performance Analysis Protect Our People
Safeguard our national security by countering terrorism, extremism, weapons proliferation, and other state and non-state threats in co-operation with allies and partners. Assist British people living, travelling and working around the world when they are most in need.
## Priority Outcome 1: Security Threats (Partially Achieved) Safeguarding Our National Security In Co-Operation With Allies And Partners
Reduce threats to the UK and its interests overseas from Daesh, extremism and terrorism. Limit impact of cyber threats to the UK and our interests overseas, including from hostile state activity. Constrain weapons proliferation.
## Overview Progress 2018–19 Reducing Threats From Daesh, Extremism And Terrorism
In 2018–19, the FCO remained at the centre of the UK-security architecture, as we co-ordinated with other government departments, and international partners to respond to threats.
The FCO has supported government efforts to reduce risk from international terrorism and continues to focus on the ongoing threats we face from Daesh and Al-Qa'ida.
The FCO leads the Counter Daesh Communications Cell, which undermines Daesh propaganda through strategic communications campaigns and it played a leading role in March 2019 coordinating messaging for all the coalition partners, when the last remaining territory held in Daesh in Syria was liberated. We raised the cost of malicious cyber activity by attributing a campaign of cyber-attacks to the Russian government. We led on the disruption of serious and organised crime, in line with the government's new strategy.
As part of a full-spectrum government approach, the FCO-led Counter Daesh Communications Cell co-leads
(with the US and UAE) the strategic communications line of effort for the Global Coalition. The cell is a unique, multi-national team which uses a range of communication tools to tackle Daesh's propaganda and reduce its capability to recruit, incite attacks and inspire support. Arabic channels (especially Facebook) have seen measurable growth in advocacy for Global Coalition causes, such as rebuilding infrastructure, opening schools and hospitals. This year, the Global Coalition and its partner forces on the ground succeeded in defeating the remaining physical presence of Daesh in Syria.
We demonstrated commitment to the Iran nuclear deal, worked to renew international commitment to the global ban on chemical weapons' use, and supported the push to attribute responsibility for chemical weapons use in Syria.
More broadly, the UK government shaped the bi-annual review of the UN Global Counter-Terrorism Strategy, which was adopted in June 2018. We worked hard with partners to maintain global agreement on the importance of UK counter-terrorism priorities:
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» Preventing Violent Extremism (PVE)
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» Improving aviation security
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» Preventing terrorist use
of the internet (PTUI)
We also secured an updated approach to tackling foreign terrorist fighters (FTFs) to reflect the changing threat. The FCO has played a leading role in the cross-government campaign to raise the global standard of aviation security, and secured security as a main theme for the 2019 triennial International Civil Aviation Organisation Assembly. We have increased our counterterrorism resources in Nigeria, Tunisia and Iraq in the last year. In August 2018, the Prime Minister signed a security and defence pact with President Buhari during her visit to Nigeria, which aims to help the country combat terrorism through better military training and antiterrorist propaganda techniques developed in the UK. This reinforced the UK's determination to work closely with Nigeria to help fight terrorism, reduce conflict and lay the foundations for future stability and prosperity for both countries.
We have also increased our resources in Tunisia, with staff from numerous departments and agencies co-ordinated through the Counter Terrorism and Extremism Network. They help to build capacity in the security sector and support continued development of key security agencies.
In Iraq, we have focused on building critical relationships and understanding the weaknesses of the current system.
## Limiting Impact Of Threats To Uk And Our Interests Overseas In Focus: Counter Daesh—Fighting Propaganda
The FCO has been using measures across the network to disrupt serious and organised crime (SOC) in line with the government's new SOC strategy. The strategy was published on 1 November 2018 and sets out a step change in the way that the UK will tackle this threat. It aims to protect our citizens and prosperity by leaving no safe space for SOC criminals— within the UK and overseas, online and offline—and requires the whole of government delivery for its implementation.
Despite the historic success of the defeat of all Daesh territory, its fighting force and ideology is far from deterred and will remain the most significant terrorist threat to the UK and our interests overseas in the years ahead. Following territorial losses, Daesh are recalibrating and prioritising their propaganda effort, while reconstituting into a capable insurgency-style group in Iraq and Syria.
Overseas, the FCO has used its network to establish 56 FCO- led Joint Serious and Organised Crime (JSOC) Platforms in Posts. We also supported the deployment of a cadre of 18 overseas SOC policy co-ordination officers across the network. The impact of this support has included:
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» A drug seizure in Ghana of high grade cannabis
The UK, as lead for the Global Coalition against Daesh's efforts to tackle the group's propaganda, has adapted its approach through the C-Daesh Comms Cell by:
»
» working with the international
»
» Saving the UK Treasury in excess of £140 million in Warsaw
community to speak as one voice
»
» building resilience to propaganda
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» Four Filipino perpetrators arrested and 16 victims of Online
among vulnerable populations
»
» shaping the public narrative to
undermine Daesh's propaganda
In January 2019, the Foreign Secretary set out the importance of deterrence in the cyber age, making it clear that we must impose a price on malicious cyber activity. Through the UK's efforts to raise the cost of malicious cyber activity and defend a free, open, peaceful and secure cyberspace, we have The FCO's research-led campaign efforts have focused intensively on communicating progress in stabilising communities and areas liberated from Daesh. This is done through building local credible voices as the military campaign nears its end. The 'Life After Daesh' campaign was just one part of this. Nearly 300 case studies were commissioned that illustrated examples of successful stabilisation projects. They show how liberated areas are slowly coming back to life, with people enjoying culture, practising their traditions and earning a decent living again. The campaign was amplified by our global coalition partners and local media in the region, and focused on demining, culture, education, healthcare, entrepreneurs and women's roles in peacebuilding. It has also been picked up on in news reports, helping increase the reach of the message beyond the military campaign. Our Facebook poll revealed that more than 50% in the MENA region agree the Coalition is having a positive impact.
heading to the UK, valued at £29.2 million. alone, mainly through seizure of counterfeit cigarettes. Sexual Exploitation of Children or at risk of abuse rescued and safeguarded, as a result of five enforcement operations.
As part of our standing commitment to the nuclear deal, we have created a new tool to support trade relations with Iran and the delivery of sanctions relief—the so-called Instrument in Support of Trade Exchanges was registered on 31 January 2019. This is an E3-led special purpose vehicle to support trade relations with Iran and the delivery of sanctions relief.
achieved a step-change in international resolve to confront malicious cyber activity and promote the rules-based international order. We now call out, with allies, malicious cyber activity by the Russian GRU and China's Ministry of State Security. For example, in October 2018, the UK government attributed a campaign of reckless and indiscriminate cyber-attacks to the Russian government, specifically the GRU. It included WADA, DNC and BadRabbit ransomware and an attack on a UK-based television station. 19 partners, the EU and NATO joined us in calling this out.
Through public and private communications, using key moments such as the US withdrawal and re-impositions of US sanctions, we affirmed to international and domestic audiences the UK's commitment to the JCPoA as a crucial tool in neutralising the threat of a nuclear-armed Iran.
## Constraining Weapons Proliferation Nuclear Weapons
Following the US's withdrawal, the UK became co-chair (with China) of the Arak Modernisation Project to ensure the conversion of an Iranian nuclear reactor to a proliferation-resistant design.
We have continued to work to constrain nuclear weapons proliferation, specifically focused on Iran and North Korea.
Despite US withdrawal and US sanctions, which continue to put JCPoA under pressure, we have successfully worked to preserve the deal: Iranian compliance has been confirmed by successive International Atomic Energy Agency reports.
The UK has played a vital role with our E3 partners (France and Germany) in helping to maintain the Iran nuclear deal (Joint Comprehensive Plan of Action, or JCPoA) following the US withdrawal. The deal is crucial to our national security as it prevents Iran from developing nuclear weapons.
As well as successfully co-ordinating the joint E3 response to US
## In Focus: Countering Chemical Weapons Attacks
Using the Fusion Doctrine, the FCO led on the international response to the use of a Novichok nerve agent in Salisbury, and obtained significant support for our assessment that Russia was responsible for the attack. In April 2018, the FCO used its experience of dealing with the Salisbury attack to support the Dutch government in exposing Russia's malign cyber activity against the Organisation for the Prohibition of Chemical Weapons (OPCW) headquarters. The UK also secured a decision which condemned the use of chemical weapons globally, including in Salisbury, and empowered the OPCW to attribute responsibility for chemicals weapons used in Syria and to assist others in attributing responsibility for chemical weapons attacks elsewhere. This was supported overwhelmingly and adopted by 82 votes to 24. A coalition of countries publicly condemned Russia's violation of the rules-based international system in Salisbury and on other occasions. As a result of the UK's encouragement, 28 other countries and NATO expelled a total of 130 Russian undeclared intelligence officers.
withdrawal, we also conducted sustained engagement with US stakeholders to protect our wider relationship. We also highlighted areas of common focus in tackling Iran's aggressive missile development programme and destabilising behaviour in the region. We have also led the UK government's efforts aimed at achieving the denuclearisation of the Democratic People's Republic of Korea (DPRK) through negotiation. We continued to report and analyse developments inside the country through our Embassy in Pyongyang. We worked with our international partners to support the US strategy of negotiation and continued pressure. We made available the unique technical expertise of our military, nuclear and energy establishments to help prepare for a future denuclearisation process. We have led campaigns that target DPRK efforts to generate illicit revenue through the use of overseas labourers and cyber-crime. We also engaged our world-leading maritime industry to block DPRK efforts to evade international sanctions. Since mid-2018, four UK ships have joined US-led operations to monitor and deter illegal DPRK shipping activity.
Western paedophiles have long exploited the vulnerability and poverty of Kenyan children. Within Kenya, child protection remains weak, and abuse and exploitation rates in some school and communities are troublingly high. In August 2018, the Prime Minister announced, during her visit to Kenya, further UK Conflict, Stability and Security Fund (CSSF) funding to build a cyber-wing for the Anti Human Trafficking and Child Protection Unit in Africa. The Kenyan authorities take these issues seriously, but their capacity remains low. This unit, established with National Crime Agency mentorship, CSSF and other funding, is the first dedicated unit in Africa. It has already safeguarded over 400 children, allowed abuse victims to give evidence to a UK court over video link from Kenya for the first time, and rescued a number of human trafficking victims. The cyber-wing will allow Kenyan authorities for the first time (and uniquely in Africa) to investigate and prosecute internet-based child abuse. The unit has demonstrated the catalytic impact of UK funding. The cyber-wing costed £30,000 alone of CSSF funding, but this leveraged greater contributions from elsewhere. The Kenyan authorities provide a strong team to the unit, who work with us to tackle threats originating in Kenya aimed at UK interest. Just as importantly, they tackle threats from the UK to Kenya, such as abusers from the West who prey on the most vulnerable.
conducted airstrikes against chemical weapon facilities in Syria on 14 April 2018. This was to alleviate the extreme humanitarian suffering on the Syrian people by degrading the Syrian regime's chemical weapons capability and deterring their further use.
In the UN Security Council, EU bodies and human rights forums, we have spoken up for the rulesbased international system and taken action to enforce the rules by leading an international lobbying campaign against DPRK sanctions evasion and illicit activities.
## Chemical Weapons
The FCO followed up this military action with a co-ordinated international engagement strategy which delivered robust international support for these strikes, including statements from the EU, G7 and key leaders. Importantly, there has since been no credible recorded On 7 April 2018, the Assad regime attacked the Syrian city of Douma with chemical weapons, resulting in the deaths of up to 75 people. The UK, with our US and French allies, use of chlorine or sarin as a weapon by the Assad regime. In June 2018, we secured a special Conference of State Parties, to the Chemical Weapons Convention
(CWC), which condemned the use of chemical weapons in Syria by the Assad regime, in the UK and Malaysia, and in Iraq and Syria by Daesh. With an unprecedented turnout of 151 countries, it showed how the UK's global network is able to respond rapidly, flexibly and influentially. The conference mandated the Technical Secretariat of the OPCW to put in place arrangements to identify the perpetrators of the use of chemical weapons in Syria and invited the Director General to submit proposals to strengthen implementation of the CWC verification regime. The UK, lobbying alongside key partners, thwarted attempts by Russia, China, Iran and Syria to reverse the decision to provide budgetary funding for the new Syria attribution arrangements. This sent a clear signal of broad-based commitment to upholding and strengthening the CWC and the ban on development, production, stockpiling and use of chemical weapons. In the EU, we have been working with EU partners to establish new measures to respond to the use of chemical weapons in Syria, Iraq, Malaysia and the UK—the first use of chemical weapons in Europe since World War 2. A new chemical weapons sanctions regime, adopted on 15 October 2018, will enable an asset freeze and travel ban to be imposed on those involved in the use and proliferation of chemical weapons, regardless of nationality or location. On 21 January 2019, the EU added nine individuals and one entity to the regime. This included those involved in the proliferation and use of chemical weapons in Syria, and members of the GRU responsible for the use of a nerve agent in Salisbury in March 2018.
## Priority Outcome 2: Consular (Achieved) Assisting British People Living, Travelling And Working Around The World When They Are Most In Need
Provide high quality, accessible consular services globally, focused on those most in need. Respond rapidly to all overseas crises, leading cross-government action. Reduce preventable incidents affecting British people overseas through collaboration with partners and governments.
## Overview
Our communications campaigns helped British travellers avoid preventable problems.
We prepared for a possible nodeal exit from the EU, including drawing on a new cadre of 550 crisis-ready staff across the FCO.
The FCO provided assistance to over 22,000 British people in new cases around the world, and ongoing support to 7,700 existing cases. We responded to 14 major incidents overseas, from terrorist attacks and natural disasters to high-profile political and security issues.
In the run-up to the planned EU Exit date, we continued to support British people living across Europe by providing reliable information.
We have continued to deliver against our strategy: 'Helping British People Overseas: Consular Services 2016 to 2020'.
## Progress In 2018–19
We continued to invest in our network of consular staff and took forward the transformation of our digital services.
Our consular services are available around the world, 24 hours a day, 365 days a year.
Our global consular contact centres in Malaga and Ottawa now handle all consular telephone enquiries to the FCO in London and to our embassies and consulates overseas, including emergency calls out of hours.
## High Quality Assistance Focused On Those Most In Need
FCO's support to vulnerable British nationals overseas is tailored to the circumstances of the individual, and can be life-changing for those we assist. In July 2018, a young boy was reunited with his mother in the UK, having been abducted to Egypt by his father in August 2014. We maintained regular contact with his mother,
## In Focus: Modern Slavery In Magaluf
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Over 80% of British prisoners in Majorca are former summer workers in the bar and restaurant industry.
Some were promised accommodation and well paid jobs, but the reality was very different.
Others fell quickly into debt with employers confiscating passports for 'safe keeping' and withholding wages.
This led to some getting involved in criminal activity, including drug dealing, and ending up in jail.
There are a few simple ways to keep you and your friends safe - follow our summer work safe tips.
In 2017, the consular team in Palma de Mallorca raised concerns about vulnerable young people approaching the Consulate, who had had their passports retained by their employers in Magaluf while working in bars in the resort. Using funding from the Consular Programme Fund, research was conducted by the Universidad Europea in Madrid. This discovered that the ticket touts (known as 'Public Relations' PR workers) were a highly vulnerable category and potential victims of modern slavery due to their working conditions and treatment. Working alongside UK Border Force and the British charity Unseen, we devised and launched a programme to highlight the risk to young people looking to work abroad. Known as Operation Karetu, the programme sought to:
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» safeguard vulnerable young people and
adults from labour exploitation and trafficking while working abroad
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» enhance information and intelligence
sharing with key strategic partners
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» develop intelligence from partners and members of
the public to increase understanding of the scope of the problem of this type of labour exploitation
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» proactively engage with the media to raise
awareness amongst the travelling public and encourage them to report risk
The programme ran last summer across 19 UK airports, such as Aberdeen, Belfast, Manchester and Heathrow. We selected outbound flights to Palma de Mallorca at the departure gates and engaged with the public by raising awareness of potential exploitation to British nationals while abroad. As a result of Operation Karetu, Unseen reported that in June 2018, they received 650 calls, the highest number since October 2016. The Campaign also helped us with local lobbying in the resort, with the Spanish Regional Government and Guardia Civil agreeing to carry out 40 additional work inspections on bars potentially linked to the exploitation. In conjunction with Operation Karetu, the British Embassy in Madrid ran a communications campaign and funded a vlog by Jasmine Clough, entitled 'Travel tricks, tips and essentials for 2018.' It launched on 25 May 2018 to amplify government's modern slavery campaign messaging, and targets UK audiences between the ages of 18 and 25.
put her in touch with Reunite and legal support, and arranged for the Foreign Secretary to speak to his Egyptian counterpart. The dedication of the mother, consular staff at our Embassy in Cairo, the ambassador, and the Egyptian authorities, ensured a safe reunion.
They are now able to rebuild their life in the UK.
Shortly after the Sousse attack on 26 June 2015, the then Prime Minister announced funding for a memorial to be dedicated to the 31 British people who lost their lives and all those affected by the Sousse and Bardo terrorist attacks in Tunisia. Many family members who attended the ceremony, where the memorial was unveiled by the Duke of Sussex on 4 March 2019, commented on the support they had received from the FCO and the memorial's importance in reminding everyone that the victims and their families had not been forgotten. FCO took a consultative approach, engaging with families on the location, look and feel of the memorial. The communication maintained with families and stakeholders throughout the three-year project was critical to its success.
## Preventing Consular Incidents
Last year we ran in-country initiatives to help reduce preventable incidents and ensure that incidents that do occur can be dealt with more effectively. For example, in 2018–19 we worked with music festival organisers in Croatia to reduce drug-related incidents by 60% and lost passports by 40% at festivals. In January 2019, we increased support to victims of forced marriage and female genital mutilation, helping them return safely to the UK. Victims of forced marriage who are helped to return to the UK by the Forced Marriage Unit will no longer be asked to take out a loan for their repatriation costs, and victims with outstanding loans will have no further cost fall to them. We have worked with the charity Women's Aid to provide advice to victims of domestic abuse overseas and have updated the advice and guidance we give to the families of British people who go missing abroad. We completed an indepth review of our assistance to the families of victims overseas of murder and manslaughter which will inform improvements in our service in the coming year.
in Russia 2018 for the estimated 25,000 British fans visiting. This was particularly challenging following the Salisbury attacks and the subsequent expulsion of a large part of our Moscow embassy team.
## Responding Rapidly To Overseas Crises
We built on lessons learned from previous tournaments to ensure supporters and partner organisations were as prepared as possible for a safe trip to some remote parts of Russia. We deployed staff from our London rapid deployment team as well as consular staff from our European and former Soviet Union networks. Preparations began two years in advance, and our #BeOnTheBall media campaign was viewed 60,000 times, reaching almost every fan who travelled. Collaboration with key stakeholders, such as the Football Association, helped raise awareness. We expected one consular case per 100 visiting fans. But, thanks to our successful campaign, we had only one consular case per 500 visiting fans—a total of 50 consular cases among some 25,000 British nationals.
## Russia World Cup 2018 Consular Response
In addition to delivering a rapid, coordinated crisis response to 14 major incidents, we have continued to work closely with the whole of government to ensure we are in the best position to respond to overseas crises that can occur at anytime and anywhere. We have worked with partners across government, including the Cabinet Office, DFID and MOD, to develop contingency plans for high risk areas. These include hurricane response in the Caribbean, elections in the Democratic Republic of Congo, tensions over North Korea's nuclear programme and continued unrest in Venezuela. In response to the destructive Lombok earthquake in Indonesia on 5 August 2018, consular staff at Post in Bali were immediately deployed to the area and later joined by three additional regional staff, of which two were Bahasa speakers, and a six-person Rapid Deployment Team. Embassy staff worked closely with Indonesian authorities, encouraging them to scale up their emergency response. They liaised with EU, Five Eyes and other diplomatic colleagues who were deployed to Lombok to assist their nationals. Between 5 and 8 August, the FCO received over 650 calls about British nationals impacted or potentially impacted by the earthquake, resulting in 353 entries on our Crisis Hub. Teams in London and Indonesia worked quickly to locate individuals and by the close of the crisis on 9 August, all crisis hub entries were marked safe apart from a small number of British nationals who we were assisting.
free travel. We worked with our TravelAware partners including ABTA and tour operators to ensure that more holiday makers know how to find our advice: the online pages were viewed more than 44 million times in 2018–19.
We continued to support UK nationals in Europe during our preparations for a possible no-deal exit. We expanded our campaign to provide information on the rights and status of UK nationals living and traveling in the EU before and after the UK's exit. By the end of March 2019, our online 'living-in guides' were receiving 120,000 visits each week and reached a total of 1.9 million unique page views during 2018–19. Our campaign included information about potential changes as a result of the UK's exit, such as impacts on passport validity and advice to help British residents in EU countries. We worked with over 30 travel, consumer and insurance partners to provide information to travellers before they visit the EU.
British people living, working or travelling overseas currently have more than 1.3 million subscriptions to receive country specific updates to our travel advice.
## Providing High Quality, Accessible Consular Services Globally Emergency Travel Documents Online Enquiries
During 2018, we launched a new intelligent online enquiry form for consular customers on GOV.UK. Users are directed to the right online advice and, if this does not answer their question, staff at our contact centres will respond. This allows us to respond consistently and professionally to British people who need help.
We issued 29,766 emergency travel documents (ETDs) in 2018–19 to British people whose passports were lost, stolen or expired overseas. Updates to our digital systems mean that, for straightforward applications, the whole process can now be completed online—including uploading documents and photos, and making payments. Customers only have to visit our embassy or consulate to collect their ETD, and 94% of applicants are taking advantage of this new flexibility.
With customers directed to easy-tofind and relevant answers, monthly email enquiries have dropped from roughly 40,000 to 12,000 online. And 90% of enquiries are answered without escalating to an embassy for reply, so consular staff can focus on helping those who most need our help. The efficiency of this new process means that its full cost will be repaid within a maximum of 18 months in reduced staff time.
A new centralised ETD processing centre in Madrid ensures we are able to provide consistent decision-making for sensitive border documents, while meeting our public commitment to process completed straightforward applications within two working days. The centre has freed up embassy staff to focus on prevention and providing assistance to vulnerable people.
## Travel Advice
Over the past year, 82% of consular customers interviewed reported Our travel advice provides tips to help British people prepare for troublethat they were satisfied or highly satisfied with our service, exceeding our target of 80%. We received 3,397 compliments and 166 complaints, a ratio of almost 20:1. We continue to work to improve our services.
## Building Capacity
We have continued to train and exercise our staff in London and our Posts overseas to be ready to respond to crises. Overseas, our network of regional crisis advisers have visited over 50 Posts for capacity building, reaching over 3,000 staff in our network. We continued to develop our response capability in London including through a high-tech upgrade to audio-visual systems in the FCO's crisis centre. Implementing lessons from the 2017 hurricanes, we have trained 20% of all FCO staff in London (about 550 people) as a crisis-ready resource. We adapted our crisis response structures to ensure we had robust preparations in place for a possible no-deal exit from the EU in March 2019. This included conducting our largest crisis exercise to date involving over 30 EU and European Free Trade Association Posts.
## Priority Outcome 3: Euro-Atlantic Security (Partially Achieved) Strengthening Euro-Atlantic Security
Ensure a strengthened, more cohesive NATO with increased defence contributions from European Allies and an effective Western response to Russian security challenges. Support a more resilient European neighbourhood. Build a distinct UK voice and strategy on wider Euro-Atlantic policy through a new security partnership with the EU, deepened bilateral links with other Europeans, and a renewed dialogue with the US.
## Overview
The UK's contribution to the NATO Summit, Western Balkans Summit, and Ukraine Reform Conference demonstrated our commitment to Euro-Atlantic policy and these key partnerships. We reinforced the UK's position as the leading European ally within NATO, and achieved a substantial package of UK policy objectives to ensure NATO is capable of responding to the latest threats facing the Alliance. We worked to support a more resilient European neighbourhood, explored new ways to respond to changing security threats, and confirmed that European defence and security will remain a priority.
## Progress In 2018–19 Ensuring A Strengthened, More Cohesive Nato
Over the past few years, NATO has initiated the most significant strengthening of its collective defence in a decade, including increased resilience against hybrid and cyber threats and an increased role in the fight against terrorism. The UK has played a leading role in the alliance, driving forward policy in line with our NATO strategy. The FCO has aided cross-Whitehall efforts through our joint Euro-Atlantic Security Policy Unit, and our overseas network, including our delegation to NATO. The NATO Brussels Summit 2018 helped to reinforce the UK's position as the leading European ally within NATO, achieving a substantial package of UK policy objectives. The FCO was critical in leading the international lobbying effort needed to secure substantive policy outcomes, in agreement with NATO allies. This lobbying played a vital The UK committed to:
100 new posts to the NATO Command Structure, taking our commitment to over 1,000 UK Service Personnel.
440 additional troops into the UK-
led Kabul Security Force, making us the third highest contributing nation.
The NATO Summit, which took place in July 2018, was an opportunity for the FCO to demonstrate the UK's commitment to NATO and the alliance's role as the bedrock of European security. As part of his tour of allied capitals ahead of the summit, the NATO Secretary General, Jens Stoltenberg, also visited the UK in June, with the aim of building consensus on certain issues, particularly burden sharing. The FCO recognised this opportunity to discuss key issues and showcase UK commitment to NATO as well as reinforce our position as the leading European ally. We approached the 2018 NATO Summit knowing it was potentially the last gathering of NATO heads of state and government before EU Exit. Working with MOD and other government departments, we drove the agenda themed on a modern, unified NATO, ready to face new global challenges and deliver against its commitments. The FCO, engaging with NATO allies both at Post and London missions, and across Whitehall, delivered UK policy objectives and led on the international lobbying effort to secure substantive policy outcomes in agreement with NATO allies. The NATO Secretary General's visit also helped to move forward key decisions to be taken at the NATO Summit. The summit cemented deliverables that:
»
» strengthen deterrence and defence
»
» reinforce the transatlantic bond
»
» increase NATO's contribution to stability
and the fight against terrorism
»
» help progress towards fairer burden-sharing
role in ensuring a strengthened, more cohesive NATO with increased defence contributions from European allies and an effective Western response to Russian security challenges.
In June 2017, the UK became the first NATO member to volunteer its sovereign offensive cyber capabilities to NATO. Building on this, the UK led efforts to develop a mechanism to integrate sovereign cyber capabilities into alliance operations and missions. The mechanism was endorsed by allies at the NATO Summit 2018.
of security issues. This involved extensive ministerial contact, including three Foreign Secretary visits to Washington and President Trump's working visit to the UK.
In addition to this intense dayto-day co-operation, the two governments put in place an overarching six monthly UK-US strategic dialogue involving the Foreign Office, MOD and National Security Secretariat to deepen bilateral co-operation on foreign, defence and security issues, and provide a forum in which to discuss longer-term challenges. The first meeting took place in November 2018 and the next one is scheduled for July 2019.
## Supporting A More Resilient European Neighbourhood
The UK will host the second NATO Cyber Defence Pledge Conference in London in May 2019. The UK has also worked closely with the EU to develop and use the EU Cyber Diplomacy Toolbox. The UK secured EU agreement to introduce a cybersanctions regime, and agreed with NATO how to integrate sovereign cyber effects within a framework of strong political oversight.
FCO Conflict, Stability and Security Fund (CSSF) programmes have also sought to strengthen peacebuilding and resilience of conflict-affected communities in Ukraine. Through CSSF programmes, over 111,000 Internally Displaced Peoples received necessary assistance from our network of 23 Liaison Officers across Ukraine to resolve the rights of conflict affected peoples and establish more integrated communities. CSSF support also increased capacity and developed strategies in key ministries.
The FCO has worked to develop EU defence and security policy in a way that complements NATO, in line with our EU Exit objectives. The UK fully accepts and respects the EU's decision-making autonomy, but we think it is an important test of how EU defence initiatives develop that they should support NATO's role, not duplicate it—especially as after EU Exit, non-EU countries will provide 80% of NATO's spend. We have worked closely with other government departments to draft a future partnership agreement with the EU on the Common Security and Defence Policy. We have been consistent in our calls for coherence on defence capabilities so that EU defence initiatives, including the European Development Fund and Permanent Structured Co-operation help the EU do more for its own security and not cut across NATO.
The Prime Minister's visit to Skopje in May 2018 demonstrated her support to Greece and (the then) Macedonia to resolve the longstanding name issue dispute. At the NATO Summit in July 2018, Macedonia was issued an invitation to start accession talks in a clear sign that NATO's Open Door policy continues and can help spread stability in the Euro-Atlantic area. The UK looks forward to welcoming the newly named North Macedonia as NATO's 30th member.
## Establishing A Distinct Uk Voice On Euro-Atlantic Policy Through A Renewed Dialogue With The Us
The UK and US continued to work together intensely across the range
## In Focus: Western Balkans
In July 2018, the Prime Minister hosted European and Western Balkans leaders at the Berlin Process Western Balkans Summit in London. She announced an increase in UK funding for the Western Balkans from £40 million in 2018-19 to £80 million by 2020-21, and the doubling of staff working across the region. Further commitments included deployment of HMRC experts to help financial investigation units, Chevening Fellowships for mid-career law enforcement professionals, and investment in the region's cyber capability. Leaders signed landmark declarations addressing postconflict legacy issues (war crimes, missing persons, good neighbourly relations) and agreed unprecedented collaboration in our joint response to shared security threats. The summit involved strong contributions from 140 youth advocates and civil society representatives from the region who took part in a debate with foreign ministers and spotlight events on media freedom and avoiding discrimination. We launched the British Council's 21
st Century Schools project—the biggest commitment any country has ever made to education in the Western Balkans and the future of its young people. Across the region, education is poorly aligned to labour market needs and jobs lie empty because of a lack of people with IT and digital skills. The CSSF-funded £10 million, three-year programme, aims to give one million 10-to-15-year-old students across the Western Balkans critical thinking, problem solving and coding skills. It will provide training in over 4,500 schools across all six Western Balkans countries, giving access to a digital education and improving the quality of primary education.
24 Foreign & Commonwealth Office Annual Report and Accounts 2018–2019
## Project Our Global Influence
Protect and promote the values and influence of Global Britain, strengthening our partnerships and the rules-based international system. Support good governance, democracy, rule of law and human rights; prevent and resolve conflict; and build stability overseas.
## Priority Outcome 4: Conflict And Stability (Partially Achieved) Strengthening The Rules-Based International System And Supporting Security, Stability And Good Governance
Strengthen the rules-based international system, including more credible UN action to resolve conflict, working with the UNSG on reform. Focus UK effort on NSC priority countries. Advance political processes in Afghanistan, Syria, Libya, and Yemen. Support security, stability, and good governance in the Middle East and Africa. Work to resolve the Rohingya humanitarian crisis.
## Overview
The Foreign Secretary and Permanent Under-Secretary visited Burma to underline our condemnation of the atrocities against the Rohingya, and have given full support to the UN- led political process in Yemen.
The FCO worked to protect the rules-based international system and ensured the UK remained a global leader promoting international peace and security.
## Progress 2018–19
The UK remains a committed permanent member of the UN Security Council, continuing to uphold its responsibility to maintain international peace and security. The FCO has pursued a three strand approach to address the threats to the international order, outlined by the Prime Minister at the UN General Assembly in September 2018:
»
» demonstrating leadership in
The UK Government's crossdepartmental Conflict, Stablity and Security Fund (CSSF) provides important development and security support to countries which are at risk of conflict or instability. The FCO plays a unique role within the CSSF and makes a critical contribution to its work tackling the global challenges too big for any one department. The FCO both delivers the majority of CSSF programmes, and co-ordinates wider crossgovernment efforts at the country and regional level, drawing on its deep foreign policy expertise to do so.
building broad coalitions to defend core elements of the international system, while pushing the UN to deliver leadership on international security
»
» advocating for reform of a
Bringing together our bilateral and multilateral diplomacy we worked towards supporting security, stability and good governance across the Middle East, Asia and Africa.
wide range of international organisations, such as the UN, World Trade Organisation, and NATO, to ensure it delivers effectively for people, and, in doing so, retains or regains public trust
»
» working with partners to
We secured the safe evacuation of the White Helmets in southern Syria, and celebrated with the Global Coalition the liberation of former Daesh territory.
develop new norms and best practice in emerging areas of
international interest, such as new technologies and space The UK worked closely with the UN Secretariat to agree the Declaration of Shared Commitments on UN Peacekeeping Operations. The declaration was endorsed by 151 member states. It is part of the UN Secretary-General's Action for Peacekeeping reform agenda and complements our '3Ps' priorities of better mission Planning, quality Pledges of personnel and equipment, and stronger mission Performance. In September we worked with the US to pass Security Council Resolution 2436 on peacekeeping performance. Our peacekeeping programme is supporting the rollout of a Comprehensive Performance Assessment System to better inform decision-making and improve accountability. The UK has been a strong public supporter of UN Secretary-General Guterres' Sustaining Peace initiative, focused on conflict prevention, peacebuilding and better coordination across the UN system. The UK has recently doubled its annual contribution to the Peacebuilding Fund, which will deploy flexible financing to fragile states at risk of slipping into, or returning to, conflict. Through the CSSF, we are funding:
at Lancaster House, it secured high-level representation from the Afghan government, the US, EU and other international partners.
The FCO has supported efforts to kick start a peace process in Afghanistan. We have maintained a close bilateral relationship with the Afghan High Peace Council and expressed vocal support for the US Special Representative, Zalmay Khalilzad, with whom we worked closely as he sought to use unprecedented talks with the Taliban to create an opening for peace.
The ICG succeeds in bringing together over 50 of the key states and international organisations under joint German-Afghan chairmanship to improve co-ordination and understanding of international activity in and on Afghanistan. Working closely with the Afghan and German chairs, we were able to frame a clear agenda looking at As part of the cross-government strategy on Afghanistan, the FCO hosted an international conference of the International Contact Group (ICG) on 31 January 2019. Held
»
» conflict mediation and UN
diplomatic efforts through the UN Department of Political and Peacebuilding Affairs multi-year appeal
»
» cross-UN system rule of law
coordination through the Global Focal Point mechanism
»
» increased in-country expertise
through the deployed Peace and Development Advisors programme
»
» additional local staff to
UN country teams
known as the 'White Helmets', and find them refuge in third countries.
The CSSF is also supporting the UN-World Bank partnership and implementation of the Pathways for Peace report. This includes through financial support for the Humanitarian, Development, Peacebuilding and Partnership Facility, which will increase joint analysis, planning, and provide technical assistance in fragile country contexts.
## Syria
Volunteers, whose emergency services have saved over 115,000 lives since the start of the Syria conflict, faced an urgent risk to their lives as the Syrian regime re-took former opposition areas of southern Syria. We lobbied international partners to secure agreement for them to leave Syria via Israel and be temporarily hosted in a safe location in Jordan until third-country resettlement procedures could be completed.
The FCO helped co-ordinate an international effort to rescue the the key issues, including a peace process and counter-terrorism. The successful conference improved understanding of and support for current international peace efforts, as well as agreement on the crucial role of presidential elections for Afghanistan's long-term path to stability. Partners also affirmed broad recognition of the changing face of the terror threat in Afghanistan, and reaffirmed the critical role of development to sustainable peace and of the principle of protecting human rights gains.
We also lobbied several countries to resettle a proportion of the evacuated White Helmets, such as Germany and Canada. In total, 422 White Helmets were able to leave Syria, and of these, 99 were resettled in the UK. In March 2018, Minister Burt launched the Shared Approach to Gender in Syria, setting out how HMG will use the full range of policy, diplomacy and programme tools to place women and girls in the centre of all our efforts on conflict and stability.
## Yemen
as well as the formation of a crosssectarian and inclusive government.
Yemen has been a priority over the last year. It remains the largest humanitarian crisis in the world and a planned assault on the port city of Hodeidah, through which the majority of humanitarian aid enters Yemen, risked worsening this appalling situation.
Among other key activity, we have encouraged a steady improvement in relations between Baghdad and the Kurdistan Regional Government in Erbil. We provided assistance to the Government of Iraq in its efforts to promote reconstruction and reconciliation in liberated areas as well as to improve the business environment.
## Jordan
Jordan is a critical partner for the UK in the Middle East. Since the Prime Minister's announcement of a new strategic partnership, made in 2017, our bilateral relationship has continued to build.
As part of the UK's support for a political solution to end the Yemen conflict, the Foreign Secretary toured the region in the autumn. This leveraged influence on the parties to attend peace talks for the first time in two years in December 2018. The imminent humanitarian crisis was averted and a ceasefire in Hodeidah—while still fragile—held. Work in the next year will focus on supporting the UN-led political process in Yemen and avoiding deterioration of the humanitarian situation.
## Iraq
The FCO has focused on building on the territorial defeat of Daesh to stabilise the region and maintain counter-terrorism assurance.
The FCO is working with Whitehall departments to leverage the full range of government capabilities and expertise. This included deploying the FCO's diplomatic network and logistical capabilities in support of the DFID-led Jordan Conference in February 2019. The conference brought together a strong coalition of international partners, demonstrated the UK's international convening power and highlighted the level of international support for Jordan's economic resilience.
Working across government and with our international partners in the Global Coalition, we have helped support Iraq on the path towards greater normalisation over the last year.
The UK plays a leading role in the international community by supporting the Government of Jordan to deliver follow-ups that ensure sustained implementation of Jordan's economic reform plan. We also support the Jordanian government to ensure the country's continued security and the resilience of its political institutions.
We supported the Government of Iraq in effectively countering the threat from Daesh, reducing the latter's ability to pose a terrorist threat to the UK. We also helped to ensure Iraq's national elections in May 2018 resulted in a peaceful and democratic transfer of power,
## Somalia
Following on from the 2017 London Somalia Conference, 58 countries and six international organisations reviewed the progress made over the year at the Somalia Partnership Forum held in Brussels in July 2018. The forum welcomed political, security, economic and humanitarian achievements, and agreed new commitments to accelerate state-building. However, there have been ongoing challenges. These include the delays in consolidating Somalia's federal system and progress towards one-person-onevote national elections, and limited progress on security sector reform. The expulsion of the UN Special Representative of the Secretary General in Somalia was deeply regrettable. The UK is working with the international community and Somali partners to ensure our collective efforts continue to deliver against the commitments made at the London Conference. In support of the security, development and humanitarian assistance in Somalia, the UK assigned over £300 million in 2018–19 to address these ongoing challenges. This includes providing humanitarian assistance to over 1.2 million people in 2018; emergency food assistance to over 1.4 million; access to clean water and better sanitation for 875,000; and better access to healthcare for over a million Somali women and children. UK funding is also helping to re-establish federal and regional government systems and capabilities to:
»
» create jobs and raise revenue
## In Focus: Fco-Led Support For Democracy Across Africa
»
» build capacity of the Somali security
## Zimbabwe
forces and institutions for a conditionsbased transition from the African Union
Mission in Somalia to Somali-led security
»
» promote a more inclusive election process
»
» give over 10,000 women access to justice
»
» tackle female genital mutilation
and sexual violence
In July 2018, Zimbabwe held its first post-Mugabe election, a key moment for the country to demonstrate the new government's willingness to break from the rigged and violent elections of the past. To help Zimbabwe achieve a more peaceful, democratic and prosperous system, we sought to use our influence and development programming to support improvements to the electoral environment.
## Burma (Myanmar)
The UK has continued to be at the forefront of international efforts to support the Rohingya, including nearly one million refugees in Bangladesh and the estimated 600,000 still in Burma.
The FCO lobbied the Government of Zimbabwe at senior level to secure tangible improvements to the electoral environment and to open the electoral process—not only to international journalists, but to international election observers. We co-ordinated with international partners, including the EU and Commonwealth, worked with DFID, civil society and development partners, and deployed UK observer missions on election day across all 10 provinces to Zimbabwe.
As one of the largest donors to the humanitarian response, the UK has provided £129 million since the crisis first started in 2017, which has focused on the protection of rights for refugees and the prevention of sexual violence, as well as emergency food and shelter.
In the tense period following the election, including violence in Harare on 1 August 2018, we monitored developments in real time. We engaged with main political parties and key stakeholders, urging restraint on all sides and raising concerns directly with the government. We also used our Embassy in Harare to provide information as necessary to British nationals. Although there is progress to be made, there was general recognition that the electoral process was an improvement on those of 2008 and 2013. The findings of the EU observation mission identified several fundamental steps forward, many of which the British Embassy played a leading role in.
We have built 19 women's centres for refugees in Bangladesh and, in Burma, the UK has adapted its aid portfolio to meet changing needs by placing greater emphasis on social cohesion and targeting those who are persistently left out of economic and social development.
## Nigeria
In an effort to support Nigeria's 2019 presidential, national and state assembly elections, the FCO election team led the cross-government election engagement strategy. The breadth and depth of understanding of the issues, and range of partnerships, enabled the UK government to influence the conduct of different actors in the election and speak out confidently about the result of the elections.
The UK has played an international leading role on Burma at the UN, Security Council, Human Rights Council, and within the EU. The Foreign Secretary convened a meeting of foreign ministers at the UN General Assembly in September 2018 to discuss how best to ensure the perpetrators of these atrocities can be brought to justice and refugees can return.
The cross-government election engagement strategy saw every UK government department in Nigeria involved in identifying key stakeholders and opportunities to deliver messages. This also included working with like-minded missions to co-ordinate our public and private messaging, designed to deliver maximum support for the Nigerian democratic process from the international community.
In the Human Rights Council, the UK worked closely with the Organisation of Islamic States and the EU to secure a resolution which established a mechanism to protect and preserve evidence of atrocities for future prosecutions. A resolution agreed at the most recent Human Rights Council, in March 2019, extended the mandate of the Special Rapporteur on the Human Rights Situation in Myanmar.
The FCO also leveraged DFID-funded programmes, such as 'Deepening Democracy in Nigeria' and broader relationships with civil society, including the organisation that delivered the Parallel Voter Tabulation exercise, which played an important role in validating election results. Although there were shortcomings, our actions mitigated some of the greatest risks and gave civil society and key Nigerian institutions the support to operate effectively and independently.
In the EU, the UK was at the forefront of efforts to sanction an additional seven senior Burmese military officials responsible for committing atrocities. This brought the total number of individuals placed under targeted EU sanctions to 14.
## Priority Outcome 5: Promoting Uk Interests And Values (Partially Achieved) Championing Democracy, Human Rights And The Rule Of Law; Addressing Global Challenges And Strengthening The Uk Role In International Institutions
Champion democracy, human rights and the rule of law, and address global challenges, including through campaigns on preventing sexual violence in conflict, reducing modern slavery and promoting female education. Promote human and environmental security through London Illegal Wildlife Trade Conference. Deepen relationships between states and people, including through the Commonwealth Summit.
»
» sent observers to monitor elections
## Overview
across the globe including in Zimbabwe, Turkey and Russia
»
» trained over 800,000 electoral
staff in Pakistan, through the FCO CSSF-funded programme, which directly facilitated over 400,000 women to register to vote
—overall, UK support led to
the inclusion of an additional 3.1 million women to the electoral roll
»
» provided £3.5 million in core
The FCO continued to stand up for values of democracy, tolerance and freedom to help keep people safe and improve their quality of life. We have worked to tackle the global challenges that will affect the next generation, including preventing the root causes of sexual violence in conflict and disrupting the worldwide Illegal Wildlife Trade.
funding to the Westminster Foundation for Democracy, which works to promote inclusive politics and to support democratic institutions in 40 countries
»
» agreed a five-year strategic plan,
Many of these global challenges require international solutions and we have worked in partnership with old allies and through international institutions to make a difference on these important issues.
## Progress In 2018–19
and issued its first ever outcome statement, on the important issue of media freedom, during the UK's six-month term as chair of the Executive Committee of the Community of Democracies
## Championing Democracy, Human Rights And The Rule Of Law
Our ministers, officials and diplomats across the globe are determined to extend the rights of people no matter where they live or who they are, or what their belief. In 2018- 19 we have taken a three pronged approach: challenging states which Since the turn of the millennium, the worldwide advance of human rights and democracy has slowed and, in some respects, gone into reverse. Freedom House reported that 2018 was in the 13th consecutive year of 'global declines in political rights and civil liberties'. This makes it even more important that the FCO strives to uphold the values that define our country. In 2018, the Foreign Secretary outlined his ambition for the UK to be the 'Invisible Chain' linking countries in every corner of the globe. Since then we have:
violate or fail to protect human rights, working constructively with those that are open to change, and collaborating with governments and international organisations and civil society groups that share our aims. The UK's network of Embassies, High Commissions and other diplomatic missions supported Human Rights Defenders (HRDs) across the world. In Colombia we supported over 200 HRDs at risk and supported the legal rights' training of 2,000 Dalit women in India, which created the first ever network of women Dalit HRDs. With a core objective to increase respect for equality and nondiscrimination for all, the FCO supported several projects through the Magna Carta Fund. We committed £1.1 million to LGBT rights projects worldwide—a 107% increase in funding on the previous financial year. In Malawi, as part of our work to reduce the death penalty overseas, a project on re-sentencing concluded in March ensuring that the majority of the 168 individually affected by the mandatory death penalty The Prime Minister at CHOGM 2018
## Education And Lgbt Rights
The FCO recognised the need for accelerated action to ensure that governments around the world reform their education systems, invest in good teaching, and prioritise the needs of marginalised communities, to meet the Sustainable Development Goal commitment of quality education for all girls and boys by 2030. Working closely with DFID and the Department for Education, the FCO launched the Leave No Girl Behind campaign during the Commonwealth Heads of Government Meeting (CHOGM) 2018. At the summit, we committed to using the UK's 2018–20 term as chair-in-office of the Commonwealth to deliver tangible progress on girls' education, and to encourage governments to provide all girls with 12 years of quality education by 2030. We co-hosted a girls' education event at the UN General Assembly, with the governments of Canada, France, Jordan, Kenya and Niger. Through successful lobbying on Commonwealth, UN and G7 countries by the FCO global network, the UK achieved an all-time record by enlisting the support of 152 countries for our statement on the importance of girls' education. At the G7 Summit, the UK, EU, Germany, Japan, the World Bank and Canada pledged a total of over $3.8 billion to deliver girls' education. We have spent around £1 million on projects across the network to progress this work. The Platform for Girls' Education has published its first report, which analyses the barriers to girls' education and presents recommended policy solutions. The UK has provided £212 million to support the Girls' Education Challenge in nine Commonwealth countries in Africa, which aim to ensure 920,000 marginalised girls continue to access quality education and learning. It also offers a second chance to up to a further 53,000 highly marginalised girls who either dropped out of school or didn't have the opportunity to learn. The FCO also set out to ensure CHOGM enabled meaningful dialogue on issues relating to equality and inclusion, particularly on LGBT rights. The Prime Minister was clear that the UK stands ready to support any Commonwealth country wishing to reform legislation which discriminates on the grounds of sex, gender identity, or sexual orientation. The FCO underpinned this commitment with an allocation of £5.6 million to enable the Equality and Justice Alliance in support of those who wish to reform legislation. The FCO co-ordinated cross-department working with DFID, the Government Equalities Office and Cabinet Office, to develop a cross-Whitehall approach and engagement strategy. We led on engagement with genuine and credible voices, including with Commonwealth governments and civil society organisations, to develop messaging that appealed to key concerns and the lived experience of the Commonwealth's LGBT community. We also funded the development and implementation of the Commonwealth Equality Network's CHOGM 2018 strategy, and supported their official accreditation within the Commonwealth itself. The FCO is now working to ensure there are further meaningful LGBT rights discussions at CHOGM 2020, building on the success of the London summit.
received a re-hearing, with 112 granted an order of immediate release. In 2018, the UK increased its support for UN Human Rights work, including cosponsoring a UN resolution on freedom of assembly and association. In the Third Committee of the UN General Assembly, the UK participated in the core group on the resolutions on Iran to express concern for: limitations of religion or belief; restrictions on freedom of expression and the operation of the rule of law; and women's rights. The UK also participated in the core group supporting a resolution on human rights in Crimea, and condemning Russia for its illegal annexation. At the Human Rights Council (HRC), the UK:
»
» led three HRC
resolutions on Syria
»
» brokered a technical
assistance resolution on Sudan in September, and led on the South Sudan and Sri Lanka resolutions in March 2019
»
» worked closely with Libya
on an HRC resolution to improve accountability in that country
The UK was also active in negotiations that led to the EU tabling an HRC resolution on Burma together with the Organisation of Islamic Co-operation for the first time, which mandated an independent mechanism to advance accountability for possible crimes against humanity and genocide.
## Tackling Global Challenges
Alongside our work to champion democracy and Human Rights, the FCO is committed to working with partners to tackle international challenges to make the world a safer and fairer place.
## Preventing Sexual Violence In Conflict Initiative
The FCO has supported the Preventing Sexual Violence in Conflict Initiative (PSVI), focused on its three pillars:
»
» tackling the stigma
faced by survivors
»
» strengthening justice
and accountability
»
» preventing the root causes of
sexual violence in conflict
Progress over the past year:
This includes funding a study of over 100 jurisdictions for use as a tool to help countries more effectively tackle IWT using money-laundering legal provisions. We also provided joint DFID-FCO Prosperity Funding of £3.5 million to help develop financial crime investigation capacity in countries where IWT-related money laundering may be taking place. In July 2018, experts at a Wilton Park IWT Conference pushed for the implementation of a co-sponsored UN General Assembly Resolution on IWT, calling for countries to amend national legislation so that IWT crimes can be prosecuted under money-laundering laws.
## Modern Slavery
UK-funded supporting sexual violence, which will policy for the UK and the international community We have continued work on the modern slavery campaign, focusing on galvanising global efforts to meet Sustainable Development Goal 8.7 to end forced labour, modern slavery and human trafficking. The UK brought together an increasing number of states to commit to eradicating modern slavery in all its forms, and 88 governments signed the Call to Action by the end of the financial year.
The PSVI
Film Festival, Lord Ahmad co-hosted a roundtable event at the UN General Assembly on preventing sexual violence in conflict together with the UN Special Representative of the Secretary- General on Sexual Violence in Conflict Fighting Stigma
## Freedom Of Religion Or Belief
Through Film, was successful
## Feb 2019
in raising awareness of this abhorrent crime and galvanising the international community into future action The FCO held a Wilton Park conference with a broad range of stakeholders and technical experts to identify practical steps for strengthening justice for survivors and holding perpetrators to account
## Illegal Wildlife Trade Campaign
Another key aspect of FCO's work over the last year was the Illegal Wildlife Trade (IWT) campaign, to promote human and environmental security and reduce threats to endangered species. We have catalysed activities relating to serious and organised crime and IWT-related money laundering.
In July 2018, the Prime Minister appointed Lord Ahmad of Wimbledon as her Special Envoy on Freedom of Religion or Belief (FoRB). Lord Ahmad has led FoRB diplomacy efforts, defended the right to FoRB internationally, and responded quickly, along with our diplomatic network, to specific instances where FoRB is under attack. The UK has been active in raising the rights of members of the most discriminated religious minorities worldwide; for example the Baha'is in Yemen and Iran; Jehovah's Witnesses in Russia; and the Rohingya. At the 40th UN Human Rights Council in March 2019, Lord Ahmad raised concerns about restrictions on FoRB in China, including on Muslims in Xinjiang and Christians across China. We have also committed over £1 million of the FCO's Magna Carta fund for Freedom of Religion or Belief, which is supporting human rights defenders for all faiths in Burma and is helping to develop curriculum to promote tolerance between faiths in post-conflict Iraq.
## Deepening Relationships Between States And People
In April 2018, the UK hosted the Commonwealth Heads of Government meeting (CHOGM)—the largest summit of its kind in our country's history. 46 Heads of Government and 49 Foreign Ministers met and agreed actions to build a Commonwealth that is fairer, more sustainable, prosperous, and secure. The FCO has continued to work with the Commonwealth Secretariat, its 52 other member states, and its organisations to deliver on commitments made at the summit. We have helped raise the profile of the Commonwealth and have strengthened cooperation on:
»
» Inclusive and Accountable
Democracy: The FCO is working with the Commonwealth Partnership for Democracy to promote the political participation of women, young people, and persons with disabilities.
»
» Cyber Security: We have partnered
with the World Bank to deliver national cyber security reviews in a range of member states. UK- funded training and events will directly benefit the cyber security of 37 Commonwealth countries.
»
» Digital Trade: The Commonwealth
Envoy co-chaired, with South Africa, the first meeting of the Digital Connectivity Agenda. The meeting brought together 17 member states to explore how to create a more enabling environment for digital trade.
»
» Blue Economy: The FCO-led
Commonwealth Marine Economies Programme is helping eight Small Island Developing States develop national Maritime Economy Plans. The FCO-co-ordinated Plans will help to sustainably develop and protect marine environments in the Caribbean and the Pacific.
Lord Ahmad has launched an initiative to strengthen the voice and co-ordination of the Commonwealth in the UN and other multilateral forums. Member states are now meeting more frequently to share priorities in key institutions such as the Human Rights Council and World Trade Organisation. The UK is now working closely with the Government of Rwanda to share our experiences ahead of CHOGM 2020 in Kigali.
## In Focus: London Illegal Wildlife Trade Conference 2018
Outlined as a key priority last year, the FCO, jointly with Defra and DFID, hosted a high-level global Illegal Wildlife Trade (IWT) Conference to promote human and environmental security and reduce threats to endangered species. The conference focused on tackling IWT as a serious organised crime, building coalitions, and closing markets. We called for the international community "to act together to support and build urgent collective action to tackle IWT as a serious crime carried out by organised criminals, and to close markets to illegally traded wildlife". Since then, 65 countries have adopted the London 2018 Declaration. Many of these countries, along with over 50 NGOs and agencies, including the UN, pledged specific actions which they continue to act on. The conference was a reflection of our Global Britain agenda. It attracted high-level attendance and brought IWT to the top of the international political agenda. We brought together 1,300 participants, including global leaders from more than 70 countries, civil society, academia, NGOs, conservation specialists and the private sector.
The FCO works to support a wide number of international organisations. A significant achievement of 2018-19 was the re-election of Malcolm Johnson as Deputy Secretary-General of the International Telecommunication Union (ITU). The FCO, working with technical experts in DCMS, successfully secured his reelection in November 2018, as a result of the reach and influence of the FCO's overseas network. Re-election provided continuity and balance in the senior roles at the ITU, forming a strong base for continued reform as it engages with new challenges.
We have since witnessed other countries and regions take forward their own IWT initiatives including Peru who hosted their first regional Americas IWT conference in 2019. As a direct result of their pledge made at the London conference, Thailand, as ASEAN Chair, hosted a special ASEAN ministerial IWT meeting in March 2019. On the eve of the London IWT Conference, the United for Wildlife Financial Taskforce was launched by HRH The Duke of Cambridge. It engaged the financial sector to identify and implement actions to track and report illicit financial flows linked to IWT. An information-sharing system was established to support the actions of taskforce members and has helped to reach strong results:
In 2018-19 we have worked across the UN system, in multilateral negotiations, in bilateral meetings, in public and in private, and at ministerial and senior official levels to support, defend, encourage and maintain UN reform efforts. We have worked with colleagues across government and likeminded states, to make the most of diplomatic capital and a small amount of programme funding. The coming year will be critical for the reforms which will improve UN accountability and governance, streamline process and strengthen the UN support infrastructure. These should empower better leadership, able to deliver more effectively, and with greater impact, value for money and credibility in the field.
## In Focus: Soft Power Soft Power And The Uk
Soft power—the ability to influence others through the power of attraction—has an essential role to play in our ability to advance UK interests overseas, project our values and support the FCO's Global Britain vision. It is central to building influential global relationships, promoting our prosperity and ultimately protecting our people.
Consistently ranking highly in the Portland Soft Power 30 (number 1 in 2018) and other indexes that measure soft power, the UK can proudly lay claim to considerable strengths. These range from the rich diversity of our culture, sport and educational institutions, to our traditions of democracy.
crucial role in supporting UK soft power. For example, Wilton Park is the FCO's in-house convenor of international foreign policy dialogues held in the UK and all over the world. Over the last year, they have delivered 68 events supporting the UK's foreign policy objectives.
Creating the enabling environment for soft power to thrive requires a cross-government and whole of UK approach. This year we are working with partners and a range of government departments to produce an FCO-led, crossgovernment soft power strategy.
While respecting the independence of the institutions which generate UK soft power, the strategy will recognise the role that government, in partnership with the devolved administrations, has to play in creating an environment to maximise soft power potential, and opportunities for engagement in the UK and across the global network.
The vast majority of the UK's soft power activities are delivered through organisations that are independent from government, and respecting their independence sets the context of this work. The In the coming year, we will enhance our promotion of soft power overseas, integrating soft power into Posts' business plans and ensuring new Heads of Mission have the consistent support to be able to maximise their soft power assets and boost the UK's presence, influence and impact in their region. Increasing the UK's presence overseas, delivered through the Global Britain Uplift, further builds on our capability to deliver soft power objectives within the overseas network.
## Scholarships
The UK has a world-class reputation for education, which enhances our soft power through:
»
» promoting the reputation
of the UK
»
» developing people-to-people
links and government-togovernment partnerships
»
» attracting foreign nationals
to learn within and from our education system
To leverage this competitive advantage, the FCO has funded and run Chevening Scholarships for 35 years—a unique opportunity to build positive relations with future leaders, influencers and decision makers from all over the world. In September 2018, we welcomed 1,790 scholars to the UK from over 150 countries, many supported by academic and corporate partnerships which co-fund scholar places alongside the FCO. We have a unique and influential alumni network which now exceeds 50,000 leaders around the world, including presidents, prime ministers, academics and business leaders. Our alumni are friends and allies of the UK, making positive change in their communities and countries, and strengthening our diplomatic efforts around the world.
The FCO's investment has also enhanced TV services for Africa, created regionalised content for BBC
Arabic, improved services for Russian speakers in Russia and surrounding countries, and enhanced World Service English.
Note: The BBC World Service
is not an arm's length body
of the FCO. The BBC World
Service is editorially and
operationally independent of
government. Decisions on the
way services are delivered, and
the content of programmes
are a matter for the BBC.
In recognition of the special relationship between the UK and the US, our Marshall Scholarship, set up in the 1950s, brings together exceptional future leaders (43 in 2018) from the US to study in the UK. In 2018, our Marshall alumni included two of the seven Supreme Court Justices and an astronaut visiting the International Space Station. Our alumni are in influential positions across the US, advocating for the special relationship and supporting our bilateral relations.
## British Council Bbc World Service
The BBC World Service brings the UK to the world and links the UK to people and communities who would not otherwise have this opportunity. It is invaluable for the UK's soft power and influence at such an important time. The FCO strongly supports the BBC's mission to bring high-quality and impartial news to global audiences, including where free speech is limited.
The British Council is the UK's international organisation for cultural relations and educational opportunities. It has a presence in over 100 countries and works closely with UK government in London and its overseas network. Although operationally independent from government, they are strategically aligned with UK foreign policy objectives, and contribute to projecting British values overseas.
The government is investing £291 million between 2016 and 2020 to support the BBC World Service through the World 2020 Programme. This has enabled the BBC to implement one of the largest expansions of the BBC World Service in 70 years, with new services which are tailored to the audiences' needs.
The British Council supports UK soft power by building connections and trust between the UK and other countries through its work in art and culture, the English language, education, and civil society. By doing so, it contributes to the UK's security, prosperity and influence.
The World 2020 Programme expands the BBC World Service's digital, TV and audio offering. Since 2017, they have successfully launched 12 new language services:
The British Council is a significant driver of UK soft power. On a yearly basis, FCO Grant-in-Aid has supported the growth of the British Council's people-to-people links.
»
» Yoruba, Pidgin, Igbo (Nigeria)
»
» Amharic, Oromo (Ethiopia)
»
» Tigrinya (Eritrea)
»
» Marathi, Gujarati, Punjabi,
Telugu (India)
»
» Korean
»
» Serbian
In addition, the British Council generates about 85% of its income through commercial sources to support its strong, visible presence across the world. Surplus earned from this work is then recycled to deliver more cultural relations work.
791 million interactions in more than 100 countries with the British Council during 2018–19
of which, 45.7 million reached by using British Council digital social media and learning products
34 Foreign & Commonwealth Office Annual Report and Accounts 2018–2019
## Promote Our Prosperity
Promote our prosperity by opening markets, driving economic reform, championing British business, and supporting free trade and sustainable global growth.
## Po6: Europe (Partially Achieved) Strengthening Ties Within Europe
Bolster bilateral relationships and people-to-people links with European partners.
Support DExEU to achieve negotiating objectives for EU Exit. Deliver results on FCO-led EU Exit issues such as sanctions, Overseas Territories (including Gibraltar), the Kimberley Process and International Agreements.
## Overview
new ways of working with EU partners in the context of EU Exit.
The FCO has provided extensive support to the government's priority efforts to prepare for EU Exit, particularly:
»
» contingency planning for
a 'No Deal' situation
»
» engagement to influence the
EU on negotiation priorities and an extension to Article 50
»
» providing support to UK nationals
The FCO has strengthened bilateral relationships with European partners, producing long-term strategies with the use of programme funds for impact. Sustained engagement— including formal set-piece events, royal and targeted ministerial visits and official-level engagement— has underpinned co-operation with European partners.
living in and travelling to the EU
»
» planning for the UK's future
partnership with the EU
## Progress In 2018–19 Eu Exit Preparations
We have led on negotiations on Gibraltar delivering an extensive set of agreements, as well as EU Exit preparations on the other Overseas Territories. FCO has also supported the negotiation of arrangements for the Sovereign Base Areas on Cyprus, and prepared for the implications of EU Exit on UK sanctions policy.
A primary focus of FCO's preparations for EU Exit has been to safeguard the rights of UK nationals living in the EU. We have launched a lobbying approach with EU member states to ensure they replicate the UK's offer to EU nationals in any scenario and protect UK nationals' rights.
Our bilateral relationships will become an even more important platform on which to build our co-operation with European countries on the many international issues where we share interests and values. The FCO's 600 new roles, financed through reprioritisation and an additional £50.6 million from HM Treasury, are enabling us to strengthen these relationships and develop The FCO has led departments across Whitehall to provide clear and accurate information to UK nationals in the EU, based on the latest policy positions. The FCO has consistently engaged on UK nationals' rights with all our EU27 counterparts at both official and ministerial level. All EU member states have given public assurances that they will protect UK nationals' rights to remain in the state they reside in on exit day. The majority have published 'no deal' legislation which sets this out too. Work continues to ensure the detail of how this will be implemented is clear and can be communicated to UK nationals. The FCO's network has been leading on engagement events across the EU, which have connected with over 170,000 UK nationals and seen an increased participation of EU27 representatives, using the opportunity to reach and reassure the audience of their 'no deal' plans. On Gibraltar, the FCO has made significant progress, which includes securing an extensive package of agreements between the UK, Gibraltar and Spain. This will help protect citizens and enhance security and prosperity in the region. We also negotiated a treaty on tax transparency and cooperation. The UK has committed to maintaining Gibraltar's access to the UK market in financial services until at least 2020 under any scenario, and confirmed the Gibraltar Armed Forces Act, which clarifies how UK military and Gibraltarian agencies work together in the territory. On the Sovereign Base Areas (SBAs), the FCO worked closely with DExEU and the MOD to secure an agreement with the EU and the Republic of Cyprus. It covers how the unique arrangements that apply in the SBAs would operate after the UK's withdrawal from the EU.
This is reflected in the Withdrawal Agreement Protocol on the SBAs. The FCO played a leading role in arrangements for the SBAs in the event of a no-deal EU Exit, working to complement MOD contingency planning. These arrangements will safeguard the effective military functioning of the bases, minimise disruption and uncertainty for those who live, work and travel through the SBAs and protect the UK's broader equities in the Eastern Mediterranean region in any scenario. The FCO has worked hard to ensure the UK is ready to deliver sanctions independently when it leaves the EU.
The Sanctions and Anti-Money Laundering Act 2018, which received Royal Assent in May 2018, provides the legal frameworks for the UK to independently establish sanctions. In the build-up to March, the FCO laid 21 Statutory Instruments under both it and the EU Withdrawal Act (2018), to set up 15 sanctions regimes and for all other EU and UN regimes to be continued under retained EU law on exit.
## In Focus: Strengthening The Uk- Nordic-Baltic Relationship
On 30 October 2018, the Prime Minister visited Oslo to attend the Northern Future Forum (NFF), which brings together the eight Prime Ministers of the UK, Nordic and Baltic countries. The NFF is a valuable forum for engaging with EU and non-EU countries, who are like-minded on a broad range of economic and values-based global issues. This year it focused on innovation and technology in healthcare, particularly for ageing populations.
The FCO led the review of over 1,000 individual designations, compiling additional evidence so that as many listings as possible could be transferred on a robust basis. We prepared a new listings database to publish designations, and had it ready in different formats so banks and others could automatically link to their screening processes. We engaged a number of stakeholders to ensure they understood our new system. Sanctions are a key foreign policy tool, and most effective when designed and applied alongside international partners, so we have continued to invest in our relationships with EU and other partners. Once we leave the EU, we will want to pursue ambitious trade agreements with a range of partners. That includes continuing existing arrangements. The FCO leads on 16 of the 40 EU association trade agreements as part of the UK's delivery of transitional adoption of the EU's existing free trade agreements with third countries. We are working with countries on bilateral arrangements to ensure continuity for these 16 agreements. The FCO also leads on:
»
» transitioning 11 partnership and co-operation
The FCO, and our Nordic Baltic Network of Posts, worked closely with the Norwegian hosts and relevant Whitehall departments to ensure that UK
experience and expertise—from the NHS, BEIS and the non-governmental sector—was reflected in the NFF discussions with our Nordic and Baltic partners. The Prime Minister had a series of bilateral meetings with opposites during her programme. At the final session, the prime ministers committed to working closer together on this agenda, including on the follow-up initiatives suggested by the UK.
agreements, which are predominantly instruments to facilitate bilateral relationships
»
» the UK's ratification of all international agreements
entered into by cross-Whitehall partners
The FCO has engaged in discussion with all countries that committed to ensuring continuity of existing international agreements. A number have already publicly welcomed this approach, such as Canada, Chile, Israel, Switzerland, Singapore and groupings such as the Southern African Customs Union and Eastern and Southern Africa EPA States.
The Prime Minister delivered a keynote address at the opening of the 70th session of the Nordic Council Assembly in the Norwegian Parliament Chamber. This was a first for a British Prime Minister, and an extremely rare invitation to a non-Nordic leader. The Prime Minister set out a vision for a strong future of UK collaboration with the Nordic region, celebrated the depth of shared history, and looked ahead to future collaborations beyond the traditional foreign policy sphere, which would benefit the wider populations of the UK and Nordic countries.
The FCO played an important role with DIT in supporting the UK-Swiss Trade Agreement which was signed on 11 February 2019, and separate agreements on land transport, insurance, air services and citizens' rights. Switzerland is our third biggest noncurrent bilateral relationship and engaging in our shared history.
EU export partner, accounting for over £32 billion in bilateral trade a year.
»
» The third Inter-Governmental
Conference with Poland, held in December 2018, and the 'Quadriga' (Defence and Foreign Ministers meeting) in June 2018.
The FCO has made significant progress with the Kimberley Process, the scheme to prevent the global rough diamond trade fuelling conflict. In December 2018, the UK submitted our application for independent participation in the Kimberley Process and in March 2019, the Statutory Instrument bringing the Kimberley Process into UK law entered the UK statute book. This will come into force once we have left the EU. It will ensure the integrity of the global rough diamond supply chain, and confer powers to Border Force to stop conflict diamonds entering the UK.
The Foreign Secretary has visited 11 member states, and had substantive contact with counterparts. Significant inward visits have included the heads of state or government of Turkey, Cyprus, Greece, Slovenia and Bulgaria. There have been meetings in new 'small group' formats. For example, the Foreign Secretary hosted central European foreign ministers at Chevening in October 2018.
## Investing In Partnerships
Alongside our work preparing to leave the EU, we have continued to strengthen ties with European partners and enhanced our high-level bilateral engagement across Europe, including:
»
» The state visit by King Willem-
We have invested in established and innovative initiatives and tried to bring in wider non-governmental groups, such as business, civil society, academia and diaspora groups. These groups have engaged in the substance of our bilateral relationships through annual civil society forums with Spain, Italy, Germany, Poland, Greece, the Nordic and Baltic countries, the Netherlands, and Ireland.
Alexander and Queen Maxima of the Netherlands, highlighting our shared interests and values.
»
» The Duke and Duchess of Sussex
first overseas trip to Dublin in July 2018, celebrating our
The UK-Spanish Tertulias celebrated its 30th year, and over 300 Polish- British civil society leaders attended the third UK-Poland Belvedere Forum in March 2019, which also reached 1.2 million people online. We re-established close ties with the European Chevening Alumni network which includes influential experts from across the continent. The FCO invited 30 influential Chevening alumni to the UK for a reception with the London diplomatic corps and young British people, followed by a threeday conference alongside senior FCO officials. The conference has led to new initiatives and energised contacts and the FCO re-established contact with 'lost alumni' from the EU. The FCO's Europe directorate organised Joint Diplomats' training programmes with France and Germany, and launched new initiatives with Italy, Spain and Ireland. Overall, 138 UK participants and 133 foreign diplomats took part in the training. A year-long career development course for UK, Italian, French, German, Spanish and Polish female diplomats was also established. These courses ensured we learn from each other and are better placed to tackle shared challenges together in the future. Across our network of Posts, we have developed new and innovative initiatives to strengthen relations with individual countries. The first regional engagement in France, Germany, Italy, Spain and others.
UK-France Mayors' Conference on 6 and 7 March brought together 120 delegates from towns, cities and regions to create tangible partnerships below the national level.
We increased our engagement beyond European capital cities with popup embassy initiatives in Denmark, Sweden and Estonia, and sustained The second year of the Europe non- ODA Prosperity Fund programme delivered 19 projects across multiple Posts. The programme is laying the foundations for prosperity partnerships, supporting UK business engagement in Europe, and mutual The GREAT Britain campaign has increased its presence in Europe to remind European audiences of the UK's strength and values and to support activity which drives jobs and growth. It is active in 16 markets and consisted of over 35 mini-campaigns in the last year. GREAT contributed to the Les Voisins Campaign, launched in March 2017. It celebrates the extraordinary depth and breadth of Franco-British relations, from our long history to our bright future, and mitigates the perception locally that the referendum result meant that the UK would turn its back on France and Europe. The France Network took its localised 'GREAT Friends' campaign, 'Les Voisins', on tour across France in a Routemaster bus over the summer. We are planning a 'Creativity is GREAT' campaign with 'Voisins on Tour—season 2' playing a significant element. It will take place across the south and south-east of France to strengthen regional bilateral relationships in an area that is politically important for France and home to thousands of British nationals.
In 2018-19, the Les Voisins campaign allowed us to…
…strengthen political
…take GREAT Friends
relationships with local
work outside of Paris
authorities by visiting
to reach a wider target
four key towns with a
audience: Approximately
total French population
14,000 people visited the red bus and 'British of **1.1 million**—
Nantes, La Rochelle, Zone' around it.
Bordeaux and Toulouse.
exchange on how to address global challenges such as climate change. Successes have included commercial wins for UK digital start-ups, new research collaborations on green energy, and European tech companies establishing headquarters in the UK.
…reach a target audience
of 16-35 year olds living in
areas close to an airport
linked to the UK, advertising
the 'I travel for' campaign, in line with Visit Britain's objectives and organising a partnership with **EasyJet**.
## Priority Outcome 7: Economic Diplomacy (Partially Achieved) Working Around The World To Strengthen Our Prosperity
Showcase global leadership of free trade and economic diplomacy, supported by a fully developed trade profession. Reinforce the WTO's role in global trade and deepen dialogues with future FTA partners. Achieve, with DIT, UK government's strategic vision to support UK export and inward and outward investment. Promote economic development and security, clean and sustainable growth and better business environments in key markets.
## Overview:
to build a strong prosperity footprint in Europe, and further afield, by increasing UK exports and showcasing the UK as a place for investment.
## Progress 2018–19: World Trade Organisation
In 2018-19, the FCO has supported development, growth-friendly policies and trade openness in overseas markets, including using programme funds. Of the several programmes funded by the Prosperity Fund in the last year, the FCO has launched a £45 million anti-corruption programme, a £25 million global infrastructure programme, and invested £34 million to support economic reform and low carbon development in ASEAN.
As a champion of free trade, the UK has continued to promote the rulesbased global trading system, with the WTO at its centre. At the G20 Leaders' Summit in Buenos Aires in December 2018, the Prime Minister called for an urgent and ambitious reform of the WTO. We welcomed the launch of negotiations on e-commerce, which 76 WTO members had joined by 31 March 2018.
We are committed to supporting and harnessing the rules-based international system (RBIS) to advance UK economic interests and strengthen bilateral relationships. Last year we supported the UK's transition to a fully independent member of the World Trade Organisation's (WTO)
Government Procurement Agreement
(GPA), reinforcing its status as a global champion of free trade. Overseas, the FCO has employed its network in response to DIT and FCO economic diplomacy priorities to help The FCO has been working with DIT and across Whitehall to engage GPA parties in Geneva and in capitals to persuade them to support UK accession to the WTO GPA. This is an agreement between 19 WTO members which mutually opens
workshops, led by staff in Madrid to forge partnerships between UK and European cities
government procurement markets and would safeguard the UK's participation either in a deal or no deal scenario.
After lobbying key partners to ensure the terms would replicate current UK market access commitments, it was agreed by GPA parties that the UK would join as an independent member if we left the EU without an agreement. It was also agreed that we would continue to be covered under EU schedules throughout an implementation period, allowing British businesses to bid for £1.3 trillion worth of government contracts overseas in a wide range of sectors.
## Supporting Uk Exports
FCO programme funding is supporting a range of activities in Europe that help to boost UK exports. For example, FinTech events in Madrid, Warsaw and Dusseldorf have created significant opportunities for UK sectors, and projects in Finland and Italy have supported green finance. Efforts on better regulation and public procurement across a range of countries have supported sharing best practice, and increased awareness of business opportunities across Europe for British companies. Posts overseas have continued to deliver commercial opportunities for the UK in Europe through extensive economic diplomacy efforts that align with the government's Industrial Strategy. Key activity over the past year has included:
»
» Smart Sustainable Cities
## In Focus: Building Our Capability And Expertise
in support of their transition to low-carbon energy systems
»
» a series of events by the British
Embassy in Paris to showcase the
UK as a world leader in offshore
wind technology including the use of drone technology in wind farms
»
» a project in Rome looking at
We have supported the global network of government staff working on trade and prosperity, by informing them on the latest UK policy priorities and approaches. This means we work most effectively as one team, and reinforce each department's priorities. This has included hosting a joint FCO-DIT-DFID Trade and Prosperity Conference in February 2019, and working with HM Treasury, DIT and external experts to train the international network to promote the UK's green finance offer.
female economic participation, which helped develop the UK's relationship with key players in the financial and business community in Italy, and promoted gender equality The Trade Policy Faculty has also increased its trade policy training offer to colleagues at Post, including through the 'train the trainer' programme, which trained 25 new regional training 'champions', who have already benefitted several hundred colleagues overseas, and the launch of more online training modules.
## Defence Sales Campaigns For Ships In Australia And Canada
The Trade Policy and Negotiations Faculty has trained over approximately 370 staff across government at expert level. This is through a range of trade policy deep dives and a bespoke training programme for chief negotiators. At practitioner level, over 1,100 staff have benefitted from online learning and the faculty has trained approximately 1,000 staff in the UK.
when Taiwan lifted restrictions on British pork. This process was led by the FCO-funded Economic and Prosperity Team in the British Office Taipei, instrumental in identifying the Taiwanese obstacles and concerns to opening the market and working with Defra to overcome them.
In June 2018, the Government of Australia announced that BAE Systems (BAES) had won the tender to design and build nine future frigates for the Royal Australian Navy, with their Type 26 Global Combat Ship. This is a significant export boost for the UK as we prepare to leave the EU. It will secure around £2 billion of direct exports through British designed and manufactured components like engines (Rolls Royce) and Sonars (Thales UK and Ultra). It also opens doors to UK SMEs and secures approximately £10 billion worth of exports through the life of the programme. The whole of life sustainment win for BAES as a National Shipbuilding Enterprise partner is likely to generate another £40 billion.
Pork consumption per capita in Taiwan is higher than all OECD economies, consuming 36.5 kilograms per year per capita, with a pork market worth £1.88 billion. We judge that this market could be worth at least £50 million to the UK over the next five years. The export win has also given UK exporters the opportunity to tap into the overseas demand for parts of the pig not commonly purchased in the UK, allowing UK farmers and pork processors to generate income for the whole carcass.
## Delivering Inclusive Economic Growth And Better Business Environments
The Australia 'Hunter Class' is now one of the UK's largest defence contracts globally and the second largest in Australia's history. It strengthens our strategic defence relationship at a time when we face increasing challenges in the Asia Pacific region and secures a deep partnership between the Royal Navy and the Royal Australian Navy for the next 40 years. This success was emulated in Canada in late 2018 with BAES winning the equivalent Canadian contract. This means that three of the Five Eyes nations will now be operating the same ship platform.
## Taiwan Pork Market Access
In August 2018, the UK gained its first market entry for UK meat products (for human consumption) in Taiwan, As an innovative instrument of government policy, the crossgovernment Prosperity Fund supports the inclusive economic growth needed to reduce poverty in partner countries. Through this primary purpose, the fund's activities will contribute to the UN Sustainable Development Goals. Primarily funded by the UK's aid budget, the fund, worth £1.2 billion across seven years, targets reforms principally in middle-income developing countries where around 60% of the world's poor live. These countries face development challenges but have high opportunities for driving future global prosperity so by breaking down barriers to trade and investment, we can help trigger inclusive growth in developing countries. This will create jobs, raise incomes and lift communities out of poverty. The FCO is delivering 16 Prosperity Fund programmes, worth a combined £850 million, through a number of country-focused and thematic mechanisms. They provide expertise and technical assistance in sectors and countries where there is the highest potential to support the inclusive economic growth needed to reduce poverty in partner countries. Prosperity Fund programmes:
»
» promote economic reforms
and remove barriers to trade
»
» reform key sectors such
as infrastructure, energy, financial services, future cities, education and healthcare
»
» tackle corruption
Examples of Prosperity fund programmes this year include:
»
» The ASEAN reform programme,
which helped to shape the Philippines Ease of Doing Business Act (EODB). Signed into law in May 2018, the EODB law improves
business efficiency and cuts red tape, with more than 2,000 unnecessary regulations repealed in its inception. This directly benefits UK businesses by establishing a more streamlined, transparent and efficient business environment.
»
» The Future Cities programme,
funding technical assistance in South Africa. It will use 'Big Data' to improve Cape Town's resilience
as part of the response to the city's recent 'once in 300 year's' drought. This technical assistance, active from September 2018 to March 2019, responded directly to a request from the city administration and provided a foothold for UK expertise in South Africa's emerging smart cities market.
»
» The FCO £45 million Global Anti-
bring China closer to international standards on anti-money laundering and tax evasion. British businesses will have more confidence to work in an environment that meets international regulatory standards.
Corruption programme, which works, alongside DIT and DFID, to help UK companies avoid risks of corruption by using the DFID-launched Business Integrity Initiative. We have worked through the OECD, WTO and other UN international economic institutions to set the right standards and rules-based systems for cooperation on global prosperity.
The Prosperity Fund also supported the design of Mexico's 2018 FinTech law making it the first country in the world to have such comprehensive legislation. The law facilitates the creation of new types of financial services providers, including crowdfunding and electronic payments.
»
» The FCO China programme,
supporting the first UK Compliance and Transparency Forum in China in March 2018. This helped to
## Mexico Red Bus Programme Climate Change, Energy And Science
Climate change and international commitment to reducing emissions have remained a key priority for the FCO. We have engaged though G7 and G20 to increase ambition at the G20 energy ministerial meeting, and obtained a clear commitment from G7 foreign ministers to continue to consider climate security issues. We have also been active in securing the attendance of 40 countries at the UK's Zero Emissions Vehicle Summit, which launched a declaration to commit countries to decarbonising transport. We have worked through Posts to increase the number of signatories to the UK-Canada Powering Past Coal Alliance of countries committed to phasing out coal. Over the course of the financial year, we have held three energy dialogues—with Japan, India and Norway. We have also launched our Prosperity Fund multi-year energy programme in Mexico and low carbon energy programme in ASEAN. Mexico City was the first subnational entity in Latin American to issue a green bond, paving the way for further cities in Mexico and the continent to do so, and expanding the range of investible projects for green finance in the City of London. The Prosperity Fund energy programme
## In Focus: Patient Safety
in Mexico has supported the Mexican Stock Exchange to develop an innovative green financing mechanism and to attract finance for low carbon initiatives including bus-related infrastructure. Over 90 Britishmade buses are now used at the heart of Mexico City, the Paseo de la Reforma, helping speed up transit times, reduce road congestion, and improve streetlevel air quality, thanks to a low-emission engine.
Including during his time as Health Secretary, the Foreign Secretary has seen first-hand the impact resulting from poor patient safety. Globally, 1 in 300 patients are harmed in healthcare and 50% of these incidents are estimated to be avoidable. Medication errors alone are estimated at costing $42 billion annually, not counting lost wages. The global financial and socio-economic implications resulting from poor patient safety are considerable. FCO leadership in this area will help reduce patient harm, leading to a safer world and significant economic savings globally. It is in our national and global interest to tackle this urgent issue. FCO is spearheading the UK-led international effort to pass a resolution on 'Global Action on Patient Safety' at the World Health Assembly (WHA) which will take place in May 2019. The UK, who initiated annual global ministerial summits on patient safety in 2016 with Germany, is committed to working with other countries to foster a global movement on patient safety. Individual countries will need to address patient safety in a way that best suits their healthcare systems and priorities. But, by taking action together, we can raise awareness, share best practice and support capacity building, particularly in low and middle income countries. The UK-led proposed resolution called for:
The UK has been supporting lithium battery technology, another priority for the Industrial Strategy. It's estimated that South America holds 54% of the world's lithium resources, which are increasingly in demand to manufacture batteries for electric vehicles and energy diversification programmes. The UK aims to have a thriving, sustainable battery industry, which would translate to a £2.7 billion opportunity for the British chemical industry alone by 2025, and our bilateral partnerships are essential to ensure this. In March 2018, the British Embassy in La Paz facilitated a commercial and scientific mission of British actors to work with the Bolivian lithium authority. This led to the agreement of funding UK-led work on remote surveying. In October 2018, British Embassy Santiago, in partnership with our Embassies in La Paz and Buenos Aires and the Inter-American Development Bank, delivered a seminar on lithium battery research and technology transfer at the largest mining fair in Latin America.
»
» member states to recognise patient
»
» the World Health Organisation (WHO) to ensure it's a
»
» the establishment of a World Patient Safety
The WHO executive board adopted the resolution, including an international day, on 1 February 2019 and recommended it for adoption at the WHA in May 2019. The resolution would bring greater global visibility and leadership to improve patient safety across all member states.
Throughout the year, the FCO's Chief Scientific Adviser (CSA) has capitalised on opportunities to engage key members of the European science community in the UK and overseas, through the Science and Innovation Network (SIN). We have worked to fulfil the July 2018 White Paper, that the UK would seek a co-operative agreement with the EU to continue our scientific collaboration. SIN officers organised seven policy dialogues in Central Europe between senior host country stakeholders and a range of representatives from UK governmental departments and Arm's-Length Bodies, such as Universities UK and British Council. The CSA also launched the UK-Brazil Year of Science and Innovation with a series of events to celebrate scientific collaboration between Brazil and the UK and showcase how science is helping to solve global challenges. The programme resulted in several wins, including AstraZeneca committing new funding for joint medical research in Brazil, leading scientists coming together (in partnership with the Brazilian public health foundation, Fiocruz) to discuss recent research on the Zika virus, and the launch of two new centres to advance research into renewable energies.
safety as a national health priority priority within their Universal Health Coverage work Day on 17 September each year
and middle-income billion between countries it is closer to
2010 and 2015.
1 in 4.
## Priority Outcome 8: Overseas Territories (Partially Achieved) Building Resilient Overseas Territories With Good Governance, Increasingly Diversified Economies And Prosperous Communities
Build resilient Overseas Territories with good governance, increasingly diversified economies and prosperous communities, which are better able to prepare for and recover from crisis.
## Overview:
that OT interests are accounted for at every stage of the process.
## Financial Resilience
In 2018-19, we have upheld UK sovereignty in the Overseas Territories (OTs). We have maintained a dialogue with OTs on the implications of the UK's departure from the EU.
The FCO has sought to foster prosperity and economic development in the OTs, through technical support on complex issues, involving programme funding and facilitating private sector engagement in collaboration with the OT governments.
The FCO has supported increased security of the territories, with higher standards of governance, sound institutions and an effective public service. We have continued to strengthen law enforcement and criminal justice, and improve prosperity and sustainable economic development, with the eventual aim of reducing dependence on the UK. We have ensured that OTs meet their international obligations and have taken a leading role on maritime protection: to date, there are three million square kilometres of ocean protected and we are on track to deliver another million around the UK and OTs by 2020. We have prioritised hurricane recovery and reconstruction programmes across the regions hit by Hurricanes Irma and Maria in 2017, working to help them better prepare for, respond to and recover from crises and natural disasters.
## Progress In 2018–19:
We have helped the Government of Anguilla, together with our regional partners, with a phased implementation of a goods and services tax, which both consolidates the tax system and raises revenue to improve the government's long-term fiscal position and resilience. During visits to Anguilla and Montserrat in 2018, Lord Ahmad established links between the Territories and Chambers of Commerce in the UK. He also laid the foundations of a new mentoring relationship between a major UK water bottling company and a local water bottling business in Montserrat. Through the Conflict, Stability and Security Fund (CSSF), the FCO has funded the start-up of a new Economic Development Unit in the Falkland Islands government which develops and co-ordinates new labour, tourism and industry projects.
## Eu Exit
Since the EU referendum, the FCO has been in close and regular contact with OT governments on EU Exit issues. In line with the government's objective to achieve an outcome that works for all parts of the British family, the FCO is committed to ensuring The FCO has supported the development and modernisation of effective public services in the OTs through the CSSF Public Sector Reform Programme. In 2018–19, Government Partnerships International (GPI) supported the Montserrat Committee tasked with delivering a Ministerial Code. GPI also provided advice and support on human resources management reform, which included sharing best practice with British Virgin Islands counterparts on leadership, skills mapping and talent management.
The CSSF Public Sector Reform Programme also funds the Commonwealth Parliamentary Association UK, with the National Audit Office (NAO) and the Government Internal Audit Agency, to support public financial management through capacity-building work with the OTs' internal audit, external audit and public account committees. Last year's highlights included the support for five public account committees, Montserrat, St Helena, Turks and Caicos Islands, Cayman Islands and Bermuda. We also saw the first ever inquiry and public hearing, receiving government response in Montserrat. Five OTs are undertaking performance audits of major capital projects, and two further OTs completed an internal audit quality assessment. The Oversight of Public Finances Forum in March 2019 brought together stakeholders in oversight of public finance from 10 OTs and saw the launch of two leadership groups for internal and external audit.
## Law Enforcement And Criminal Justice
The FCO-led law enforcement programme, delivered through the CSSF, continues to make progress in competency, capability and capacity development in partnership with OT commissioners and chiefs of police. Partnerships with other government departments and agencies include the National Crime Agency, who have led on the development of a court processes related to domestic violence and vulnerable witnesses.
digital forensic hub in the Cayman Islands with cross-OT reach. The MOD has contributed by overseeing the provision of equipment.
We have supported the CSSF Prison Project to strengthen security, improve prison conditions and develop the knowledge and leadership of prison officers. This has included:
»
» the full repair of the external
perimeter fencing and lighting of prisons in the British Virgin Islands and Anguilla
»
» CCTV installed in Anguilla's prison
»
» training over 50 OT prison officers
in partnership with Her Majesty's Prison and Probation Service FCO-delivered activity has included two separate Post Incident Management courses to highlight the territories' commitment to human rights-compliant policing. Training has resulted in the accreditation of eight Authorised Firearms Officer Instructors, certified to train additional personnel to UK policing standards. It has also improved capability and confidence of Royal Virgin Islands' police to respond to any threats against fair elections and security on election day. International Programme funding also supported repairs to Road Town and West End police stations in the British Virgin Islands.
The joint UK-US defence facility on Diego Garcia helps to keep people in Britain and around the world safe from some of the most challenging threats to international peace and security, including terrorism, organised crime and piracy. The UK is also committed to maintaining its position as one of the leading players in polar affairs, and shares longstanding commercial, security, environmental and scientific interests with the Arctic. We have helped underpin co-operation and stability in the region by supporting an effective Arctic Council.
## Marine Protection
Monitoring and evaluation of the Integrated Ballistic Identification System has continued with the system producing intelligence leads on a regular basis. Several leads have been confirmed as court-admissible evidence and are leading to the first prosecutions for serious crime offences. The system will become regionally and internationally linked to INTERPOL's Integrated Ballistic Identification Network this year, which will enhance capability to detect transnational firearm movement and crime. Outside of the Caribbean, the FCO has funded counter-terrorism training for Royal Gibraltar Regiment, and has provided essential training equipment to St Helena police to allow them to respond to a firearms-related incident.
The UK also remains a leading advocate for marine protection across the Southern Ocean and continues to support the establishment of a network of Marine Protected Areas (MPA) within the area covered by the Convention for the Conservation of Antarctic Marine Living Resources (CCAMLR). We are leading MPA proposals within CCAMLR
Through the CSSF Criminal Justice Project, the FCO has supported the Crown Prosecution Service, to enable training for Caribbean OTs' magistrates, directors of public prosecutions and judges. It strengthens investigative and prosecution processes, trains police on 'achieving best evidence' techniques, and on asset recovery in the Turks and Caicos Islands, Cayman and Montserrat, to better tackle corruption and illicit financial flows. The project has also provided expertise to modernise legislation and
## In Focus: Child Safeguarding In The Overseas Territories
Since 2015, the Child Safeguarding Unit in the FCO's Overseas Territories Directorate has supported territory governments and governors in delivering the commitments made by territory leaders. This includes ensuring the highest possible standards for the protection of children and promotion of children's welfare. Working with territories, and through the CSSF, the FCO has developed bespoke programmes to build the capability (particularly of police, social workers and educators) to:
»
» recognise and respond
effectively to child abuse
»
» enhance legal frameworks
»
» strengthen multiagency working
We have engaged key sources of expertise, including Barnardo's, the Children and Family Court Advisory and Support Service, the Crown Prosecution Service and the National Crime Agency's Child Exploitation and Online Protection Command. In The Cayman Islands (TCI), support has strengthened the initial multi-agency response to child safeguarding referrals. Cayman has also developed its Child Safeguarding Board, which will play a key role in driving Cayman's strategy on child safeguarding. Additionally, the programme has supported a local NGO, the Crisis Centre, to start a child helpline service. CSSF funding contributed to the establishment of the Ethel Ingham Centre in TCI. The centre is designed to better protect children and vulnerable adults and to create a multi-agency approach to safeguarding. The Safeguarding and Public Protection Unit and the Social Development Child Safeguarding team will all work together on one site to address this important work.
to designate the second Special Area for Scientific Study around the Pine Glacier, which will protect the region from fishing activity for 10 years.
In 2018, the Government of South Georgia and the South Sandwich Islands (SGSSI) undertook their first five-year review of the SGSSI MPA. The government announced additional measures to further enhance its protection and conservation, including:
»
» expanding the MPA to cover the
entire SGSSI Maritime Zone
Hurricanes Irma and Maria. The UK and OTs share a collective responsibility for disaster preparedness, and together prepared for the 2018 hurricane season. In June 2018, the FCO organised an international conference in London with key regional partners to improve co-operation in areas such as military and emergency humanitarian assistance. This supported a collective political ambition of building a stronger, more effective, regional response to future natural disasters.
»
» increasing the areas which
will be fully closed to
commercial fishing to 23%
»
» extending the seasonal
closure of the krill fishery from five to seven months
»
» prohibiting all commercial
mining or hydrocarbons activity throughout SGSSI
Working with MOD, DFID, and several other departments to provide skills, humanitarian and technical assistance and funding, the FCO coordinated the government response to Hurricanes Irma and Maria across Anguilla, the British Virgin Islands and the Turks and Caicos Islands.
»
» prohibiting the use and carriage
of heavy fuel oil by vessels operating around SGSSI
In Anguilla, there has been an investment of £60 million. In 2018-19, £6.5 million of this was spent to:
»
» refurbish Anguilla's only hospital,
## Disaster Preparedness
Princess Alexandra Hospital
»
» open a temporary fixed structure
ferry terminal at Blowing Point
The FCO has continued to build greater resilience in the Caribbean OTs following the devastation of Argentine families visit the Falklands and pay their respects at the gravesides of their lost relatives for the first time
## In Focus: Falklands-Argentina Co-Operation
In 2016, Sir Alan Duncan, as Minister for Americas, agreed a UK-Argentine Joint Communique, which sets out areas of closer co-operation for the UK and Argentina. This delivered across three main areas in 2018:
1. Better co-operation between the UK (including the Falkland Islands) and Argentina on fisheries management.
The scientific sub-committee of the South Atlantic Fisheries Commission met on two occasions to reach an agreement of fisheries data and an agreement on participation by Argentine and Falkland Islands' fisheries experts in joint research cruises in the region.
2. Political agreement on a new flight between South America and the Falkland Islands. The UK
government reached the agreement with the Government of Argentina over a route and carrier for a new flight. The flight, operated by LATAM, will fly from São Paulo to Stanley on a weekly basis, stopping once per month each way in Cordoba. The Falkland Islands' government hopes the flights will commence in autumn 2019.
3. Work with the International Committee of the Red Cross (ICRC) to identify those unknown casualties
from the 1982 conflict buried on the Falkland Islands. The ICRC DNA identification project, run under the
auspices of a Humanitarian Project Plan, is the first time that governments from opposing sides of a conflict have worked together to identify deceased combatants. So far, 110 of the 122 sets of remains have been identified, and this progress would not be successful without the sensitive co-operation of the Government of Argentina and Falkland Islanders.
»
» provide two new fire engines
to the Fire and Rescue Service
The FCO Disaster Resilience Fund supported works to government and shelter infrastructure, and the communications tower. We expect building work to commence next year on eight identified school projects, five health projects and seven government building projects. In the British Virgin Islands, early recovery support funding contributed to critical repairs to seven water reservoirs, sewage and water pumping infrastructure. It also funded repairs to prison and police stations, a new temporary court house and support for social housing. They will receive £10 million of reconstruction funding to support the Recovery and Development Agency and to provide wider technical expertise to key ministries, such as ports, water and public works. In the Cayman Islands, as a joint venture with the UK, they invested in the procurement of a new long range police helicopter, equipped to provide a flexible disaster response.
## Delivering The Un Sustainable Development Goals
The FCO supports the delivery of all the Sustainable Development Goals (SDGs) internationally, working closely with the full range of UK government departments and partners abroad. The UK's progress in delivering against the SDGs will be set out in the Voluntary National Review to the UN in 2019.
We secured endorsement from all 53 Commonwealth countries to 12 years of quality education for girls by 2030 at the Commonwealth Heads of Government Meeting 2018. We built on this at the Human Rights Council in June 2018 when 152 UN member states signed the UK statement on 12 years of quality education. The FCO also promotes quality education through the Chevening Scholarships programme which offers university-level scholarships to young leaders with potential across the globe. This supports the long-term prosperity and stability of developing countries as part of a holistic approach to raising prosperity and reducing poverty. The FCO has maintained its commitment to overcoming barriers to global gender equality, spearheaded by our Special Envoy for Gender Equality. The UK continues to champion the Preventing Sexual Violence in Conflict Initiative (PSVI) and we are preparing for a PSVI International Conference, which will be held in November 2019. FCO-led policy programmes apply the International Development (Gender Equality) Act and prioritise gender equality with, for example, gender sensitivity embedded within the governance of the Conflict, Stability and Security Fund (CSSF). The FCO has worked closely with partners across government to eradicate forced labour, modern slavery, human trafficking and child labour. The Prime Minister's Call to Action on modern slavery, launched in 2017, has now been endorsed by over a third of UN members and we have continued to work in multilateral forums to ensure that this issue remains high on the agenda. We also work bilaterally to help tackle the issue on the ground, where we can make the most impact. For example, the departmental foreign policy programme worked with the private sector to fund work to promote workers' rights and tackle forced labour and sexual violence in India, which has benefitted 14,000 women in 13 factories so far. Our special envoy for Climate Change and global network of climate leaders are spearheading cross-government and internal progress on tackling this global issue. Our diplomatic engagement complements and amplifies wider efforts across government, including the £5.8 billion International Climate Fund. The fund focuses on partnerships with developing countries to reduce carbon emissions while boosting sustainable, resilient and inclusive growth. We are also promoting low carbon development and affordable and clean energy through Prosperity Fund programmes in South East Asia, Mexico, Brazil, China and India. Climate change is one of FCO's top priorities in 2019-20, demonstrating the UK's commitment to leading the globe in tackling this threat. The Foreign Secretary has championed the rules-based international system, and much of our diplomatic and policy programme effort focuses on implementing, reforming and upholding its institutions and rules. For example, the Foreign Secretary's Middle East visit in 2018 used our influence on the parties involved in the Yemen conflict to help persuade them to attend new UN-led peace talks in December. We are promoting media freedom and the protection of journalists, including through specific support in countries around the world, and in 2019 the UK will host an international conference on Media Freedom. The FCO diplomatic network uses its voices and works with partners to advocate for reforms that will accelerate progress towards the SDGs. For example, we successfully supported OECD Development Assistance Committee efforts to identify a more diverse set of financial instruments and recognise new partners who are required to contribute to SDGs. In Brazil, the FCO Prosperity Fund programme has helped build regulatory and technical infrastructure to improve the uptake of renewable technologies. Our Commonwealth Marine Economies Programme is supporting 17 Small Island Developing States to identify the potential of, and develop, their marine economies in a sustainable, resilient and integrated way. The programme promotes growth, innovation, jobs and investment while safeguarding healthy seas and ecosystems.
46 Foreign & Commonwealth Office Annual Report and Accounts 2017–2018 46 Foreign & Commonwealth Office Annual Report and Accounts 2018–2019
## Uk Engagement Engaging With The Devolved Administrations Our Network
In the last year, we continued to work closely with UK government departments, the devolved administrations and other partners in Scotland, Wales and Northern Ireland to promote, protect and project the interests of the whole of the United Kingdom.
Glasgow, emphasising the UK's efforts to stand steadfast alongside our allies to counter this threat and continue to strengthen our cyber security capabilities.
## International Events
Our network delivered visits by 56 senior officials to Scotland, Wales and Northern Ireland, and supported 46 overseas visits by devolved administration ministers. In November 2018, delegates on the FCO's flagship International Leaders Programme, aimed at developing lasting relationships with future leaders, met representatives from industry, civil society groups and education in Edinburgh, to hear about the strengths and expertise that Scotland has to offer.
There have been international events involving the devolved nations or their administrations that demonstrate Global Britain in action. In July 2018, Edinburgh was the venue for the tenth Australia-United Kingdom ministerial consultations, at which the Foreign and Defence Secretaries engaged their counterparts on high-level foreign policy, defence and security issues.
In January 2019, the UK, as chair of the Community of Democracies, hosted a gathering of 28 member states and international civil society groups. The UK government, the Northern Ireland Civil Service and the Scottish Government demonstrated how devolution works in the UK and the benefits of devolution to democracy as a whole.
2018 marked the 20th anniversary of the Committee of Experts European Charter for Regional and Minority Languages, which promotes and protects historical, regional and minority languages. The UK, as one of its first signatories, hosted a visit from the committee in May 2018 to assess UK implementation of the charter, which included meetings with the devolved administrations. The committee report complimented the UK on promoting minority languages In March 2019, the Foreign Secretary went to Aberdeen to discuss the importance of the oil and gas industry to the UK, and to deliver a speech on cyber deterrence in in several fields, highlighting work in the Isle of Man, Scotland and Wales.
## Foreign Policy
We shared information with the devolved administrations on topical foreign policy issues, including EU Exit technical notices on sanctions, Overseas Territories and the Kimberley Process. We also engaged on practical areas such as FCO consular assistance to British nationals overseas. We have kept the Scottish government informed about the UK's Arctic policy framework.
## Culture And Tourism
Our network continued to promote culture, tourism and investment in Northern Ireland, Scotland and Wales. Through the GREAT Challenge Fund, we supported a year-long Food is GREAT campaign. The campaign was led by Defra and developed by government and industry to increase UK food and drink export ambitions by £2.9 billion by 2020. This included promoting produce from the devolved nations at Burns Night celebrations in Slovenia and Mongolia, and Queen's Birthday events at the British Embassy in Rome.
our UK-China relationship, and create investment opportunities across many sectors in South Africa.
Our Posts throughout the year have raised the profile of all nations of the UK globally through the celebration of national days and other national festivals such as the Edinburgh Festival. We were delighted that international and national media (including BBC Wales and the Scottish Herald) highlighted the work of diplomats and civil servants of Scottish, Welsh and Northern Irish origin delivering around the world.
The Scottish and Welsh Governments, and the Northern Ireland Executive, were involved in our UK-China People to People dialogue, one of our major soft power initiatives with China. In October 2018, China hosted local authorities from England, Northern Ireland and Scotland for the fourth UK-China Regional Leaders Summit, resulting in a series of new partnership and collaboration agreements.
## Expertise
FCO staff are encouraged to develop devolution expertise through Diplomatic Academy learning, interchange and collaboration with the devolved administrations. Since 2016, all new heads of missions visit either Scotland, Wales or Northern Ireland as part of their leadership training.
We have collaborated with devolved administrations and companies to promote the UK's expertise in Artificial Intelligence in a number of international markets, including Japan. It has also helped to develop
## Engaging With Devolved Administrations In The Fco
This year, our network delivered visits by 56 senior officials to Scotland, Wales and Northern Ireland.
We supported 46
overseas visits by devolved administration ministers All new heads of missions visit either Scotland, **Wales** or Northern Ireland as part of their leadership training
## Engaging With Parliament Parliament And The Fco
officials gave evidence 37 times to those inquiries, and inquiries on which other departments led.
The FCO respects the vital role of Parliament to scrutinise our work and engages fully through:
»
» formal proceedings in the House of
Commons and the House of Lords
»
» Select Committees
»
» the work of individual MPs
»
» country-specific all-party
parliamentary groups
The Rt Hon Jeremy Hunt MP was appointed as Foreign Secretary in July 2018. Since his appointment, he has given evidence twice to the Commons Foreign Affairs Committee, and once to the Lords International Relations Committee to discuss the work of the FCO. The Permanent Under-Secretary also appeared before the Foreign Affairs Committee: twice to support the Foreign Secretary, and once to discuss management of the FCO, along with the FCO's chief operating officer and chief financial officer.
We are committed to ensuring our obligations to Parliament are met in full. The FCO's Diplomatic Academy offers workshops, training, and specific modules designed to support the development of all staff's understanding of Parliament, including its processes and its importance.
Other business in Parliament has made it more challenging for committees to timetable visits overseas. Nonetheless, since the start of 2018, the FCO has supported committees on over 40 overseas visits, including the US, Germany and Norway.
This year covered the second half of the 2017 to 2019 Parliamentary session, which ran from June 2017 and is still ongoing. Since 2018, FCO has been the lead department for 28 enquiries by committees of both houses, covering topics such as the future of Overseas Territories, Global Britain, India, Yemen, and Parliamentary Scrutiny of International Agreements. The FCO provided committees with written memorandums on each inquiry. FCO ministers and Over the past year, the House of Lords changed how it considers international agreements. In January 2019, the Lords EU Committee took on the responsibility for scrutinising EU Exit-related agreements until the end of the parliamentary session. The FCO has worked closely with the committee to help ensure that it is
1 Because of the introduction of their new casework management system and a new recording methodology, data for the number of enquiries received in 2017–18 cannot be compared to data in 2016–17.
## Key Parliamentary Activity In 2018-19
Written Ministerial
Oral questions
Statements
Ministers attended
Ministers made over 50.
departmental Oral
Questions eight times;
almost 30 FCO Oral
Questions answered
in the Lords.
fully equipped to carry out effective scrutiny. We maintain a parliamentary hotline for general enquiries from MPs and a consular hotline that allows direct access to consular staff to discuss constituent cases.
## The Parliamentary And Health Service Ombudsman
The Parliamentary and Health Service Ombudsman was set up by Parliament to provide an independent complaint handling service for complaints that have not been resolved by NHS England and UK government departments. They share their findings with Parliament, to help it to scrutinise public service providers. In 2017–18 (the most recent year for which statistics are available), there were 6,571 enquiries from MPs concerning all government departments, agencies and UK public organisations1. Of these, 21 enquiries concerned the FCO. Seven of these complaints were assessed and three accepted (in principle) for investigation. Of these, none were fully or partly upheld, and
Urgent Questions &
Debates
Private Notice Questions
Almost 50 in both Houses,
covering subjects such
19 UQs allowed in the
Commons on subjects
as the Commonwealth,
ranging from Yemen
Religious Persecution,
to Russia to the Middle
Russia and the Democratic
East Peace Process; Lord
People's Republic of Korea.
Speaker allowed 5 Private
Notices Questions.
one was not upheld (complaints accepted for investigation in previous years may be carried over to subsequent years).
## Key Parliamentary Activity In 2017–18 Secondary Legislation
This Sanctions and Anti-Money Laundering Act 2018 received Royal Assent on 23 May 2018. The act enables the UK to:
»
» continue to implement UN sanctions regimes
»
» use sanctions to meet national security
and foreign policy objectives
»
» ensure anti-money laundering and counter-terrorist financing
measures are kept up-to-date after the UK leaves the EU
To implement the sanctions regimes covered by the act, the FCO is bringing forward secondary legislation. From 2018 to present, the FCO has laid 20 Statutory Instruments before Parliament, the majority of which have now cleared parliamentary scrutiny.
## Openness And Transparency
The UK recognises the power of transparency in tackling corruption, promoting accountability, and building stronger and more stable states through creating links between citizens and governments. The UK has led internationally on this agenda and the FCO aspires to be one of the most transparent foreign affairs ministries in the world. During the past year, FCO has consistently released data in line with the cross government commitments and the UK's Open Government National Action Plan. Key milestones have included releasing details of all our Official Development Assistance (ODA) funded projects and participation in the International Aid Transparency Index assessment and the Trade Union Facility Time Regulations 2017 data. The FCO continues to invest resources in improving the quantity and quality of information made publicly available. It is aiming to improve its position in the 2020 Aid Transparency Index and meet government's commitment to achieve "good" or "very good" by 2020. More details on the FCO's transparency work and all our released data are available at GOV.UK. As part of our membership and support for the Open Government Partnership we have run projects in eight countries during the year. These have included supporting projects in Peru, Argentina, Lesotho, Colombia, Zambia, Ghana, Nigeria, and Kenya. These were part of International Open Data Day and promoted the use of open data and advocate equal development, civic participation and government accountability. We have sent delegates to support events to promote international collaboration in Belgium and Luxembourg, as well as hosting a delegation from France, and co-ordinating and providing UK attendance at the Open Government Partnerships Summit 2018 in Georgia.
## This Table Sets Out Some Of Our Activity In Parliament In 2018: Written Answers (Commons And Lords)
»
» 4,199 Parliamentary Questions (PQs) for written
answer were tabled to the FCO in 2018. 96% were answered to deadline. Of these:
»
» 2,830 questions were in the Commons, of
which 98% were answered to deadline.
»
» 1,369 questions were in the Lords, of which
94% were answered to deadline.
## Parliamentary Correspondence
»
» Received 7,385 pieces of correspondence (including
emails) from MPs and Peers in 2018, of which 82% were answered within our 20 day deadline.
»
» Received 2,075 pieces of hard copy correspondence
from Members of the Public, of which 70% was answered within our 20 day deadline.
»
» High profile letter writing campaigns covered
issues such as Burma, Yemen, the Occupied Palestinian Territories, and religious persecution.
## Parliamentary Scrutiny Requirements For Eu Documents
»
» Explanatory Memorandums (EMs) on 164 EU documents and
proposals were submitted to Parliament for scrutiny in 2018.
»
» 61 resulted in overriding scrutiny of one or both of
the Scrutiny Committees, 75% of which concerned sanctions and restrictive measures. (The figures for non-sanctions overrides were slightly high this year because of a clash between summer recess dates and the adoption of a number of EU mission mandates.)
## Oral Questions, Debates And Statements
»
» 70 House of Commons Urgent Questions (UQs) for the
FCO were requested. Of those, the Speaker of the House of Commons allowed 19 UQs on subject ranging from Yemen, Russia and the Middle East Peace Process.
»
» 5 out of 13 Private Notice Questions (Urgent Questions
in the Lords) allowed by the Lord Speaker.
»
» Responded to a three hour urgent debate on
Yemen in the House of Commons, which took place on the day after it was requested.
»
» Responded to a wide range of oral questions and
debates in the House of Lords and House of Commons. Commons Ministers attended departmental Oral Questions eight times during the year. There were almost 30 FCO Oral Questions answered in the Lords.
»
» There were around 50 debates in both Houses on subjects
such as the Commonwealth, Religious Persecution, Russia and the Democratic People's Republic of Korea.
»
» FCO Ministers made Oral Statements in Parliament
on nine separate occasions, in order to update Parliament on foreign affairs issues. Ministers made over 50 Written Ministerial Statements.
## Engaging With The Uk Public
communication between the FCO and the people it serves.
The Foreign Office uses various channels to help engage and inform people in the UK.
## Inside The Foreign Office
The FCO improved the general public's understanding of our work in 2018–19 to showcase Global Britain and demonstrate that we work hard in the best interests of the UK and its people.
The documentary was an opportunity to promote our work to a wider UK audience, and build trust in the FCO as a transparent institution, and in diplomats as politically neutral public servants. We aimed to increase understanding, improve favourability and change attitudes by challenging myths and stereotypes. We did this while demonstrating modern diplomacy and celebrating the diverse people who work here.
The primetime BBC2 documentary series, the first of its kind for almost 25 years, has helped to create a step change in active and direct
## Bbc2 Documentary, Inside The Foreign Office:
The first episode garnered Across the first two episodes,
1.7m views, including iPlayer just **less than 19%** of replays, which is high for a viewers were based in London.
factual documentary on BBC2.
## Digital Channels
We use digital channels to explain UK foreign policy and build advocacy for our positons. Our content reaches millions of people each month and we actively focus on producing content that helps to contextualise foreign policy issues, explain the UK response and provides a clear factual account of events. Our content is tailored and targeted to UK audiences and shared through online channels. We are consistently ranked as one of the leading exponents of digital diplomacy in the world and our UK
Positive sentiment outnumbered negative by 5:1. Final episode, Brits in trouble, generated the highest number of social media mentions using
#InsideTheForeignOffice.
corporate social media accounts have over one million followers. We have been providing FCO travel advice since 1990. It provides objective information and advice to help British nationals make their own informed decisions about foreign travel. In 2018, our travel advice country pages received over 44 million unique page views.
## Open House
Each year, the FCO participates in Open House London, the world's largest architecture festival, which gives free public access to certain buildings over one weekend. In 2018, 12,720 people visited the FCO building. Of those polled, 83% were favourable or very favourable towards the organisation after their visit.
## Uk Regional Engagement
It is essential that we continue to engage with the general public, local and regional representatives, and stakeholders across the whole of the UK. We need to create opportunities and mechanisms to listen and discuss major foreign policy opportunities and challenges.
With public diplomacy at its core, the FCO uses this opportunity to showcase our transparent and open organisation. It provides a platform to engage with the general public on the vast and global work that our people do in the UK and throughout the network overseas. This event was promoted through our digital channels, including a virtual tour and invitations to professional Instagrammers.
In 2018–19, we have worked with the think tank, the British Foreign Policy Group, on a varied and
## The Fco At 2018'S Open House London:
The FCO opened its doors to
83% of visitors polled were
12,720 visitors in 2018, 16%
favourable or very favourable more than the previous year.
towards the organisation after visiting the FCO main building.
engaging event programme. This has included FCO representatives joining events across the UK such as:
»
» Sheffield's Chamber of Commerce
event on the city and region's international links and ambitions
»
» Manchester's 'International
Ambitions in a Time of Change' event, with Manchester City Council, Manchester Metropolitan University and the Northern Powerhouse Partnership.
In partnership with 15 prominent Instagrammers, the hashtag
#OpenHouseFCO led to an increase in volume and engagement with posts by 50% and an increase in likes by 55% from 2017.
52 Foreign & Commonwealth Office Annual Report and Accounts 2018–2019
## Fco In The Year Ahead National Interest, Global Leadership
We lead HMG's global diplomatic network to advance British interests and act for the people of the UK around the world, supporting all UK Government activity overseas. As the UK leaves the EU, we will seize the opportunities to deliver for a Global Britain as we protect our country and our people, project our influence and values, and promote our prosperity overseas.
The Foreign and Commonwealth Office has a Single Departmental Plan (SDP) that sets out our objectives and how we will achieve them. For the year 2019-20, we will have 11 Foreign Policy Priority Outcomes, facilitated by our new Corporate Policy Priority Outcome, under the following three strategic objectives: protect our people, project our influence and demonstrate diplomatic leadership, and promote our prosperity.
## Cross-Cutting Activity
Underpinning our Priority Outcomes will be:
>
> Strong communications with international partners and UK citizens
>
> A twenty-first century diplomatic service ready to respond quickly to
global challenges by ensuring that it is well trained, has local expertise and language skills, and the technology to work in an agile, collaborative way
>
> A work force that both represents the modern United Kingdom
and benefits from the expertise of local staff, and that can utilise modern programme and project skills to ensure impact and value for money for our Official Development Assistance
>
> The ability to host world class events
## Expertise Agility
>
> Strategy and policy leadership and delivery.
>
> New technology introduced
>
> International negotiations.
and exploited to work smarter.
>
> Strategic communications on international priorities
>
> Corporate Capability
for HM Government.
>
> Innovative programme delivery.
>
> Deep country, multilateral and regional expertise.
Programme improving support services, freeing up time for front-line diplomacy.
>
> Professional Expertise: negotiating, influencing, crisis
>
> Agile workforce and
management, consular assistance, engagement.
>
> Language skills.
resource use, meeting needs of EU Exit Global Britain, and Africa Strategy.
>
> Diplomatic Academy develops to keep our
diplomatic skills and tradecraft best in class.
## Our Values Platform
>
> A bigger, more impactful, growing global network
that operates globally, 24/7: UK HQ, 274 overseas Posts, 169 countries and territories, 9 international organisations, over 12,000 staff.
>
> FCO provides a home for 'One HMG'—delivering
all government activity overseas, supporting 30 departments and the Devolved Administrations, through our diplomatic network of Embassies, High Commissions, Consulates and offices.
>
> Investment in, and improvement of the global
platform so that it is safe, secure, and promotes a positive image of the UK (for all government departments).
FPPO9 Global Economic Architecture
> Work with partners to promote a multilateral economic, financial
and trading system for strong, sustainable, balanced and
inclusive growth.
> Reinforce the rules based international economic system,
particularly the World Trade Organisation's role in global trade,
by advocating and leading reform, focused on international
trading rules, regulatory diplomacy, and eCommerce.
## Fppo10 Economic Diplomacy
> Showcase global leadership of free trade and economic
diplomacy, including through working with DIT on new and
transitioned Free Trade Agreements with third countries,
including in Europe.
> Work with DIT and BEIS to support UK exports and inward and
outward investment, including in rising economic powers, Asia,
Africa and Latin America, in line with the Industrial Strategy.
> Promote economic development, clean and sustainable growth,
and better business environments in key markets, ensuring that
technological and educational advances are delivering mutual
prosperity, delivering under the Industrial Strategy and its Grand
Challenges.
> Promote UK leadership on science and innovation, including
through working with BEIS, to boost UK prosperity and deliver
solutions to global challenges.
## Promote Our Prosperity
Promote UK prosperity by projecting the UK as a connected, innovative and active global economy, ensuring it is an attractive investment destination, opening overseas markets, driving economic reform, championing UK business, and enhancing global free trade through key international bodies.
## Fppo6 Europe
> Deliver a strong post EU Exit relationship,
advancing UK interests and tackling shared
global challenges; protecting UK interests on
sanctions, the Overseas Territories (including
Gibraltar), Kimberly Process, and Third Country
Agreements.
> Harness opportunities and mitigate risks linked
to EU Exit.
> Bolster governmental and people-to-people links
across Europe.
> Help negotiate a strong future partnership with
the EU.
## Fppo4 Diplomatic Leadership
> Lead delivery of the UK's first Soft Power strategy.
> Work to champion democracy, human rights,
good governance and the rule of law by assisting
supporters and using our leverage against abusers.
> Advance media freedom by leading a global
campaign; promote gender equality, including
the PSVI initiative; protect the oceans; defend
freedom of religion and belief; address global
challenges including modern slavery.
> Promote UK global leadership in the safe, ethical
and innovative development of AI and other
emerging technologies, including through
championing UK standards to shape the
international debate.
## Project Our Influence And Demonstrate Diplomatic Leadership
Advance UK interests by protecting and promoting UK's values, influence and soft power.
Working through the rules-based international system, with partners, we will make the
world safer and fairer by supporting human rights, democracy, good governance, the rule of
law, and preventing and resolving conflict.
We lead HMG's global diplomatic network to advance British interests and act for the people of the UK around the world, supporting all UK Government activity overseas. As the UK leaves the European Union we will seize the opportunities to deliver for a Global Britain as we protect our country and our people, project our influence and values, and promote our prosperity overseas. We will do this by working in partnership with others and supporting an international system based on rules, norms, and values to lead and deliver shared action on the world's most pressing challenges in a period of geopolitical change.
> Stand up for British citizens overseas by providing high
quality, accessible consular services globally, focused on
those most in need.
> Reduce preventable incidents affecting British people overseas
through collaboration with partners and governments.
> Respond rapidly to all overseas crises, leading cross-government
action.
## Fppo1 Consular And Crisis Fppo2 Euro-Atlantic Security
> Strengthen key security partnerships and ensure our
contribution is felt, in particular with the US and Europe—
forging a new security partnership with the EU to enhance
shared capability and tackle shared threats.
> Support a more resilient European neighbourhood, including
the Western Balkans and Turkey.
> Ensure a strengthened, expanding, more cohesive NATO—with
increased contributions from partners—acts to confront security
challenges, including from Russia, and remains a global leader in
mutual security cooperation, leading this at the London NATO
Leaders' Summit in 2019.
Protect our people Utilise the UK's hard power expertise to protect UK
citizens and our allies through our Cyber expertise, P5
status and NATO membership to counter terrorism, prevent weapons proliferation, counter malicious cyber activity, and tackle state and non-state threats.
## Our Department'S Strategic Objectives Department'S Foreign Policy Priority Outcomes (Fppos). In 2019–20 We Will:
FPPO11 Climate Change
> Tackle the global threat of Climate Change by: galvanising
international action; promoting the role and impact of COP26,
including bidding to host it; and taking a global leadership role.
## Fppo7 Conflict And Stability
> Focus UK effort on NSC priority countries,
advancing inclusive political processes and
protecting UK interests in Afghanistan, Syria,
Libya and Yemen; supporting security, stability
and good governance in the Middle East &
Africa; and working to resolve the Rohingya
humanitarian crises.
## Fppo8 Overseas Territories
> Build resilient Overseas Territories with good
governance, increasingly diversified economies
and prosperous communities, able to better
prepare for and recover from crisis.
## Fppo5 Multilateralism
> Defend the current Rules Based International
System (RBIS), which is based on norms, rules and
alliances, and support its reform and evolution.
> Promote the UK's position within the RBIS
including improving UK presence in international
organisations while building broader coalitions
around core interests and values and partnering
with emerging powers.
> Deliver Commonwealth Heads of Government
Meeting (CHOGM) 2018 commitments; boost
the Commonwealth's voice; increase mutual
Commonwealth support in multilateral fora and
reform the Commonwealth Secretariat.
## Cpp01 International Platform
> Provide an efficient, impactful and collaborative international platform for the whole of the UK government via our Embassies, High Commissions, Consulates and Offices.
> Leadership and support to all departments overseas to deliver government priorities
## Fppo3 Security Challenges
> Counter malicious cyber activity by developing a global doctrine
of attribution and deterrence, defend a free, open, peaceful and
secure cyberspace, and raise the cost for malicious online actors.
> Reduce the threat to UK interests from terrorism, weapon
proliferation, Hostile State Actors, illegal migration, and
Serious and Organised Crime, drawing on all UK Government
capabilities.
Facilitated by our Corporate Policy Priority Outcome (CPPO):
54 Foreign & Commonwealth Office Annual Report and Accounts 2018–2019
## Investing In Our People
»
» develop and support our staff
## Investment And Recruitment
to fulfil their potential and achieve their career aspirations
»
» keep the people we need and be
honest with those we do not
The FCO has continued to focus on the wellbeing and health and safety of our staff, both in the UK and across our global network. Despite the additional pressures of this year, brought about by EU Exit-related activities, we have continued to invest in the development of our staff, building expertise and agility through Diplomacy 20:20.
The FCO management board reviews progress towards achieving the strategy and agrees key priorities annually. In December 2018, they agreed to continue with the priority themes of Workforce Planning, Leadership and Wellbeing, and to conduct a light-touch refresh of the strategy during 2019.
## Diversity And Inclusion
We have recruited on a scale unseen in the FCO for decades to fill Londonbased roles, as experienced staff were deployed overseas in support of Global Britain, EU Exit and Africa strategy programmes. By April 2019, around 400 new staff, the majority on fixedterm contracts, will have begun their positions in FCO. While carrying out this expansion, we have always sought to recruit from the widest possible pool of talent, promoting diversity of thought, skills, and background.
To be the best it can possibly be, the FCO needs the skills of a truly diverse workforce. We must make the most of our talent and ensure every member of staff achieves their full potential. The FCO's management board is committed to ensuring that everyone plays a role in embedding diversity and inclusion into every part of our work. This is essential if we are to deliver excellent foreign policy and diplomacy in a diverse and changing world. Our Diversity and Inclusion 20:20 Strategy covers three priorities:
»
» a diverse talent pipeline
We want the modern FCO to reflect the best of modern Britain. We want to develop a diverse talent pipeline of individuals with skills that work now and in the future. Recruitment processes are fair, objective and impartial, and in line with wider Civil Service practices.
»
» tackling bullying, harassment
and discrimination
»
» creating an inclusive environment
Investing in our people is an integral part of our Workforce Strategy 2020 and, through it, we aim to:
»
» attract and recruit people with
high-quality skills to work for us
»
» retain and reward staff by
recognising their contribution
»
» promote and enable
excellent leadership
»
» ensure our organisation
The strategy sets out how we plan to reach our ambition of an inclusive FCO, in which all staff are valued and contribute to the best of their abilities. We believe that the better our workforce reflects the diversity of the country we represent, the stronger an organisation we will be.
is adaptable, flexible, responsive and innovative
In 2018–19, with a strong drive from the BAME Staff Network, we put a particular focus on race, including at board level. We looked at ways to translate our recruitment successes into fair opportunities and a talent pipeline through the organisation. In the coming year, we will launch a dedicated BAME Talent Programme to support these efforts.
## Progress In 2018–19 Fast Stream And Related Recruitment
In 2018–19, the FCO recruited 36 specialists across the delegated grades and 63 Fast Stream policy entrants. The profile of our 2018–19 Fast Stream cohort is:
»
» 49.2% female;
»
» 17.5% BAME;
»
» 14.3% disabled; and
»
» 15.9% LGBT.
The FCO also recruited 66 higher executive officers and 47 executive officers through the Direct Appointment Scheme. The profile of the new recruits is:
»
» 67.9% female;
»
» 21.4% BAME;
»
» 11.6% disabled; and
»
» 6.2% LGBT.
Additional recruitment undertaken during 2018–19 includes: 65 higher executive officers recruited via the Cabinet Officerun Policy Professional external recruitment campaign, of whom:
»
» 52.3% female;
»
» 23.1% BAME;
»
» 10.8% disabled; and
»
» 6.2% LGBT.
77 administration officers, of whom:
## Apprenticeships
»
» 56.4% female;
»
» 46.2% BAME;
»
» 7.7% disabled; and
»
» 5.1% LGBT.
Apprenticeships are a key part of the FCO's external recruitment cycle. In line with government strategy, we are committed to developing and broadening our apprenticeship programmes further.
9 finance directorate administration officers
—the small group size means diversity data is withheld to respect anonymity.
## Internships
Our target (shared with our executive agencies, FCO services and Wilton Park) is to ensure that apprentices account for 2.3% of our combined workforces in England, achieving Civil Service targets for public departments. In 2018–19, the FCO contributed 62 apprentices to the combined target. Unfortunately, there were delays in security clearances which prevented more from joining us this year.
Our work experience schemes encourage undergraduates and graduates from all backgrounds to experience life at the heart of the UK government and consider the FCO as a future employer.
FCO has recruited apprentices through a number of routes over the past year, including our own external recruitment as well as through the Civil Service Fast Track, and Government Communication Service schemes. These campaigns have yielded 50 business administration apprentices, three communications apprentices, one finance apprentice, and seven HR apprentices (the latter support the FCO's Corporate Services Centre).
In 2018–19, we offered 110 internships, representing a 27% increase on the previous year. There were 66 graduate interns who undertook placements of up to nine months. A further 25 benefitted from six-week placements as part of the Summer Diversity Internship Programme. The Summer Diversity Internship Programme targets individuals from underrepresented groups and is managed centrally by the Government Recruitment Service.
The profile of our 2018–19 apprentices is:
»
» 48% female;
»
» 21% BAME; and
»
» 8% disabled.
The FCO manages its own annual graduate internship programme, which is open to graduates from all backgrounds. In 2018–19, the profile of our graduate interns is:
»
» 53% female;
»
» 23% BAME;
»
» 14% disabled; and
»
» 10% LGBT.
In the coming year, the FCO will continue to recruit business administration and professional apprentices. By doing this, we can build more capability across We recruited 65 higher executive officers via a Cabinet Office-run campaign, of which:
the department and contribute to the government's goal of three million apprenticeships by 2020.
## Exceptions To Fair And Open Competition 2018–19
Some exceptions to the Civil Service Recruitment Principles are allowed. They are listed below, along with the number of appointments of each type made in 2018–19. These figures include only new contracts granted, or extensions which required the permission of the Civil Service Commission:
| Type of Exception | Number |
|------------------------------------|---------------------------|
| Short-term appointments | |
| for up to two years | |
| 39 (in | |
| cluding | |
| 25 SDIP) | |
| 2 | Support for government |
| employment programmes | |
| for up to two years | |
| Secondments for up to two years | 4 |
| Extended Ministerial Offices | 0 |
| 2 | Re-appointment of for |
| mer civil servants | |
| 0 | Interchange with North |
| ern Ireland Civil Service | |
| 0 | Transfer of staff from |
| other public bodies | |
| 0 | Transfer of organisations |
| into the Civil Service | |
| 0 | Transfer of individuals |
| into the Civil Service | |
| 1 | Conversion to permanency: |
| administrative & industrial grades | |
## Health, Safety And Wellbeing (Hsw) Of Our Staff
In November 2018, the Permanent Under-Secretary issued his refreshed Health Safety and Wellbeing Commitment across the FCO network. We will focus on the following objectives, which include the introduction of senior responsible owners, and actions for directorates and posts.
## Oversight Of The Health And Safety (H&S) Framework
An organisational health check by an external professional body has been commissioned, including a review of the H&S team's operating model. We will analyse the findings and implement changes as appropriate.
## Incidents
Over the year we investigated a range of incidents in the UK and overseas concerning gas, electrical, working at height and event management.
The overall aim of our student outreach is to increase the number of successful applicants from diverse backgrounds, in line with UK population figures, to all of our recruitment campaigns. Our particular focus is the Diplomatic Fast Stream. Our outreach programme focuses on highpotential candidates from Black, Asian and Minority Ethnic (BAME), low socio-economic and widening participation backgrounds. Importantly, it also encourages regional diversity in our entrants. We seek to engage individuals who might not otherwise consider, or who could even self-select out of, an FCO career. FCO outreach began in 2013 as a university roadshow, and students who once attended FCO outreach events are now colleagues today. This outreach has the ability to change perceptions, and, of those who attended the 2018 University Roadshow, 92% came away with a better perception of the FCO as a result. We have increasingly worked with universities who have a strong record in widening participation so that we target our efforts effectively. Through these programmes and work with widening participation officers, we have increased focused engagement with our target audiences. Running from February through to March 2019, the FCO university roadshow took us across the UK, visiting universities from all regions of England and all devolved administrations. Students from diverse backgrounds were engaged through a series of events that aimed to inspire them to consider the work of the FCO and a career here. Over the course of this period, we met with around 800 students at 13 events. This year our developed outreach toolkit has supported over 30 individual volunteers undertaking their own outreach to both school and university students of diverse backgrounds and disciplines. We have run a number of other outreach projects, such as working alongside the Children's Commissioner for England to host our own FCO 'Whitehall Takeover Challenge'. We are currently exploring new relationships with partner organisations to engage with talented schools and university students from diverse backgrounds.
## Audits
Dame Judith Hackitt's Independent Review of Building Regulations and Fire Safety. Our updated policy will be launched in April 2019, with 'escape from fire' our primary objective, and incorporating our own fire risk assessment tool and improved means for staff to raise concerns to SROs.
Internal audit completed an audit at FCO's logistics site Hanslope Park, Milton Keynes, focusing on the FCO's responsibilities as landlord. A number of H&S- related recommendations included reviewing the park's governance to improve co-ordination on H&S and to clarify and formalise authorities to access and permits to work.
We are halfway through a delivery programme to adapt properties that are structurally in the highestrisk categories for earthquakes.
## Hsw Projects
The eight HSW Senior Responsible Officers (SROs) are leading projects across a range of HSW topics.
We plan to reinvigorate our policy approach to construction, design and management regulations area and look at how high-risk safety at work is led and controlled. Protocol have commissioned a review of event safety at We are addressing lessons from the Grenfell fire tragedy and have identified 23 changes originating from
## 2018 Staff Survey By The Numbers
Lancaster House with the aim of streamlining H&S practices to improve operational delivery. Our Transport Policy has been updated with regard to vehicle safety, and re-issued. We are also considering health and air pollution. A data collection and analysis exercise is underway to identify the worst-polluted Posts on both a year-round and seasonal basis. Appropriate mitigations will be discussed and implemented in conjunction with geographic directorates and Human Resources Directorate. We are making good progress towards meeting a Cabinet Office objective to train 90% of our senior leadership change, our results were 16th best of 111
participating organisations officers on 'wellbeing-confident leadership' by June 2019. We have also trained 128 mental health first aiders.
CSA, having dropped by 1%. The survey was conducted before the implementation of a new pay structure and the 2019 survey will show if this has an impact on the scores.
## 2018 Staff Survey Diplomacy 20:20
Diplomacy 20:20 is the FCO's transformational change programme to deliver a more expert and agile organisation, supported by a worldclass platform. The programme was launched in 2016 and will run until at least 2020. It is organised in three pillars—expertise, agility and platform.
The overall picture of the 2018 Staff Survey remained positive and, as the previous year, the FCO scored above the Civil Service Average (CSA) in eight of the nine survey themes. Our participation rate rose again, with 670 more staff completing the survey than in 2017. This raised the overall participation rate to 87%—the highest participation of any similarly-sized participating government organisation. Important statistics to note were:
»
» leadership and managing
change was 10% above the CSA, placing the FCO 16th of 111 participating organisations
»
» learning and development
was 7% above CSA
Now in its third year, Diplomacy 20:20 delivered further organisational improvements. Our work over the past three years has also been reviewed by the Infrastructure and Projects Authority—most recently in February 2019—where it concluded that we had made good progress.
»
» engagement index score remained
high at 72%, 10% ahead of the CSA and 6% above the Civil Service High Performers
»
» bullying and harassment
scores remained at 13%, though discrimination scores decreased to 15%
»
» FCO staff were also 12% above
the CSA and 3% above the Civil Service High Performers in believing that action would be taken as a result of the survey.
On expertise, we are piloting integrated cross-government business planning overseas in seven diplomatic Posts and supported eight secondments to organisations outside government to help our staff gain external experience. We continued to grow the learning and development offer for staff working on international issues across government through the Diplomatic Academy, including by opening a new learning centre. We also deepened the exchange of best practice and experience Pay and Benefits was the only theme where we were not above the of Diplomacy 20:20 through an internal campaign, #MakingItReal. We are finalising the restructuring of policy directorates in London to ensure the wider size, structure and shape of the FCO and its network is ready to meet our priority outcomes. These changes, alongside others under the agility pillar, have helped us to respond well to priorities such as EU Exit. Following the introduction of a new global charter recognising the crucial role played by our local staff, there are now more than 100 local charters in place across our overseas network.
Following the landmark sale last year of the British Embassy building in Bangkok, we began a range of estate modernisation projects around the world to improve our platform. Nine new diplomatic Posts in Commonwealth countries are under development, with all expected to open before March 2020. Work to improve our corporate services continued, including the first ever global gathering of our corporate services managers to support local implementation. We also continued to roll out upgraded technology across our diplomatic network.
## Diplomatic Academy
The Diplomatic Academy remains at the heart of the FCO's efforts to ensure all staff have the right skills, knowledge and expertise to deliver against FCO objectives. The academy has 12 faculties, as well as regional teams supporting the learning and development needs of our overseas network. This year, HRH The Duke of Cambridge opened the Mayhew Theatre on 4 March 2019. A once un-used courtyard within the FCO's main building now houses the FCO's largest dedicated learning and development space. The theatre is named after Cicely Mayhew, one of the first female diplomats, who helped pave the way for more women to join the diplomatic service. The sustainable design, approved by Historic England, will bring staff together, both physically and virtually, to share knowledge, expertise and skills.
As part of their support to the overseas network, our regional teams have delivered:
»
» 12 modules of the Confident
Manager Programme virtually
»
» eight Global Leadership
Programmes (from which 130 staff have benefitted)
»
» six new Emerging Leaders
Programmes (from which 95 staff have benefitted)
»
» 14 learning cohorts
'Diplomacy in the 21st Century', an online course developed in partnership with the Open University and the FutureLearn platform, was launched publicly and has 10,000 registered learners including FCO staff, diplomats from other countries and students. It will be followed by further internal and public-facing courses to reinforce FCO staff expertise as well as contributing to FCO outreach.
supported by 'Learn About…' programmes enabling experts to share knowledge and expertise regionally
## Languages
We ran 35 induction courses for more than 600 new staff in the UK, the largest influx of new staff in recent years. The number of colleagues studying and completing foundation level (FL) continued to increase. As of March 2019, 188 staff have completed the City and Guilds qualification, and there are over 1,420 registered FL learners. Next year, we will focus on creating a revised FL in line with the academy's commitment to continual improvement. We now have 9,000 colleagues across government registered to use GLO (the FCO's platform for Global Learning Opportunities) which gives access to the FCO's digital Learning & Development resources.
Languages are an integral part of the FCO's ability to deliver our Global Britain vision, allowing us to understand local cultures and build relationships that can deliver results. In October 2018, the Foreign Secretary announced that over the next 10 years the FCO should aspire to double the number of British diplomats who are able to speak the native language of the country where they serve. We currently have some 565 speaker slots around the world, and train over 200 staff each year to reach the linguistic level required for their roles.
## Diplomatic Academy Foundation Level Passes Per Module To March 2019
This year, we provided full-time language training to 53 officers in Arabic, 34 in Mandarin, 42 in Russian, 34 in Spanish and 32 in French. Currently, 79% of our Heads of Mission are able to operate primarily in the language of their host country where speaking this language is a requirement of the role.
60 Foreign & Commonwealth Office Annual Report and Accounts 2018–2019
## Our Global Network Our Global Network
The FCO's global network works to protect our people, project our global influence, and promote our prosperity. The overseas network also provides a platform for 31 other government departments. Last year, the FCO secured new resources to significantly expand our global network in support of EU Exit, Global Britain, and the delivery of a new approach to Africa. This expansion will strengthen talent and expertise at our Posts across the world, as well as deepening our engagement in key countries and institutions.
## Key: - Embassy - High Commission - Other Posts
delivering our foreign policy priorities. Global Britain, Africa and EU Exit uplifts are the three components of the network's expansion and will together deliver over 1,000 new staff positions by 2020. Of these positions—roughly one-third UK-based overseas, one-third local staff and another third in the UK—we expect to have filled almost half by March 2019.
Over the last year, we have continued to aim for buildings in our overseas estate which are safer, functional, sustainable and accessible. We are working towards smaller footprints and less floor space per person worldwide. We have also continued to provide physical, technical and personnel security for all staff, and remain on course to deliver the tech overhaul programme within budget.
## One Hmg Platform
The Foreign Secretary's speech at Policy Exchange on 31 October 2018 set out the FCO's plans to invigorate and expand the diplomatic network beyond EU Exit, with the aim of The FCO, through our overseas network, provides the One HMG Overseas platform which allows our network and 31 partners across government to deliver government objectives overseas. One HMG aims to deliver government objectives and joined-up activity overseas as effectively and efficiently as possible, removing duplication of costs and co-locating HMG's operations overseas at a single Post, except where good business reasons dictate otherwise. The FCO Diplomacy 20:20 programme aims for a more expert and agile organisation, supported by a world-class platform. As of 31 March 2019, the FCO network had 270 posts in 169 countries and
## In Focus: Diplomatic Uplift
The Global Network Uplift has been the biggest investment in the FCO for decades. We will have sovereign missions in 161 countries, which is more than any other European country. By the end of 2020, the UK's diplomatic network will have gained almost 1,000 members of staff. This represents a visible demonstration of the UK's commitment to engage globally. The broadening of the network and deepening of core political capability in existing Posts will enhance our ability to better deliver against the UK national security objectives of protecting our people, projecting our influence and promoting our prosperity. The uplift consists of three component parts:
»
» the first in response to the need for new positions
to reflect our changed relationship with the EU and individual member states
»
» the second to achieve a step-change in our presence
and impact in Africa
»
» the third to deliver the ambitions of a Global Britain in
key locations across the world.
The Global Britain component of the uplift includes new roles focusing on emerging opportunities and threats. It will deliver greater political engagement with other G20 members, rising powers, and new partners. We will bolster our impact in working alongside historic partners, such as the Commonwealth and, in particular, our friends and allies across Europe. We will enhance our ability to meet our clear obligations in support of Overseas Territories, our provision of consular services, and specific policy issues such as cyber and non-proliferation, of which the UK is a leading actor. Our multilateral missions in New York and Geneva will undergo a significant strengthening. We will establish a new mission to ASEAN to promote, defend and adapt international norms, institutions and systems that strengthen international peace and prosperity. We will develop our capabilities and expertise to influence international policy, standards and rules in line with UK interests, and harness our strengths, history and values to maximise soft power which supports our security and prosperity objectives. One example of this is the upcoming conference on Media Freedom in summer 2019. UK leadership in tackling shared challenges is in the global interest, but it is also fundamentally and unequivocally in the national interest. The Global Britain Uplift serves to support a safe, secure and freely trading global environment—all of which underpins security and prosperity at home.
territories, and nine multilateral organisations. During 2018–19, we closed subordinate Posts in Alexandria, St Petersburg, Almaty, Porto Alegre and Tijuana, and opened a new British Embassy in Nouakchott.
## The Estate
The FCO's estate remains a unique and highly diverse public asset—with owned or rented properties (offices, residential and a mixture of ancillary buildings and land) primarily overseas. Among key activities throughout the last year, January 2018 saw the completion of the sale of the current Bangkok Embassy compound in Thailand—the biggest land deal in Thai history and the FCO's biggest ever sale, which raised at least £420 million. The funds released enabled the FCO to begin work on around 50 major and long-planned estates projects, as part of our continued efforts to update and modernise our global estate to achieve our aspiration of a world-class platform. As a result of the Bangkok compound's sale, we scaled up our estates team to ensure the delivery of the programme of major projects. Overseas, excellent progress has been made, including the redevelopment of office accommodation in Kathmandu, which is near completion despite its complexity and scale. As of March 2019, the FCO is now co-located with nine countries and the European External Action Service, NATO, and the World Bank in 28 different locations. In addition to formal co-location arrangements, there are also a number of less formal sharing arrangements, which demonstrate the ongoing range of co-operation with partners.
Other key achievements across the network's estate this year include:
»
» the relocation of the Düsseldorf office
»
» the co-location of New Zealand with the UK in
Stockholm
»
» a major roof replacement project in Colombo
»
» completion of the Paris Residence rewire
There are also numerous projects scheduled for completion in 2019–20, which include:
»
» re-provision of embassies in Mexico and
Bangkok, and major improvement works in Paris
## In Focus: Sustainability*
»
» 12 new Posts in Africa, the Americas and Asia-
Pacific, and platform enhancements under the Africa Uplift as part of the Global Britain Uplift programme
»
» improvements to our platforms in Bucharest,
Rangoon, Nicosia, Accra and Karachi
»
» the completion of office improvement works for
DFID across Africa in Addis Ababa, Freetown, Kinshasa, Kampala and Khartoum
By the end of 2018, the FCO removed 1.5 million items of avoidable single-use plastic from its UK estate. This was 97% of our baseline figure, and by March 2019 elimination was at 98%. In our overseas network, we have eliminated a further one million items. The FCO is the first government department to take determined action, following a public commitment from the Foreign Secretary in February 2018, to 'eliminate avoidable single-use plastics from its UK operations by the end of 2018 and from its global operations by 2020.'
In total, we will complete 14 new and upgraded Posts by 2020:
»
» six new High Commissions in Samoa, Vanuatu,
FCO introduced the first Latte Levy in Whitehall and we encouraged staff to use their own coffee cup through the #BeyondPlastic communications campaign. This succeeded in driving reusable cup use from 3% to 51% within the first month.
Tonga, Eswatini (formally Swaziland), Lesotho, and the Bahamas
»
» two new embassies in Dijbouti and the Maldives
»
» upgrading our offices in Chad and Niger to
Overseas, we have 150 #BeyondPlastic Champions across 107 Posts to lead local action. 13 Posts are already avoidable single-use plastic free and another 37 are committed to target dates to join them.
## Embassies
»
» a new mission to ASEAN in Jakarta
»
» three Resident Commissioners in Antigua and
Barbuda, St. Vincent and the Grenadines, and Grenada
Our campaign has brought media recognition, case studies in both CCS Procurement Policy and the Government Estate Strategy 2018, and the opportunity to partner with the Zoological Society of London's (ZSL) #OneLess campaign as a pioneer partner. We have also been nominated for four Business Green Leaders awards.
## Security Of Our Staff And Missions
A consistently supportive FCO Board, Interserve, Facilities Management supplier, and Sir David Attenborough's encouragement when speaking at our Leadership Conference 2018, have helped to make this possible. But our greatest asset is the unbounded enthusiasm of colleagues across the FCO.
The FCO provides physical, technical and personnel security for all government departments operating in our missions overseas as part of the One HMG platform. This includes a dedicated cadre of professional overseas security managers, and covers our security responsibilities towards both local staff and UK-based staff and families. In 2018, the FCO facilitated 2,391 places on security training for fragile environments and delivered home and overseas security courses to 1,749 individuals from the FCO and other departments. In addition, we provided bespoke security training for groups of staff at six Posts in response to changing threat levels.
*A summary of the FCO Sustainability Report, plus a link to the full Report, can be found in the Accountability Report (page 74).
## In Focus: Tech Overhaul
Tech Overhaul is a £120 million IT programme in the government's major projects portfolio, aimed at transforming the way staff use technology. The programme, which began in 2015, is on track for completion within budget in 2019–20. Last year saw the rollout of new technology across the network, from Afghanistan to Zimbabwe, supported by a behaviours-based 'Work Smarter' campaign. A major element of the Tech Overhaul programme was updating the aging Vista-based IT, which led to the deployment of more than 20,000 laptops, desktops and smartphones to 223 Posts across the FCO network over a 12-month period. More than 20,000 bags of IT hardware were dispatched in total, with the largest single deployment of over 500 devices in New Delhi. As a result, Posts now have more reliable laptops and smartphones.
Tech Overhaul has had measurable impacts on productivity, saving staff time and enabling more efficient use of office space in the UK and overseas: 80% of users have declared that the new smartphones have improved their working lives. The programme has given more options to FCO users to work remotely and from home, and helped the FCO meet the government's 10:8 staffdesk target. Reported IT faults fell by 23% between 2017 and 2018, and 90% of staff reported that login times have reduced. The new technology also consumes less power, which has saved on electricity use and reduced our CO2 consumption. To encourage staff to explore how they can better use technology to work in a more flexible and agile way, we launched a transformation campaign and expanded our 'Tech Ninja' network, which helps leaders make the most of new products. FCO Labs, our dedicated design and innovation team, have also developed bespoke products to support new kinds of diplomacy and the FCO's operations, including a prototype of a new business planning and impact tracking tool and a bullying, harassment and discrimination anonymous feedback tool. The last quarter of the year has seen a particular focus on supporting EU Exit planning, including rolling out collaborative Office 365 technology to staff engaged in EU Exit preparations. The year 2019–20 will see the Tech Overhaul programme move into its final phases before the programme formally closes in the autumn. The work smarter campaign will continue, so staff are well-supported to use the new technology. By April 2019, the FCO deployment of the new cross-Whitehall secret Rosa platform will be substantially complete, with FCO users across the UK estate and 168 overseas Posts enrolled and fully trained. The new platform incorporates modern Microsoft Office tools and will enable seamless collaborative working at secret, including with One HMG partners on the FCO's overseas platform and across Whitehall. Rosa will also allow the FCO to de-commission the legacy Confidential Firecrest platform, which is end of life, simplifying the IT estate and saving money.
Accounting Officer Foreign and Commonwealth Office King Charles Street London SW1A 2AH
64 Foreign & Commonwealth Office Annual Report and Accounts 2017–2018 64 Foreign & Commonwealth Office Annual Report and Accounts 2018–2019
## Accountability Report Spending Flow
*includes both realised and unrealised gain on exchange
## Finance Facts For 2018–19 Project Our Global Influence Consists Of: Corporate Governance Report Senior Management: Ministers In 2018–19 Secretary Of State For Foreign And Commonwealth Affairs: Rt Hon Jeremy Hunt Mp
Overall responsibility for the work of the Foreign and Commonwealth Office, and specific responsibility for Policy Unit, Honours, Intelligence Policy, Oceans.
## Minister Of State For Europe And The Americas: Rt Hon Sir Alan Duncan Kcmg
Responsible for the Americas (including Cuba), Europe (including all parts of the former Soviet Union and Turkey), NATO and European Security, Defence and International Security, The Falklands, Polar Regions, Migration, Protocol, Human Resources, OSCE and Council of Europe, Relations with Parliament, FCO Finance, Knowledge and Technology and the Diplomatic Academy.
## Minister Of State For The Commonwealth And The Un: Rt Hon Lord Ahmad Of Wimbledon
Responsible for all FCO business in the Lords, The Commonwealth (as an Institution), Overseas Territories (excluding Falklands, Sovereign Base Areas and Gibraltar), The Caribbean, Prime Minister's Special Representative on Preventing Sexual Violence in Conflict. Prime Minister's Special Envoy on Freedom of Religion or Belief. Human Rights and Modern Slavery, The UN, Peacekeeping, Conflict and International Criminal Court, National Security, Counter Terrorism, Countering Violent Extremism and Cyber.
## Minister Of State For Asia And The Pacific: Rt Hon Mark Field Mp
Responsible for Asia (excluding Central Asia), Australasia and the Pacific, Communications, Public Diplomacy and Scholarships, British Council, Economic Diplomacy (including Illegal Wildlife Trade and Climate Change), Economics Unit, Ministerial oversight of FCO Services, FCO Representative for Prosperity Fund Ministerial Board.
Minister of State for Africa- Joint Minister with DFID: Harriett Baldwin MP
Responsible for Africa, Consular Policy and International Crime.
A full list of Ministers who served in the FCO during 2018-19 can be found in the Remuneration Report. A full list of Minister's Interests can be found on Gov.uk.
## Directors' Report Senior Management: Members Of The Fco Management Board
A list of every serving member within the period 1 April 2018 and 31 March 2019 can be found in the Governance Statement. Note 17 in the Accounts gives details of company directorships and other significant interests held by members of the Management Board which may conflict with their management responsibilities.
## Financial Review
In 2018-19 we successfully managed within all Parliamentary and HM Treasury (HMT) controls; and within our 1% underspend target. The year saw significant expansion through the global network uplifts, and uncertainty linked to planning for EU exit. Key developments during the year included:
Foreign Currency Mechanism: We worked with HMT to improve our exchange rate protection in countries where the FCO has to pay in hard currency rather than local currency. We requested and received additional non-cash funding to deal with any potential impact on our asset valuations.
Global Banking and Payments: Over recent years the FCO has centralised the majority of payments into our global processing centres in Milton Keynes and Manila. This is more secure, accurate and efficient and reduces administrative burdens at Post. By the end of 2018-19, 82% of overseas payments were paid or controlled centrally; our target for 2019 is to reach 90%.
UK Based Delegated Pay Restructuring: In September 2018, Cabinet Office and HMT approved the FCO's proposal for a revised pay structure, more closely aligned with other government departments. The increases, which are being staged over 28 months, are focused on those grades which were furthest behind.
## Departmental Expenditure Limits—Resource
Our overall Resource DEL underspend was £19.6m (0.8% of budget); the underspend excluding non-cash depreciation was £11.5m (0.5% of budget). The detailed figures are in the Statement of Parliamentary Supply (SoPS) Note 1.1. The SoPS shows resource expenditure against seven main headings in the Estimate, A to G. Explanations of all significant movements, overspends and underspends are given below:
Headings A and B: Administration and Programme and International Organisations Grants. Expenditure was £47m below estimate. Of this, £19.8m was provided to the British Council and £9.6m to cover additional peacekeeping expenditure. Budget transfers have been made on the face of the accounts to reflect these changes. The true underspend on Administration and Programme and International Organisations Grants was therefore
£17.6m. The biggest driver of this was the FCO's preparation for EU Exit. As part of our no-deal planning, we held back contingency in the final quarter of the year in case sterling dropped significantly; it did not. We drew down extra non-cash funding to cope with any exchange rate impacts on our asset valuations; but £8.1m of this was not needed. In addition, we only needed to use £1m of our £5.6m no-deal "urgent requirements" funding. Leaving aside EU exit factors, the resource underspend was broadly in line with last year.
Heading C: British Council. Expenditure was £19.8m above estimate. As mentioned above, £19.8m of funding has been transferred to cover the expenditure.
Heading D: Net funding for NDPBs—an underspend of £0.8m against a budget of £6.6m.
Heading E: Prosperity Fund Programme Expenditure—an underspend of £1.2m against a budget of £59.3m. This is mainly due to a programme which did not proceed as planned.
Heading F and G: Conflict Prevention Programme Expenditure and Peacekeeping. These are ring-fenced elements of FCO Resource DEL, funded from the Conflict, Stability and Security Fund (CSSF). The financial position was £9.6m above estimate. £1.5m of this was covered using an underspend in the Integrated Activity Fund Programme, and £8.1m using underspends from other FCO programmes. The main reason for the additional cost was an increase in peacekeeping contributions following higher UN spending in 2017-18.
## Departmental Expenditure Limit—Capital
FCO capital expenditure is funded through two main sources; core funding from HMT (with an annual budget of £98m), and recycled proceeds from asset sales. We have flexibility to draw down sale proceeds in future years. HMT is currently holding £355.8m of surplus Bangkok sale proceeds from 2017-18 on our behalf. The underspend on our Capital DEL was £14.9m against a net funding of £156.6m. Over half of the underspend (£8.4m) was caused by a decision in March to acquire a property on a 25-year operating lease (which does not score as capital) rather than in perpetuity as originally planned. The Treasury has agreed that we can access this fund in the future years as the decision was based on value for money.
## Annually Managed Expenditure (Ame)
Heading H: Annually Managed Expenditure (AME). This area of spend includes unrealised gains/losses on foreign exchange forward purchase contracts, impairments arising on the revaluation of worldwide properties, new provisions and movement in existing provisions. The outturn of negative £3.1m was £163.1m below estimate. AME spend by its nature is volatile and demand led, and therefore difficult to forecast. In particular, exchange rate movements on open forward contracts and revaluations/impairments of the FCO property portfolio can significantly impact the outturn.
Heading I: Annually Managed Expenditure (AME)
Reimbursements. This is the cash element of our AME budget and mainly relates to reimbursements of certain duties and taxes, including VAT on diplomatic missions and International Organisations hosted in the UK. The outturn was £5.6m below estimate.
## Fco Policy Programmes
Policy programmes are a vital part of modern diplomacy—a vehicle through which we deliver foreign policy outcomes. They help us think through the change we want to achieve, structure what we do and align resources to objectives to deliver value for money. They also enable work across organisational boundaries, with other departments across HMG, and with local and international partners. FCO policy programmes are strategically focussed, supporting delivery of the National Security Council's priorities and FCO Priority Outcomes. The FCO uses programme funds to help unlock some of the most difficult foreign policy issues. Our programming helps advance the UN Sustainable Development Goals, while at the same time progressing our national security and economic interests. It responds to new challenges and exploits opportunities where there are no tried and tested approaches or where there are complex or dynamic political risks and sensitivities. FCO programmes integrate Official Development Assistance (ODA) and non-ODA spending. Our flexible approach enables us to exploit opportunities for our partner countries and the UK taxpayer. The FCO is an experienced and reliable ODA delivery department and committed to continuing to drive up programme management standards. We take a risk based approach to delivery. All FCO-led foreign policy programmes are expected to follow HMG best practice, as well as the FCO's internal assurance processes. We draw on skills and expertise from across HMG but apply this to the FCO's operating model. As well as policy programming using department resources (as per indicative figures from the estimate memorandum, £87.3m total ODA and non-ODA in FY 18/19), FCO-led programming makes a key contribution to cross-government delivery (£1,099.7m total ODA and non-ODA in FY 18/19). Within the cross-government funds the FCO delivers specific programmes through the Conflict Stability and Security Fund (CSSF) and Prosperity Fund (PF)
and convenes wider cross-government activity in support of NSC policy direction, including programme spend.
## Official Development Assistance
The following section focuses on ODA spend. The definition of ODA is set by the Organisation for Economic Co-operation and Development (OECD), Development Assistance Committee (DAC).The rules set by the OECD ensure international comparability and consistency in the reporting of ODA among DAC members. Under the rules, spend must be reported on a calendar-year basis to provide comparable data taking into account the fact that financial years vary across members (data therefore spans two UK financial years). The rules also state that ODA spend must be recorded on a cash basis (not accruals). ODA supports a significant proportion of our policy programme work. This expenditure is used to support and deliver three of the four strategic objectives of the government's 2015 Aid Strategy which aligns the government's global efforts to defeat poverty, tackle instability and create prosperity in developing countries. Provisional figures released as part of FCOs submission to DFID's Statistics on International Development: Provisional UK Aid Spend 2018 show that in calendar year 2018 the FCO spent £633m of ODA from its core budget. This included £38m on the FCO's departmental policy programme, the International Programme, and £58m through Chevening Scholarships. In addition the FCO spent £411m of the cross-government CSSF's total ODA spend, and £50m of the £95m cross-government Prosperity Fund's ODA. While the FCO delivers programmes under both of these funds the Cabinet Office is responsible for the overall strategic direction and management of both the CSSF and Prosperity Fund.
## International Programmes
ODA supports a significant proportion of our policy programme work. This expenditure is used to support and deliver three of the four strategic objectives of the government's 2015 Aid Strategy which aligns the government's global efforts to defeat poverty, tackle instability and create prosperity in developing countries. ODA eligible FCO policy programmes under the International Programme supported a wide range of UK foreign policy priorities in ODA eligible countries. The International Programme focusses on specific policy and geographic areas in particular those not covered through the cross-government funds). Full details of the breadth and scope of the International Programme, alongside financial data and contextual information, can be found on the FCO's ODA pages on gov.uk. The International Programme complements traditional diplomatic activity and is delivered through our network.
Activity included small-scale interventions as well as longer-term capacity building programmes around the world to promote British interests, including through contributing to the economic development and welfare of developing countries. The International Programme's spending contributes to strengthening global peace, security, governance, and resilience, or promoting global prosperity in support of the UK Aid Strategy. Among other achievements in 2018, funding from the International Programme:
»
» Supported the delivery of guidance and training
for lawyers in China defending death penalty drug cases nationwide. Since then, this has seen reduced penalties in several cases where the defence lawyer drew directly on the guidelines.
»
» Worked with UNESCO to counter violence against
journalists in Uzbekistan, and contributed to creating a safe environment for media work through cooperation with the government. In February 2019, recommendations of journalists, who participated in UNESCO workshops, were officially submitted through the Institute of Democracy and Human Rights to the Legislative Chamber of the Parliament to improve media legislation in Uzbekistan.
»
» Supported work to tackle gender inequality and
stigma associated with Gender Based Violence (GBV) in South Sudan, where Gender Based Violence is one of the most pervasive and devastating realities for thousands of women and girls. This included support through small scale activity in Gbudue State which builds on previous programme work in South Sudan. This work contributes to increased awareness on the impacts of Gender based Violence and the responsibilities of community in their prevention.
»
» Supporting Wildlabs Tech Hub to develop sustainable
tech solutions to wildlife crime. Tech Hub is piloting the Open Data Institute's Data Trust model, a legal framework for conservationists and enforcement agencies to share data with developers. FCO investment in the Tech Hub has driven a new £1 million Tech for Good Challenge Prize for tech solutions that deliver social good, and a £1 million Digital Leadership Fund to improve charity leaders' digital skills.
## Chevening Scholarships Programme
The programme offers a life changing opportunity to study in the UK to people with talent and potential, often from some of the poorest parts of the world. Chevening supports longer term prosperity in the developing world by building capacity through education and access to opportunity, the benefits of which are then amplified when the scholar returns to their home country. Chevening supports the Sustainable Development Goal target to substantially expand globally the number of scholarships available to developing countries.
## Cross-Government Prosperity Fund
In calendar year 2018, the FCO spent £50m of ODA from the cross-government Prosperity Fund (PF) to advance National Security and UK aid objectives. More information on the PF's, objectives can be found on PF pages on gov.uk. FCO-led work in 2018 focused on developing programmes that encourage inclusive growth, such as infrastructure, low carbon energy, finance and the business environment, laying the groundwork for multiyear programmes. Examples of recent impact include:
»
» In Mexico, PF programmes supported the design
of its financial technology law, making it the first country in the world to have such comprehensive legislation. The law will help increase competition and drive financial inclusion in a country where only 37% of adults have a formal bank account, as well as help open up this huge market to international businesses, including UK companies.
»
» In the Philippines, the UK helped shape the
Philippines Ease of Doing Business Act of May 2018 to improve business efficiency and cut red tape. Improving the business environment is a key enabler for inclusive economic growth and can provide a significant positive impact on poverty and inequality but it can also benefit international and UK businesses by establishing a more streamlined, transparent and efficient business environment.
Further illustrative examples will be published in the Prosperity Fund Annual Report for 2018-19.
## Cross-Government Conflict, Stability And Security Fund (Cssf)
In calendar year 2018 the FCO spent £411m of ODA from the cross-government CSSF to advance national security interests. More information of the CSSF's objectives can be found on CSSF pages on gov.uk. The CSSF funds development and security activity to support countries, which are at risk of conflict or instability. It combines multi-year activity with crisis response. Programmes can fund activity using both ODA and non- ODA funding streams, this innovative funding mechanism, combined with working off the FCO platform allows the CSSF to have a broader thematic and geographic reach than departments could achieve on their own. Programmes work to make countries, where the UK has key interests, more secure from threats such as terrorism, corruption, serious organised crime and illegal migration and trafficking. They also work to build peace and help create the conditions that maintain peace, such as supporting good governance and effective security and justice.
## Fco Resource Department Expenditure Limit Funding In Real Terms
Figures show RDEL in real terms (2019-20 prices), using GDP deflators at April 2019. This chart shows Parliamentary Funding at the start of the year, not end-year outturn. Therefore, it excludes budget adjustments made in the Supplementary Estimate for International Subscriptions, the Consular Premium, and the FCO's foreign currency mechanism and differential inflation agreement. It also excludes FCO's income from other sources. Funding for UKTI has been removed from the series (£75.7m a year from 2008-09 to 2010-11; £114m from 2011-12 to 2013-14). The CSSF and Prosperity Fund category also includes funding in 2018-19 for the Gulf Strategy Integrated Activity Fund. The 2019-20 increase is attributable to an £130m increase for the Prosperity Fund and £50m increase for CSSF.
Among other achievements in 2018, CSSF Funding:
»
» Helped ensure continuity in the implementation
of the Colombia peace process through a change of Government. In particular, kick-starting development programmes in conflict-affected areas and economic projects for ex-combatants.
»
» Supported projects aimed at involving women in
peace-building processes, in getting women engaged in politics at both the local and national levels, and funded work helping young and/or marginalised communities gain access to employment or education in multiple countries in the Middle East and North Africa.
»
» Supported efforts to clear over 253 834m2 of land from
landmines and unexploded ordance in Ukraine leading to a reduction in casualties, enabling humanitarian access to land and facilitating the repair of damaged infrastructure.
»
» Helped build and support youth groups in Beirut and
Tripoli, working to reconcile at risk and marginalised young men and women, supporting them to reintegrate and improve their communities.
Further illustrative case studies will be published in the CSSF annual report for 2018-19.
## International Subscriptions, Arm'S Length Bodies, And Frontline Diplomatic Activity
International Subscriptions to Multilateral Organisations: The FCO provides core contributions to ODA-eligible international organisations, including the United Nations, the Organisation for Security and Co-operation in Europe (OSCE) and the Office of the United Nations High Commissioner for Human Rights (UN OHCHR).
The proportion of the contribution that we make to each institutions' core budget is set by the DAC.
British Council: Our grant-in-aid is a critical source of funding for the Council to deliver its cultural relations programmes in developing countries. The grant-in-aid supports stability and development around the world providing positive pathways for young people in fragile and conflict-affected states, improving their resilience, skills and life chances. As well as having direct developmental benefits in ODA countries, these programmes also support the UK's long term prosperity, security and influence globally, where the Council plays a leading role building the positive ties that are important for UK influence around the world.
BBC World Service: The FCO is also responsible for grants to the BBC World Service. The World Service provides accurate, impartial and independent news and analysis to some of the most remote places in the world. It is well established, both among OECD members and the wider development community, that addressing freedom of the press is essential to the success of development efforts in the long term. The World Service spends its grant on programmes in several ODA recipient countries. Our grant is being used to deliver 12 new language services, in addition to enhancing existing services around the world.
Frontline Diplomatic Activity: The FCO reports the running costs it incurs in delivering development assistance as ODA. These are included as part of its Frontline Diplomatic Activity (FDA) costs, where these are not disclosed elsewhere. The three main elements of the FCO's FDA are: staffing, estate maintenance costs, and other associated operational spend. Since the FCO
provides the buildings, security and IT systems for all government departments delivering ODA in its diplomatic network, FDA also captures a proportion of these estates costs as ODA. This treatment is compliant with the OECD
Development Assistance Committee's (DAC) directives on ODA, which allow for the scoring of diplomatic staff time and administrative costs for officials delivering ODA.
## Non-Departmental Public Bodies (Ndpbs)
The FCO has three NDPBs within its accounting boundary and one Executive Agency. The Executive Agency is Wilton Park. The three NDPBs are The Westminster Foundation for Democracy, Great Britain China Centre, and Marshall Aid Commemoration Commission.
## Wilton Park Www.Wiltonpark.Org.Uk
Wilton Park provides a global forum for strategic discussions. Wilton Park is governed by a Framework Document, which is being updated in 2019 following the last review. The FCO Director of Communications is the Senior Departmental Officer for the FCO relationship, and sits on the Wilton Park Board, which aims to meets five times a year. Communications Directorate provide annual core funding to Wilton Park; other Directorates within the FCO may provide additional discretionary funding to support specific Wilton Park conferences. The Foreign Secretary appoints the Non-Executive Chair of the Wilton Park Board, for a period of five years (extendable) and the Permanent Under-Secretary appoints the Chief Executive for a fixed period of three years, with a possibility of extension under Civil Service appointment terms.
## The Westminster Foundation For Democracy (Wfd) Www.Wfd.Org.Uk
WFD supports democratic practices in developing democracies. WFD is supported by both Grant-in-Aid from the FCO and via a grant from DFID. The relationship between the WFD and the FCO is governed by a Framework Document. The Framework Document provides for FCO to exercise meaningful oversight of WFD's strategy and performance, pay arrangements and/or major financial transactions The Foreign Secretary is accountable to Parliament for the activities of the WFD and has responsibility for approving their strategic objectives, the appointment of the CEO, the Board, and laying of the WFD accounts before Parliament. Human Rights and Democracy Department is the sponsoring team in the FCO and is the principal source of advice to the Foreign Secretary and the PUS on these matters. Officials report regularly to Ministers on WFD-related issues, in particular on funding, corporate planning and review-related issues.
## Great Britain China Centre (Gbcc) Www.Gbcc.Org.Uk
GBCC is an FCO-sponsored NDPB to which the FCO provides annual Grant-in-Aid. The Foreign Secretary signs off appointments of the Chair. China Department is the sponsoring team for FCO; the head of the FCO's China Department sits on the Board. GBCC's mission is to promote mutual trust and understanding between the UK and China by building long-term connections between decisionmakers. GBCC also works to promote the rule of law, good governance and sustainable development. GBCC has one subsidiary that it consolidates (The UK China Forum).
## Marshall Aid Commemoration Commission (Macc) Www.Marshallscholarship.Org
MACC was established under the 1953 Marshall Aid Commemoration Commission Act, awarding up to 40 postgraduate scholarships in the UK each year for students from the USA with the potential to excel in their chosen fields of study and future careers. The FCO provides MACC with Grant-in-Aid which is agreed as part of the overall annual allocation of FCO programme funding agreed by Ministers. The Head of the FCO Public Diplomacy Team within Communications Directorate represents the FCO at MACC Board meetings. The Foreign Secretary signs off the MACC annual report, and all appointments to the MACC Board, including the Chair.
## Names Of Public Sector Bodies Outside The Boundary For Which The Department Has Lead
The FCO takes the lead for three public sector bodies which are outside the accounting boundary are:
## British Council
The British Council is a charity, public corporation and NDPB governed by a Royal Charter which sets its Charitable Objects. It is the UK's international organisation for cultural relations and educational opportunities, building lasting relationships between the UK and other countries. The FCO provides the British Council with Grant-in-Aid, but the majority of the British Council's income and expenditure stems from its own earned income. The FCO's Director General Global Britain is a member of the British Council Board of Trustees. FCO Ministers and senior officials meet the British Council Chair and Chief Executive regularly. The British Council must seek the agreement of the FCO if it proposes opening or closing any of its representation overseas. A Tailored Review was published in March 2019, this included a recommendation to include a high level British Council objective in the FCO's single departmental plan, as well as recommending that British Council and FCO should develop a clear set of expectations and standard operating procedures.
## Fco Services (Fcos)
FCOS is an agency of FCO, and has been a trading fund since April 2008. As a trading fund it generates its own income to fund its activities. It designs and builds highly secure government facilities, including diplomatic and military premises, servicing their security, property, digital and logistics needs anywhere in the world. This includes protective security, estates and construction, secure cloud technology, communications, secure logistics, diplomatic and ministerial vehicles, and translation and interpreting. Ultimate responsibility for FCOS as an organisation rests with the Foreign Secretary, who delegates responsibility to an FCO Minister. The FCO holds an investment in FCOS, comprised of 100% of its Public Dividend Capital of £4,981,000. As a trading fund FCOS is not included within the FCO departmental boundary.
## British Intergovernment Services Authority Ltd (Bisa), Kuwait Delivery Authority Ltd (Kda)
BISA and KDA were set up in order to support British foreign policy objectives through overseeing delivery of the UK Government's obligations under Government to Government agreements. Both are companies limited by shares, incorporated on 27 August 2013 and 17 October 2013 respectively. The Foreign Secretary owns the entire issued share capital of BISA, which in turn owns the entire issued share capital of KDA. Neither company traded in the period from their formation to the date of signature of these accounts; therefore both are entitled to exemption from audit under section 480 of the Companies Act 2006 relating to dormant companies.
## Consular Fees And Charges
Consular Directorate receives income from the Consular premium, fees charged for specific services provided to British nationals abroad (mainly the issue of Emergency Travel Documents), and legalisation services provided in the UK. This income is used to fund consular services provided by our consular officers and supported by our wider network overseas. In line with HM Treasury guidelines, the fees charged are reviewed annually to ensure the cost of providing our services is fully recovered. For more details see the Parliamentary Accountability Disclosures.
## Publicity And Advertising
The FCO fulfils the Cabinet Office requirement to operate a Professional Assurance process for marketing and communication spend, ensuring that our activity is value for money and reflects good practice, as set out by the Government Communication Service. Spending proposals below £100,000 require the approval of the FCO Director of Communication. Spending proposals above £100,000 require further approval from our Minister for Communication, as well as the Minister for Communication in the Cabinet Office. Only one proposal was above this threshold this year, for a total of £500,000, for consular communication. Communication Directorate approved an additional 24 assurance requests which came to a total of £205,602.83.
## Incidents Involving The Loss/ Compromise Of Personal Data
Personal data incidents 2018-19 for the FCO have changed compared to previous years due to the change in legislation of the General Data Protection Regulation which changed in May 2018. The below table shows the figures for 2018-19.
| Cat | Nature of Incident | Total |
|-------------------------------------|----------------------|--------------------------------------|
| A | Human Error | 19 |
| 11 | B | Deliberate Contravention of DP regs— |
| staff emailing to personal accounts | | |
| Cat | Nature of Incident | Total |
|---------------------------------------|----------------------|--------------------------------------|
| 1 | C | Deliberate Contravention of DP regs— |
| Unauthorised disposal of IT equipment | | |
| D | Technical issue. | 3 |
| 1 | E | Personal information shared |
| without consent | | |
The figures do not include incidents involving visa or passport section information, as these are handled and reported on by UK Visas and Immigration and HM Passport Office respectively. To note the descriptors used have also changed from previous years. The number of data breaches has also increased, again this is due to the change in legislation.
Four incidents were considered serious enough to be reported to the Information Commissioner's Office. Steps have been taken to improve staff awareness of the issues.
## Safeguarding Against Sexual Exploitation And Abuse (Sea)
Following the revelations about SEA in the aid sector the FCO, along with HMG partners, has redoubled its efforts to tackle this issue to ensure that recipients of UK support, and those working for our delivery and multilateral partners, are protected from harm. DFID hosted a summit in London in October 2018 to take action on this issue at which a donor commitments statement was signed by HMG and other key donors. A Whitehall coordination group has been working to ensure we take a consistent approach, while at
## Headline Performance Against Greening Government Commitment (Ggc) Targets
UK Performance Target (Baseline 2009-10)*
*Unless otherwise stated
2020 Target*
*Unless otherwise stated
Cost
Performance
Greenhouse Gases
7,753 tCO2e 60% reduction
10,386 tCO2e 46% reduction
Domestic Flights
857 flights 17% Increase over baseline
515 flights 30% reduction
Office Water
5.84 m3/FTE
6m3/FTE (Good Practice)
Office water expenditure: £59,484
Achieved
Total Waste
571 tonnes 56% Reduction
493 tonnes 62% Reduction
Recycling Rate
60% recycled
75% recycled
Behind target
Paper Consumption
12,787 reams A4e 67% Reduction
19,464 reams A4e 50% Reduction
Avoidable Single-Use Plastic
97% reduction within ten months to December. 98% achieved by March 2019.
2018 Target: 100% of 1.56 million item baseline for UK estate removed.
the same time respecting the different operating models used to deliver key policy outcomes. In line with that approach, the FCO has:
»
» reviewed the contractual terms and conditions
we use for the Conflict Stability and Security Fund
(CSSF) and Prosperity Fund (PF) procurement frameworks as well as FCO Accountable Grants and Memoranda of Understanding to include standard language on the prevention of sexual exploitation, abuse and harassment, and require compliance with the Supplier Code of Conduct;
»
» written to all Posts across our overseas network
asking Heads of Mission to contact implementing agencies to clearly explain our position on safeguarding and the steps we expect them to take;
»
» updated our guidance on due diligence
in line with DFID's approach; and
»
» appointed our Chief Operating Officer
as the senior board level champion to advance SEA issues across the FCO.
We have also been leading the effort at the UN and in NATO to ensure that SEA remains in the spotlight. Over the past three years a CSSF-funded project has provided support to the work of the UN Secretary-General's Victims Rights' Advocate to tackle sexual exploitation and abuse and improve accountability. We have also lobbied for change at the highest levels in the UN and have supported the development of NATO's SEA policy. We will continue to coordinate our response and work closely with DFID and other departments on this agenda. Internally, our Human Resources Directorate has been working closely with Civil Service HR and other
| Achieved 2020 target | Estate energy expenditure: |
|-------------------------|----------------------------------------|
| £4,004,577 | |
| Behind target | Vehicle, domestic train and air travel |
| expenditure: £720,055 | |
| Behind Target | Waste disposal expenditure: |
| £152,812 | |
| Achieved | |
| Close to target | |
departments to ensure we maintain the same standards that we ask of others. Activity in this area is focused on five areas: using FCO values to drive culture change; prevention; improving reporting; support to victims and evaluating and building the evidence base.
## Payment Of Suppliers
The FCO was the top performing department in Whitehall for prompt payment, with 97.9% of UK supplier invoices paid within 5 working days, exceeding the government target of 80%.
## Commercial
Commercial continued to implement the Commercial Strategy and the development of commercial and contract management capacity and capability in the FCO. Specific focus has been on Category Management, which will drive increased benefit for the FCO by helping to shape global requirements to deliver efficiencies across our platform. Commercial have led the introduction of Contract management across the organisation and all Contract Managers in the FCO are undergoing appropriate training via the central Cabinet Office training programme. We continue to invest in transforming how FCO Commercial operates, revisiting policy and procedures and commercial systems to ensure the FCO has the tools to deliver value for money. The focus is to meet the requirements of the Government's Commercial Operating Standards. We continue to work closely with our One HMG Platform partners to strengthen collaboration and ensure alignment of service via the International Commercial Board (ICB). The regional procurement hubs continue to support posts in the procurement and delivery of multiple local projects valued between £25k—£100k. The Hub organisation structure was reviewed resulting in increased resource to ensure adequate capacity. Category Management was introduced to the regional hubs to ensure local involvement in creating global category strategies and support opportunities identification
## Corporate Sponsorship
Please see Annex A for Sponsorship table 2018-19.
## Fco Sustainability
Because of the Government's commitment to sustainable development and the FCO's specific role in promoting global action on climate change, the FCO attaches importance to leading by example through reducing the environmental impact of its own operations and procurement. Lower environmental impacts also generally mean lower costs, allowing resources to be redeployed to our front line diplomacy efforts.
In line with the FCO's Diplomacy 20:20 programme, FCO Sustainability is working to deliver a world-class platform by delivering a cost effective, environmentally efficient department. At the beginning of 2018, the Foreign Secretary committed to removing avoidable single-use plastics from across the UK estate by the end of 2018 and globally by the end of 2020, and the FCO is pleased to report strong performance against these stretching #BeyondPlastic targets. For full details of the FCO's sustainability performance and activities please read the FCO's Sustainability Report 2018-19, available on the gov.uk web-site. All government departments have set Greening Government Commitment (GGC) targets to 2019-20 compared to a 2009-10 baseline, for their UK operations. The FCO's performance against those targets and the Foreign Secretary's plastic target is set out in the table and graph below. The FCO is pleased to have achieved the 2020 carbon emission reduction target early. The reduction was driven by a significant reduction in the grid electricity carbon factor whilst electricity consumption continued to fall overall. There has been an increase in carbon emissions associated with heating; for operational reasons there has been a switch from biodiesel to low-sulphur fuel oil. There has also been an increase since last year in carbon emissions associated with domestic flights and fugitive emissions, these have a marginal impact on our total carbon emissions.
## Headline Performance
Energy
The FCO's overall greenhouse gas emissions have fallen by 21% this year, which makes a total 60% reduction since the baseline year of 2009-10. Carbon emissions per staff member now stands at 1.37tCO2e per FTE, down by 0.5t since 2017-18.
Travel
The FCO's overall number of domestic flights have
increased by 17% this year over the baseline year. Following an increase in staff numbers over 2018-19 and increased cross-departmental working, we've seen an increase in domestic flights. Domestic flights account for 1.1% of our UK official air travel.
Waste
The FCO's overall waste tonnages have increased by 30 tonnes this year, which makes a total 56% reduction since the baseline year of 2009-10. Waste per staff member remains at 101kg per FTE; waste disposal has increased slightly this year as have staff numbers, resulting in a static waste per FTE2. This is in part due to the FCO's Tech Overhaul programme disposing of an increased amount of IT equipment at the beginning of the financial year. The FCO's overall water consumption has decreased by 2.5% this year, which makes a total 25% reduction since the baseline year of 2009-10.
Water Con sump tion
Efficiency per FTE has improved, reducing to 5.8m3/ FTE this year, as office water consumption continued to reduce at a time of increasing staff numbers in the office. The FCO UK has now achieved the target 'good practice' water consumption levels
## Headline Performance
Paper
The FCO's overall paper consumption has decreased by 30% this year, which makes a total 67% reduction since the baseline year of 2009-10.
The FCO consumed 2.3 reams of A4e
per FTE, significantly below the best practice level of 7 reams per FTE. The Tech Overhaul programme has provided staff with laptops and electronic note taking apps, along with pin-and-print printer technology, changing staff behaviours and driving reductions in paper use.
The full version of the FCO's 2018-19 Sustainability Report, is available on the gov.uk web-site. This report includes information on the FCO's sustainability strategy and purpose; priorities; materiality; benchmarking; stakeholders; biodiversity; risk and opportunities;
performance; environmental management system; impacts; the global picture; #BeyondPlastic; governance; supply chain; transparency; and GRI benchmarking.
## Major Contractual Arrangements Conflict Stability And Security Fund
The CSSF Framework was retendered in 2018. The Framework is an essential part of the delivery of the CSSF, offering an agile route to market while allowing requirements to be commercially competed in a compliant way. Suppliers on the new Framework demonstrated capacity and capability across twelve thematic areas and nine regions to meet the CSSF's new and growing policy requirements. The full range of activities include Counter terrorism, Migration and work in the Overseas Territories. The new framework has over 100 suppliers (the previous Framework had 74 suppliers) and now includes a larger number of SMEs and NGOs. New terms and conditions have been introduced to align with best practice across HMG including, for example, provisions on performance management, open book accounting and safeguarding.
## Prosperity Fund
The Prosperity Fund Framework has successfully awarded 27 contracts to date totalling just over £112 million, is close to awarding 12 more and has a further 27 in the pipeline. Many high value, diverse procurements spanning the globe have used the Framework and benefitted from the competition driven from the 39 suppliers across 9 thematic lots. A number of the Programmes contracted so far are in the Inception Phase, in anticipation of the Implementation Phase which will follow later this year. Following success in awarding through the Prosperity Fund Framework, the team is moving its focus towards Contract Management; this involves sharing expertise between continents and upskilling Programme Teams. The training will achieve strategic objectives across the disciplines whilst concurrently delivering value for taxpayer's money.
## Ict
Under the Atlas programme, which aims to replace the current Enterprise Resource Planning software for HR and Finance to a cloud-based solution, initial contracts have been put in place for an initial phase of work to determine requirements in terms of process design and prototyping. With regards to the ECHO2 programme for re-procuring the global wide area network solution, procurement activity has been put on hold whilst we reconsider the technical and commercial strategy.
## Estates And Security
We retendered and awarded a new contract to Interserve covering UK and Europe Facilities Management and awarded a contract for Washington Embassy design. We commenced the creation of category strategies for three main areas of spend: Estates (Design and Construction), Security (Guarding, Equipment and Other Services) and Facilities Management.
## Corporate Services
Language and Exams contract were retendered and new contract commenced on 1 April 2019. Two other significant contracts included Diplomatic Academy Trade Faculty and Legalisation Office Courier Service. We created and launched a new Payment Solutions category strategy identifying potential cost reduction and business improvement opportunities around the use of Corporate and Purchasing Cards. FCO Commercial is investigating further category areas with a view to creating further strategies in 2019-20.
## Lead Non-Executive Director: Introduction To Fco Annual Report And Accounts 2018–19
This is my third report as FCO Lead Non-Executive Director in a year in which the FCO's regular responsibilities of diplomatic, consular, prosperity and security work have been supplemented by the exceptional demands of supporting Brexit negotiations and planning for EU Exit.
As Chair of the Audit and Risk Assurance Committee Warren Tucker has continued his oversight and engagement with the FCO Finance Team to continue to improve reporting of financial performance, and to support relationships with HMT, as well as the continuing need to strengthen working relationships across One HMG platform partners.
Having successfully secured additional funding for EU Exit and Global Britain requirements, the FCO was swift to set up programmes for the rapid and effective distribution of those funds and to ensure that resources were being redeployed for maximum impact, not least in reinforcing the UK's representation in individual European countries, and in opening a number of new posts.
Warren and the entire FCO Non- Executive Director team have been actively involved in strategic planning, particularly in encouraging the FCO leadership to capitalise on the opportunities provided by the Cabinet Office and HMT's new strategic guidelines in respect of the forthcoming Spending Review.
Last year Sir Ed Lister supported the sale of the Bangkok Embassy in order to raise additional funds for the ongoing maintenance and development of our overseas posts; this year he has focused on preparation and approval of the business case for the new Beijing Embassy and the refurbishment of our Embassy in Washington.
We have also begun actively to build bilateral relationships and working groups with fellow Non-Executive Directors in other government departments with international responsibilities, applying the Fusion doctrine with a view to supporting improved crossdepartmental collaboration and sharing of resources across HMG.
Following the appointment of the new Foreign Secretary last July, the FCO has a fresh focus on the potential for soft power as a key and increasingly important tool to support the UK's influence around the world in a post- Brexit environment. The development of a new FCO soft power strategy was complemented by the Tailored Review of the British Council which I chaired, and which has come up with a number of recommendations, not least to strengthen the FCO's oversight of the Council and to help suggest ways of increasing its reach and efficiency.
This has been a complex and challenging year for the FCO, and the demands of the coming months will continue to be intense. However we believe that the FCO leadership team has been thoughtful and clear-sighted in allocating resources and putting programmes in place to meet those challenges.
As the most recent appointee to the FCO Non-Executive Director team Gaenor Bagley was able very quickly to earn the respect of FCO colleagues for her clear and active contributions to Management and Senior Appointment Boards at a time when the FCO has been accelerating, expanding and diversifying its recruitment policies.
## Statement Of Accounting Officer'S Responsibilities
Under the Government Resources and Accounts Act 2000 (the GRAA), HM Treasury has directed the Foreign and Commonwealth Office (FCO) to prepare, for each financial year, consolidated resource accounts detailing the resources acquired, held or disposed of, and the use of resources, during the year by the Department (inclusive of its executive agency) and its sponsored Non- Departmental Public Bodies designated by order made under the GRAA by Statutory Instrument 2018 no 1335 (together known as the 'departmental group', consisting of the Department and sponsored bodies listed at note 18 to the accounts). The accounts are prepared on an accruals basis and must give a true and fair view of the state of affairs of the Department and the departmental group as well as the net resource outturn, application of resources, changes in taxpayers' equity and cash flow of the departmental group for the financial year.
In preparing the accounts, the Accounting Officer of the Department is required to comply with the requirements of the Government Financial Reporting Manual and in particular to:
»
» observe the Accounts Direction issued by HM
Treasury, including the relevant accounting and disclosure requirements, and apply suitable accounting policies on a consistent basis;
»
» ensure that the Department has in place
appropriate and reliable systems and procedures to carry out the consolidation process;
»
» make judgements and estimates on a reasonable basis,
including those judgements involved in consolidating the accounting information provided by nondepartmental [and other arm's length] public bodies;
»
» state whether applicable accounting standards
as set out in the Government Financial Reporting Manual have been followed, and disclose and explain any material departures in the accounts;
»
» prepare the accounts on a going concern basis;
»
» that the annual report and accounts as a whole is
fair, balanced and understandable and that he takes personal responsibility for the annual report and accounts and the judgments required for determining that it is fair, balanced and understandable; and,
»
» confirm that, as far as he is aware, there is no relevant
audit information of which the entity's auditors are unaware, and the he has taken all the steps that he ought to have taken to make himself aware of any relevant audit information and to establish that the entity's auditors are aware of that information.
HM Treasury has appointed the Permanent Head (Permanent Under-Secretary, PUS) of the Department as Accounting Officer of the FCO. The Accounting Officer of the Department has appointed the Chief Executives or Chairperson of its sponsored Non- Departmental Public Bodies as Accounting Officers of those bodies. The Accounting Officer of the Department is responsible for ensuring that appropriate systems and controls are in place to ensure that any grants that the Department makes to its sponsored bodies are applied for the purposes intended and that such expenditure and the other income and expenditure of the sponsored bodies are properly accounted for, for the purposes of consolidation within the resource accounts. Under their terms of appointment, the Accounting Officers of the sponsored bodies are accountable for the use, including the regularity and propriety, of the grants received and the other income and expenditure of the sponsored bodies. The responsibilities of an Accounting Officer, including responsibility for the propriety and regularity of the public finances for which the Accounting Officer is answerable, for keeping proper records and for safeguarding the assets of the Department or Non-Departmental Public Bodies for which the Accounting Officer is responsible, are set out in Managing Public Money published by HM Treasury.
78 Foreign & Commonwealth Office Annual Report and Accounts 2017–2018 78 Foreign & Commonwealth Office Annual Report and Accounts 2018–2019
## Corporate Governance Report
The FCO governance structure during 2018-19 has been as follows:
## Sub-Committees Boards
The **Supervisory Board** forms the collective strategic leadership of the FCO, bringing together Ministers, senior officials and non-executive board members. It advises on strategic and high level operational issues affecting the FCO. It is chaired by the Foreign Secretary. The Supervisory Board met twice during the financial year.
The **Management Board**, chaired by the Permanent Under-Secretary (PUS), provides the FCO's top-level leadership and includes two non-executive directors. The Management Board met on ten occasions during the financial year. This year saw a number of membership changes. Gaenor Bagley replaced Julia Bond as Non- Executive Director in May 2018, after Julia's departure. Richard Moore took over from Karen Pierce as Political Director from April 2018. Jill Gallard was replaced in October 2018 by Jonathan Sinclair as Director Human Resources. Menna Rawlings joined the Board as Director- General Global & Economic Issues in February 2019 replacing Deborah Bronnert. Alison Blake also departed in February 2019 and was replaced by Jill Morris, HM
Ambassador Rome. Alastair McPhail, Simon Wren and Hugo Shorter consecutively attended the Board as Acting Director Communications while Helen Bower-Easton was on maternity leave between March 2018 and January 2019.
Helen continued to attend the Board on an ad-hoc basis.
## Sub-Committees
The Management Board had oversight over three sub-committees:
»
» Executive members of the Management Board,
plus Richard Salt (FCO Chief Economist) and Lindsay Appleby (DG EU Exit) meet weekly as the Executive Committee (ExCo) which has delegated authority to make decisions on certain issues. This committee also monitors the implementation of agreed policies and agrees proposals not requiring Management Board attention. Twice per year, ExCo meets as the Health and Safety Committee, inviting a relevant broader membership. In 2018–2019 the Policy Programme Portfolio Board met three times. The Board aims to meet three times a year to oversee the FCO's portfolio of programme investments. It provides strategic direction on the policy programme portfolio overall. It also considers the largest (£10m+) and highest risk individual business cases. On occasions, papers and decisions are taken out of committee.
»
» The **Audit and Risk Assurance Committee** (ARAC)
supports the Management Board and PUS as Accounting Officer by advising on the effectiveness of arrangements for risk management and internal control. It reviews the comprehensiveness, reliability and integrity of assurances provided to the Management Board and PUS; challenges the executive, and promotes best practice across the FCO. It has no executive responsibilities. The Management Board delegates responsibility to ARAC to have oversight of the audit process. ARAC reviews the NAO's proposed audit approaches and handles coordination of the audit effort. ARAC oversees the work of Internal Audit Department, reviews and approves the Internal Audit Department audit plan, and meets with internal auditors and management on a periodic basis to discuss matters of concern that may arise. The Committee is chaired by non-executive board member Warren Tucker and comprises two further non-executive members. The Chief Operating Officer, NAO Director, Head of Internal Audit, Finance Director and other Directors attend as required. The Committee meets five times a year, with one meeting devoted to the review and external audit of the FCO accounts. A regular review of the Committee's effectiveness is undertaken, using NAO guidance.
## » » The Investment, Infrastructure And Operations
Committee provides oversight and assurance of the FCO's estates, IT, project, programme and other investments. It is chaired by the Chief Operating Officer and has delegated authority from the Management Board to take investment decisions between £5million and £15million. The financial thresholds for Programmes and IT were raised from £2million to £5million in January 2019 to align with Estates and Commercial cases. If decisions are required above the £15m threshold, the Committee makes a recommendation to the Management Board. The Committee ensures decisions offer value for money and meet the business needs of the FCO and One HMG partners overseas. The Committee provides the same level of oversight on FCO programme spending with scrutiny focused on capacity, delivery model, financial requirements and fiduciary risk.
## Agendas
The Supervisory Board and the Management Board are dutybound to consider certain issues on a regular basis. Both review management information through key performance reports. This includes finance, risk, human resources, project and programme funds, legal challenges and major projects. In-year financial control and future year resource management are highly important. The Management Board assesses the financial risk to the Department for the financial year on a monthly basis, allowing the Board to take any action required, including reprioritisation. The Management Board and Supervisory Board consider a Top Risk Register, which provides information about our most serious strategic risks; provides assurance that risk is being managed appropriately; and enables the Management Board to consider organisational capacity to respond. The Management Board also reviews a 'Bubbling Under' Risk Register. The focus of the Supervisory Board in 2018-19 has been on Global Britain, corporate service provision, the FCO estate, and the FCO's preparations on EU Exit for both Deal and No Deal outcomes. In particular, the Board has looked at resourcing our network to deliver EU Exit and achieve HMG's Global Britain objectives. One area of focus for the Management Board during the financial year has been the Diplomacy 20:20 programme. The programme was set up in 2016 to enable the FCO to become more efficient, effective and able to meet the demands of the 21st century. The goal of Diplomacy 20:20 is to help the FCO evolve into an organisation that is more expert and more agile, supported by a world-class platform. The aim is to achieve these three objectives through greater expertise at home and overseas, accessing the FCO's deep local knowledge and global reach. As a more agile organisation, the FCO will be better able to deploy the right staff and target resources on the areas of work that matter most, while the world class platform will provide the infrastructure for this to happen. November 2018 marked the mid-point of the four-year programme and an opportunity for the Board to review achievements so far under each pillar (see Figure 1). Priorities for Diplomacy 20:20 in 2019 include accelerating work on the Corporate Capability Programme, which will improve how the FCO provides corporate services globally, and developing Atlas, the FCO's future Enterprise Reporting System (ERP). The newly-formed Global Network Uplift Programme Board will oversee the expansion of our overseas network in three newly-funded priority areas: EU Exit, Global Britain and a new approach to Africa. A key issue for the Board during 2018-19 has been the EU Exit negotiations. The FCO contributes to the wider HMG
negotiations but also leads on specific issues, including Gibraltar, Overseas Territories, UK Nationals, Consular, Third Country Agreements, Sanctions, and Common Foreign and Security Policy. The FCO jointly leads on Common Security and Defence Policy with the MOD and with DFID on external actions and development spend. The Board has monitored the FCO's work, particularly ensuring priority resource allocation. Last year, the Executive Committee set up an EU Exit Task Force with a structure of assigned Senior Responsible Officers. The 21 December Management Board took stock of progress, and EU Exit was discussed at the Management Board Strategy day on 15 March. Weekly EU Exit discussions at the Executive Committee started on 12 March. Other items discussed by the Management Board regularly have included a monthly dashboard reporting on progress on delivering the major IT programme, Tech Overhaul. The Management Board also reviews the monthly estates and security dashboard, impact monitoring and the FCO's response to the annual staff survey. The Management Board reviewed progress following the 2017 and 2018 Staff Survey results, particularly on reported experiences of Bullying, Harassment and Discrimination and our progress
## Expertise Agility
»
» Central Hubs providing
»
» Reprioritisation of resource, and
allocation of new funding to support new foreign priorities: Global Britain, EU Exit, Africa.
higher quality briefing for and freeing up departments for front line policy delivery.
»
» Diplomatic Academy is an
»
» Up to 400 new positions
filled through more agile HR processes.
established brand across HMG; more staff obtaining accredited C&G qualifications.
»
» Pay flexibility initiative approved
»
» Skills embedded in
by HMT, moved FCO pay structure closer to other international departments.
appointments and performance management; promotion now based on expertise demonstrated in job.
on Diversity and Inclusion. The Board agreed that while the previous action plans had delivered improvement, we need to go further to meet our high aspirations in these important areas. They requested that new targets and measures be adopted to encourage improvement. Further data on the equality impact of the FCO's employment practices and activities can be found at gov.uk/FCO. The Management Board is required to approve and monitor major projects, as defined by the Infrastructure and Projects Authority (IPA). It takes investment decisions at key stages in the IPA process and monitors progress. In 2018-19, the Board approved the prioritisation of FCO estate investments in 2018 and beyond as part of the Global Asset Management Plan and approved the Outline Business Case for a new Embassy and Residence in Beijing. The Board signed off the UK Contribution to the Afghan National Army Trust Fund as part of the CSSF in Afghanistan. The Board also agreed the plans and contract for the FCO's new Atlas system, and was kept regularly updated and made decisions on major estates projects and the FCO's Tech Overhaul and other major IT programmes, including the ECHO 2 connectivity programme. The Board continued its focus on maintaining and improving the UK's international platform and identified the need for strategic investment in order that it should be fit for purpose and that the risk and additional maintenance cost could be avoided.
## Platform
»
» Modern IT, rolled out in
the UK and overseas, is changing the way we work and increasing productivity.
»
» Corporate services future
operating model produced.
»
» Delivering the biggest expansion
of the diplomatic network in a generation, including 14 new or upgraded Posts.
»
» Bangkok estate sale released
funding for major update of overseas estate.
To increase transparency, the Management Board invites observers to its meetings. During the year, we invited 10 London based staff and two local staff to each meeting. Observers are also invited to attend most sub-committee meetings during the month of the Management Board.
The 2018-19 **Board Effectiveness Evaluation**, covering the reporting period 1 April 2018 to 31 March 2019, was carried out in April 2019. The Supervisory Board met twice during 2018-19, chaired once by then Secretary of State for Foreign Affairs The Rt Honourable Boris Johnson MP and once by the current Secretary of State The Rt Honourable Jeremy Hunt MP. This year's effectiveness evaluation was again conducted with reference to the Management Board, which is chaired by the Permanent Under- Secretary and met ten times during the review period.
Desk research was carried out to assess attendance, agendas, information flows between the Board and its sub-committees, the format of management information and the effectiveness of minutes and action logs. Findings were broadly positive, but the maintenance of the action logs throughout the year had slipped: these were last updated and reviewed by the Board in February 2019, and will be included in Board papers at every other Board meeting through 2019-20. The Board raised no issues with the quality of data submitted to it. The 2017-18 effectiveness evaluation had found that focused agenda-setting had improved since the previous evaluation but needed further attention. This year the Board Secretariat reviewed the time allocated to all agenda items in 2018-19 against the FCO's strategic objectives and priority outcomes. The Management Board had dedicated most time to reviewing the FCO's financial position, the Diplomacy 20:20 programme, and high-value projects especially in technology and estates. This is in line with the Board's Terms of Reference, which emphasise the Board's role in ensuring that resources are effectively allocated to deliver the policy priorities set by Ministers, and taking strategic decisions on the FCO's corporate agenda. Due to the pace of developments, EU Exit was discussed more often at the Executive Committee, but this informed Board discussions in particular on resource allocation. From January 2019 the Board moved to a new schedule of meetings: rather than ten three-hour meetings each year, the Board would meet six times in this format and twice for longer strategy away-days, the first of which took place in March 2019. These changes were introduced to create space for deeper and longer discussions on key strategic issues. The effectiveness of the changes will be assessed in the 2019-20 effectiveness evaluation, which will draw on feedback from an external observer and outcomes from a facilitated Board discussion.
## Non-Executive Board Members
The FCO continue to benefit from the advice of nonexecutive board members. Their scrutiny and challenge has contributed to improved management and oversight of discretionary programmes and major projects. They have brought challenge and external expertise to a range of our business activities. Miranda Curtis is the lead nonexecutive and works alongside our three non-executives Gaenor Bagley, Warren Tucker and Sir Edward Lister. The Audit and Risk Assurance Committee also benefits from the advice of two non-executive committee members, Simon O'Regan and Ann Cormack.
## Wider Engagement The Sounding Board
The Sounding Board first met in December 2016. It acts as a consultative body and is made up of staff from across the organisation who represent their grades or a particular staff association or network. It is chaired by a Management Board member who provides the link between the Sounding Board and the Management Board. Meetings take place once a month. Staff provide feedback to the Board on staff related issues coming to the Management Board or Executive Committee.
## The Senior Leadership Forum (Slf)
The SLF comprises the FCO's senior global leadership, bringing together the PUS, our Directors-General and our most senior heads of mission. The group meets in London two or three times a year to develop and inform corporate and policy initiatives.
## Cross-Whitehall Collaboration Through The One Hmg Network Board
The One HMG Network Board is chaired by the FCO's Chief Operating Officer and attended by equivalents in the largest government departments represented overseas, as well as HMT and the Cabinet Office. It serves as a forum to coordinate HMG activity overseas so that we are operating as effectively and efficiently as possible. The Network Board has been essential in helping set the direction for how the FCO should be structured overseas and how together with other HMG partners we can better join up.
## Ministerial Directions
There have been no Ministerial directions during the 2018-19 period.
## Raising Concerns
The FCO is committed to ensuring a high standard of conduct in all that it does, including the effective use of taxpayers' money and mitigating the risk of fraud and error. An effective policy for raising concerns is one of the key ways of identifying fraud and error. Staff can raise concerns about perceived wrongdoing through their line management chain or via an independent Nominated Officer who can provide a confidential source of advice on matters where the Civil Service Code may have been breached. Where concerns relate to financial management or fraud, we maintain a confidential whistleblowing hotline (phone/email/mail) accessible 24 hours a day, 7 days a week, 365 days a year. All reports under the raising concerns policy are taken seriously and investigated. Identities of those raising a concern remain confidential and senior management and the Audit and Risk Assurance Committee take all concerns raised very seriously, ensuring full and adequate consideration and resolution. Heads of Mission and Department are required to ensure that their teams are aware of procedures and encourage them to report a concern. Our Internal Audit team also review both the raising concerns procedures, and awareness of the procedures. During 2018-19, one concern was raised with a nominated officer. However, this was an anonymous report and because of the nature of the complaint and it being anonymous, it was not investigated. The Department's Anti-Fraud and Corruption Unit received 21 reported concerns outside of normal line management reporting. In 2019-20, we will continue to ensure that staff are aware of the procedures, have confidence in their use and that all reports are investigated. At the request of ARAC there is a review of whistleblowing procedures underway.
## Fco Compliance With The Corporate Governance In Central Government Departments: Code Of Good Practice 2017
The FCO has sound governance arrangements in place and is compliant with the Code of Good Practice in all but one aspect of the Board composition principles. The FCO has not formed a Nominations and Governance Committee. We continue to believe that the functions of this committee, as specified in the Code, are fulfilled by the Honours Committee, Senior Appointments Board and the Senior Pay Committee. The presence of Gaenor Bagley, non-executive member of our Supervisory and Management Boards, creates a reporting line to the Boards and ensures robust external challenge. The Senior Pay Committee is chaired by the PUS and, for setting the salaries of our most senior staff, consists of additional external members adding further challenges to the process of determining salaries and reward arrangements.
## Executive Agencies And Non-Departmental Public Bodies
The FCO is responsible for one Executive Agency, Wilton Park, and four Non-Departmental Public Bodies: the Marshall Aid Commemoration Commission (MACC), the Great Britain China Centre (GBCC), the Westminster Foundation for Democracy (WFD), and the British Council (which is also a Public Corporation and registered charity). The PUS is the Principle Accounting Officer for the five organisations, which each have a nominated Accounting Officer at Chair or Chief Executive level. Each has its own governance and objectives, which the FCO believes is the most effective way of achieving their respective outcomes. Each produces an Annual Report in Parliament every year.
All five are covered by Cabinet Office rules on Arm's Length Bodies and are subject to periodic Cabinet Office reviews of their form, function and effectiveness. All Public Appointments to these bodies are subject to Cabinet Office Public Appointment rules. The FCO Management Board or nominated Sub-Committee conducts an annual review of each body, and all five have a Senior Responsible Officer (SRO) at Official level in the FCO. The SRO for MACC, Wilton Park and the British Council is the Director of Communication, for GBCC is the Head of the China Department and for WFD is the Deputy Director for Human Rights and Democracy.
## Fco Risk Management Framework
The FCO faces a range of risks because of its global footprint and activities. The complexity of the organisation is inherently challenging, and the world is increasingly complex. To mitigate these risks the FCO has multiple checks and balances. The FCO manages risk at all levels of the organisation. Heads of Mission and Directors manage and are accountable for risks within their Post or Directorate. An officer, ranging from individual project managers up to Heads of Mission, can own individual risks. Heads of Mission and Directors escalate risks if necessary to the Top Risk Register or the Bubbling Under Risk Register. The Top Risk Register typically contains 25-30 major, urgent risks that pose a significant threat to our ability to deliver our policy and operational objectives as set out in our Single Departmental Plan. The Bubbling Under Risk Register typically contains upcoming risks that are not yet significant enough for the Top Risk Register, but should be brought to the attention of the Board. Issues transfer between the two registers and are removed when the mitigations are sufficient to significantly reduce the likelihood or impact of the risk. The Top Risk Register marshals risks into a 'heat map' in order to identify those risks most urgently requiring the attention of the Management Board. The Supervisory Board and Management Board considers the Top Risk Register regularly. The Risk Appetite Statement sets out our broad approach to risk appetite for foreign policy and operational risks and aids the management of risk. Managing risk will always be central to FCO activity. To better understand the environment in which Posts operate and to manage the risks arising, a process of horizon scanning is undertaken. This brings together representatives from across relevant FCO departments and DIT to review individual Posts in each Directorate at least twice a year. Meetings consider external issues (political & security) and internal ones (programme management performance, procurement, estates, HR and finance). The process allows greater transparency and sharing of "Small Data"—delayed account submissions, poor audit scores, budgetary management, known and suspected fraud—to create a shared view of what is happening across the region. Posts receive an informal RAG rating according to where greatest potential risks and issues are identified. The performance of redrated posts is tracked and depending on the nature of the risk, a coordinated response is created to help manage and mitigate the risks and issues identified. The FCO's Internal Audit function reviews risk management arrangements in home departments and at Posts overseas, as part of their programme of visits, and reports their findings and conclusions to the Audit and Risk Assurance Committee and the Accounting Officer. Their overall opinion this year was that controls provide a Moderate level of assurance that objectives will be achieved. That is, some weaknesses in the operation of controls could impair the achievement of objectives, and improvements are required to enhance their adequacy and effectiveness. However, the identified control weaknesses were caused more by compliance issues than design. The ARAC gives particular attention to areas where Internal Audit published a Limited assurance opinion (e.g. Lancaster House Income Generation, Public Records Management, One HMG Governance, Kabul, Hargeisa, Oslo and Algiers) and common internal control issues overseas (e.g. security of emergency travel documents). Directors and Heads of Missions submit an Annual Consolidated Certificate of Assurance (ACCA) each year to confirm that agreed remedial action has been taken. The ACCA also facilitates the identification of any new emerging operational risks and helps strengthen the risk management framework.
The FCO divides risks into two categories: **policy risks** and **operational risks**. Policy risks relate to the delivery of the FCO's key policy objectives. These include for example risks from terrorism, the future of the Iran nuclear deal and potential issues arising out of the decision to leave the EU, including sanctions. Operational risks are threats to the FCO's management processes and logistics. These include our capacity, capability and resources; managing risks in our supply chain; information management; the integrity of our infrastructure and protecting our staff. Policy and operational risks do interact. Following our response to hurricanes in the Caribbean in 2017 there was a lessons learned exercise, a process undertaken on a regular basis. This led to embedding crisis response as a key capability for all FCO staff, allowing the FCO to meet such demands with the speed, capability and the embedded structures and practices required. One action we took was to train 20% of all staff in London as a crisis-ready resource. This has enabled us to move with greater agility to respond to the risks arising during the subsequent year from EU Exit. In 2018-19, the continued high number of policy risks faced by the FCO concerned the Board. The world faces more varied serious risks, from many sources: climate change, degraded international relationships, continuing conflicts and cyber-crime. Policy risks generally focus on the ability of the FCO to deliver on its policy objectives and included policy design, consideration of levers and implementation issues. Risks related to some areas—for instance, hurricanes in the Caribbean—were removed from the register, as longer-term resilience measures are being implemented, while others—for instance, on EU Exit preparations for No Deal—were added. To mitigate these risks, the FCO undertakes regular policy refreshes, engages with key allies and multilateral organisations, develops focused communication efforts, and runs crossgovernment working groups on specific issues. The FCO participates in and leads on a number of cross-government joint units and groups at ministerial, senior official and working level. The work covers some of the most important foreign policy issues that the government faces. For example, the FCO leads cross-government work on Russia, including in 2018-19 efforts which led to attribution of the novichok attacks. The FCO also led work to ensure that the UK can implement sanctions effectively once the UK has left the EU. The Board has also been concerned about a number of cross-cutting areas of risk, including the broader implications of leaving the European Union and the threat posed by terrorism and cyber-attacks. We continue to keep security issues under review and look to learn lessons wherever possible—including through regular exchanges with friendly diplomatic services and other international organisations. The Board monitors key improvement programmes such as the FCO's transformational change programmes, Diplomacy 20:20, and Tech Overhaul (the project to improve our IT). Each of these regularly presents to the Board outside of the Top Risk process. The Management Board and Executive Committee consider resourcing issues separately. Operational risks were high on the Board's agenda, and were also discussed at the Investment, Infrastructure and Operations Committee (IIOC). The Management Board regularly scrutinises major projects to ensure risks are being properly managed. Like many other organisations with a global presence, we face increasing threats to our people, premises and information, from civil disorder, conflict, crime, espionage and terrorism across the network.
## Operational Risks
Below is a summary of the 2018-19 Key Operational Risks that have been addressed or remain under management.
## General Data Protection Regulation (Gdpr)
FCO continues to embed the requirements of the UK Data Protection Act 2018 (incorporating the General Data Protection Regulation) which is a top risk as lack of compliance in itself could lead to regulatory action from the Information Commissioner. Data protection is of particular importance to consular work, given the high level of personal data processed. The FCO has a high degree of confidence in its ability to handle personal Consular data in compliance with GDPR and the DPA 2018. A data breach stemming from a lack of compliance could result in much more stringent regulatory action by the Commissioner. Both of these outcomes would result in reputational damage to the FCO, with the potential for financial penalty; and although we are not the only Whitehall Department still not in full compliance, we will make every effort to come into line with the DPA 2018 and GDPR as soon as possible regarding our collection, retention and use of personal data and how we inform citizens of this work. During 2018-19 there were 54 personal data incidents recorded of which 19 breached UK Data Protection Legislation and 3 were reported to the ICO. The ICO review of these cases concluded that no further action was required.
## Mitigating Actions:
»
» Knowledge and Technology Directorate Transparency
and Data Team is responsible for overarching compliance with data protection legislation and is working through the FCO Data Protection Action Group to achieve compliance. This includes implementing the action plan agreed with owners across the Office as well as acting upon the recommendations from Internal Audit.
»
» Specific priority actions include: mapping our
personal data to understand our risk and meet our DPA18 recording obligations; refreshing all our commercial contracts so they are DPA18 compliant; and establishing Memoranda of Understanding and data sharing agreements with organisations we share personal data with or which operate on our platform; ensuring our processing of children's data is compliant; and reviewing our IT systems to ensure that they are capable of addressing data subject rights and, for those implemented before May 2016, that they meet the DPA18 privacy by design Criteria. Reviewing our IT systems to ensure that they are capable of addressing data subject rights and, for those implemented before May 2016, that they meet the DPA18 privacy by design criteria.
## People
The FCO's global presence, and the UK's global interests, create particular resourcing and staff requirements. The FCO lead or are heavily involved in a number of areas related to leaving the EU. Global crises and additional demands emanating from the process of leaving the EU, while expanding our global network to deliver Global Britain and a new approach to Africa, exacerbate and stretch FCO capacity and capability gaps and risk delivery of FCO objectives.
New funding allocated for EU Exit, Global Britain and Africa will add around 1000 new staff positions—a mixture of UK Based and Local Staff, overseas and in the UK—by the end of 2020. There will be a lead-in time for recruitment and vetting new staff, with security clearances taking longer, as the Civil Service gears up for the UK's departure from the EU. New monies will help to rebalance our network, particularly in Europe, to enable the UK to support many more functions of government independently once outside the EU. Resourcing must continue to balance reduced core funding with the temporary uplift. Our aim is to have the right people in the right place at the right time. To do this we need to be clear about demand, supply and affordability, with good workforce planning and accurate management information on both numbers and skills. We are improving, particularly on numbers, but still lack comprehensive information on skills. Capacity and capability gaps put the delivery of key objectives at risk.
## Mitigating Actions:
»
» Diplomacy 20:20, the FCO's transformational change
programme launched in 2016 (see page 3) is designed around three pillars: Expertise, Agility and Platform. Agility and expertise need to be underpinned by a worldclass platform: efficient services and systems that make the best of our buildings and our technology and support all HMG partners on the platform. The programme is managed through a Programme Board that meets monthly and an Advisory Board that meets quarterly. The Chief Operating Officer is SRO for the Programme.
»
» Workforce Strategy is in place, along with
an Implementation Plan, and has been reviewed by the Management Board.
»
» The FCO continues to increase the diversity of the
workforce, including by reaching out through: various apprenticeship schemes, internships programmes and promoting the FCO as a great place to work at outreach events. Diversity includes visible diversity but also promoting diversity of thought, skills and background.
Despite these mitigations, risks associated with realigning resources to meet objectives continue to be classified as 'likely' and would have a significant impact on the FCO's outcomes. Due to the FCO's prominent global profile and the nature of the FCO's work, there is a constant threat to the safety of the FCO's staff and estates. In the worst case, this could result in the death of or injury to staff, dependents and contractors, as well as the destruction of our buildings.
## Mitigating Actions:
»
» Active threat monitoring.
»
» Staff awareness and training.
»
» Adjustments to staff numbers at affected Posts.
»
» Guarding and practical counter-measures.
These mitigations reduce the impact and likelihood of this risk from 'severe' and 'highly likely' to 'major' and 'possible'.
## Health, Safety And Wellbeing
The successful management of Health, Safety and Wellbeing (HSW) remains a key FCO operational risk and strategic goal. Building on past progress FCO took further steps in 2018-19 to embed a preventative and risk based culture to become a public sector exemplar on HSW risk management.
By the close of 2018-19 the FCO had better structures, risk management processes and staff awareness facilitated by senior manager led HSW projects including on fire safety, wellbeing, air quality and public event safety. The Estates and Security Directorate are on track to launch their updated fire safety policy—post Grenfell—which role models the new culture we seek. Human Resources Directorate's Health and Safety Team (the team responsible for guiding the Executive Committee and the organisation on HSW risk management) identified new HSW risk control gaps within FCO's HSW framework meaning the FCO was no longer fully compliant with its HSW obligations in the UK and overseas. Corrective actions have been commissioned. To regain compliance and build in resilience the Health and Safety Team have ordered a health check of their business model to ensure this team remains capable of supporting an improving organisation where there may be greater demand for HSW services.
## Commercial Management
A gap in the commercial management capability and capacity in FCO in 2018-19 meant there was an increased risk that the FCO might not deliver best value for money or fully comply with commercial regulations and best practice. Category Management structure implemented covering operational spend with the development of category strategies underway for key spend areas. This approach will support the FCO to leverage its skill and scale and ensure appropriate procurement models are put in place. With the growth of policy programme spending, it is increasingly important that staff are well trained in commercial management programmes.
## Mitigating Actions:
»
» All procurements over £100k are required to appear
in front of the Procurement Strategy and Advisory Board (PSAB). Commercial experts from across the FCO sit on the Board; they challenge and review business cases to ensure value for money is being achieved.
»
» All procurements over £5million go to the
Investment, Infrastructure and Operations Committee (IIOC) for scrutiny. The Committee is made up of SMS level representatives across the FCO.
»
» Government Commercial Operating
Standards (GCOS) improvement plan in place covering all commercial activity.
»
» Online Commercial Awareness training
available to all employees across the FCO.
These mitigating actions have reduced the likelihood of this major risk from 'likely' to 'possible'.
Contract Management Capability and lack of staff with the right capacity could present a risk to policy delivery. Strong contract management is key to ensuring contracts deliver as intended. Cabinet Office has set minimum Commercial operating standards and have launched the Contract Management training initiative:
»
» Appropriate level and number of contract managers,
trained and competent assigned to each eligible contract
»
» Contract Management being applied proportionately
with regular performance reviews to demonstrate conformance against agreed contracted outcomes
## Mitigating Actions:
»
» Online Contract Management training made available to
all employees.
»
» New structures in place to ensure all strategic contracts
will have an appropriately trained Contract Manager in the future.
These mitigating actions have reduced the likelihood of this major risk from 'likely' to 'possible'.
## Major Policy Programmes
Delays to the delivery of major programmes, in particular Prosperity Fund Programmes could impact policy delivery or FCO reputation. These are captured in two risks on the Top Risk Register: Prosperity Fund Prograxmme, and Policy Programme Delivery.
## Mitigating Actions:
»
» Establishment of the Portfolio Board for
policy programmes, chaired by the PUS.
»
» Additional commercial expertise recruited.
»
» The Policy Programme Transformation Unit has
been upgraded to a Portfolio Management Office, strengthening assurance and oversight of FCO spend.;
»
» Internal assurance framework for policy programmes
clarified, strengthened and communicated to staff.
»
» Case made successfully to re-profile the Prosperity
Fund to reflect realistic delivery timelines.
»
» Training delivered to key staff,
including programme SROs.
»
» Work underway on a refreshed operating
framework for policy programmes in the FCO.
These mitigating actions have reduced the likelihood of the Prosperity Fund Programme risk from
'highly likely' to 'likely' and the Policy Programme Delivery risk from 'likely' to 'possible'. The nature of the projects and programmes undertaken by the FCO means it operates in a wide range of countries, including some fragile environments e.g. war zones or areas of crisis. In such environments, there is limited recourse to a normal business infrastructure to manage or control financial transactions. This increases operational risk. Sometimes payments have to be managed with cash, which by its nature increases the risk of fraud or the diversion of funds. The FCO puts in place checks and control frameworks to manage and mitigate these risks; however they cannot be eradicated and there will always be an element of residual risk when working in certain fragile environments. The FCO takes the decision to operate in such fragile environments with these risks in mind and deploys practical mitigations as far as possible. Programme managers are required to regularly review their risks and monitor their controls. We will continue to prioritise support in a number of areas, including on Overseas Security and Justice Assistance assessments, and on Due Diligence Assessments of implementing partners to tackle sexual exploitation and abuse.
## Infrastructure
We are planning on an increase in capital spend across the estate with the proceeds of the Bangkok Compound sale which will address historic underinvestment. While this allows us to reduce overall risk (particularly as spend is focusing on health and safety rectification; overdue maintenance; and seismic strengthening), this scale-up in spend brings delivery risk.
## Mitigating Actions:
»
» We are hiring additional project managers in the
Estates team, outsourcing delivery where necessary, and putting in place a new Programme Management Office to ensure rigorous delivery and integration across Estates and Security Directorate.
## It Delivery
The FCO has prioritised the replacement of legacy equipment to reduce operational risk. Nevertheless, some legacy components remain; and with them a continued risk of operational failure. Projects to replace remaining legacy equipment are prioritised on a risk basis.
## Mitigating Actions:
»
» Many services have now been migrated off old server
infrastructure as services have moved to the Cloud.
»
» iPhone deployment is complete, increasing
the reliability of our mobile devices.
»
» IT disaster recovery plans are being reviewed.
The potential risk continues to be rated as high, but the likelihood and impact of this risk will decrease as the Tech Overhaul programme is completed by autumn 2019.
## Tech Overhaul
Tech Overhaul has delivered significant improvements to the FCO's IT capability, bringing the organisation into line with best practice across government. It has also increased efficiency by encouraging Smarter Working practices.
There is nevertheless a risk that a lack of staff engagement could mean that Tech Overhaul does not deliver the transformational change we expect and, as a result, does not deliver the expected benefits in full.
## Mitigating Actions:
»
» Modelling active leadership by example.
»
» Providing first class Learning & Development.
»
» Delivering a successful #WorkSmarter campaign.
»
» Rolling out a 'Tech Ninja' network of IT-
savvy staff to mentor senior leaders.
These mitigations have reduced the likelihood of the programme not delivering the expected benefits from 'likely' to 'possible'.
## Cyber And Information
Major information loss or loss of capability to work could result from a failure to keep the FCO's global infrastructure secure. A failure of information security would not only result in significant strategic threats to the FCO but could also incur significant reputational damage to the organisation, as well as the UK's reputation worldwide.
## Mitigating Actions:
»
» Encryption of all personal data within our networks.
»
» Large-scale counter-phishing campaign.
»
» Tech Overhaul programme to deliver systems that
are more rigorously designed and assured.
»
» Additional cyber security monitoring and
audit software on our devices.
The likelihood of a cyber security incident resulting in information or capability loss remains 'possible'.
## Fraud
Parliament and Cabinet Office is concerned that departments are not identifying all fraud that is taking place. Departments have been tasked to undertake more work to actively identify fraud and to professionalise counter fraud activities. The FCO continues to work with Cabinet Office, DFID, the British Council and others to attempt to understand the true level of fraud. The nature of the FCO's programme work carries an inherently higher risk of fraud and error than the administrative spend. We have put in place procedures to mitigate these risks and where higher risk projects are undertaken, appropriate levels of management including Ministers are consulted.
No frauds of material value were identified in 2018–19. Three criminal cases were identified relating to the misuse of public money (one a locally engaged officer and two ex-UK based officers), with criminal convictions in all three cases.
To maximise value for money from procurement and expenses processes, where possible, credit cards are used for these transactions. As last year, a few officers are found to have abused these procedures. We have also made efforts to reduce cash receipts where fees apply for our consular services, including through the introduction of Gov.pay. Over 80% of all payments for consular services are now made online or by credit card.
## Mitigating Actions:
»
» Where fraud was identified, appropriate
disciplinary action was taken and where appropriate reported to the police.
»
» Whilst there are risks with the use of credit cards, we
consider that the net risk is reduced as the amount of cash used reduces. We are confident that there are appropriate processes in place to mitigate the risks associated with the increasing use of credit cards.
Cyber fraud is an increasing risk for any organisation where vigilance is an important deterrent. Given the nature of this risk, mitigations have reduced the likelihood of fraud in these areas, but with the need to be constantly vigilant and identify circumstances where fraud can occur, the likelihood remains as 'possible'.
## Fco Corporate Governance Architecture, Membership And Attendance Record A. Supervisory Board
Frequency of meetings: The Board met twice during 2018-19
| | Member | Tenure |
|----------------------------------------------------|---------------------------------|-----------------------------------------------|
| From July 2016 until July 2018 | 1/1 | The Rt Hon Boris Johnson MP Secretary |
| of State for Foreign Affairs (Chair) | | |
| From July 2018 | 1/1 | The Rt Hon Jeremy Hunt MP Secretary of |
| State for Foreign Affairs (Chair) | | |
| The Rt Hon Sir Alan Duncan MP | From July 2016 | 2/2 |
| The Rt Hon Mark Field MP | From June 2017 | 1/2 |
| The Rt Hon Alistair Burt MP | From June 2017 until March 2019 | 1/2 |
| Lord Tariq Ahmad of Wimbledon | From June 2017 | 2/2 |
| Harriett Baldwin MP | From January 2018 | 1/2 |
| Miranda Curtis, Lead Non-Executive Board Member | From March 2017 | 2/2 |
| From November 2015 | 1/2 | Warren Tucker, Non-Executive Board Member and |
| Chair of FCO Audit and Risk Assuance Committee | | |
| Julia Bond, Non-Executive Board Member | From April 2011 until May 2018 | 0/0* |
| Sir Edward Lister, Non-Executive Board Member | From March 2017 | 2/2 |
| Gaenor Bagley, Non-Executive Board Member | From May 2018 | 2/2 |
| Sir Simon McDonald, Permanent Under-Secretary | From September 2015 | 2/2 |
| Peter Jones, Chief Operating Officer | From May 2017 | 1/2 |
| One of four policy DGs attending on rotating basis | 2/2 | |
| Andrew Sanderson, Director Finance | From September 2016 | 2/2 |
*No Supervisory Boards held during tenure.
## B. Fco Management Board
Frequency of meetings: The Board met ten times during 2018–19.
| Sir Simon McDonald, Permanent Under Secretary (Chair) | From September 2015 | 10/10 |
|-------------------------------------------------------------|------------------------------------------|--------------------------------------------------|
| Richard Moore, Director-General Political | From May 2018 | 8/10* |
| Dr Christian Turner, Deputy National Security Adviser | From April 2016 | 4/10* |
| Peter Jones, Chief Operating Officer | From May 2017 | 9/10* |
| Philip Barton, Director-General Consular & Security | From April 2017 | 9/10* |
| Deborah Bronnert, Director-General Global & Economic Issues | From July 2017 until March 2019 | 6/9* |
| Menna Rawlings, Director-General Global & Economic Issues | From February 2019 | 1/1 |
| Jill Gallard, Director Human Resources | From October 2014 until September 2018 | 5/5 |
| Jonathan Sinclair, Director Human Resources | From October 2018 | 5/5 |
| Andrew Sanderson, Director Finance | From September 2016 | 10/10 |
| Helen Bower-Easton, Director Communications | From March 2017 (MATL Mar 2018–Jan 2019) | 8/10 |
| Dr Alastair McPhail, Acting Director Communications | From March until June 2018 | 2/2 |
| Simon Wren, Acting Director Communications | From May until October 2018 | 2/4* |
| Hugo Shorter, Acting Director Communications | From October 2018 until January 2019 | 2/2 |
| From May 2017 | 8/10* | Dr Liane Saunders, Director Strategy & Strategic |
| Programmes Coordinator | | |
| Sir Iain MacLeod, Legal Adviser | From 2011 | 7/10* |
| Alison Blake, Her Majesty's High Commissioner, Dhaka | From September 2016 until February 2019 | 7/9* |
| Jill Morris, Her Majesty's Ambassador, Rome | From February 2019 | 1/1 |
| Warren Tucker, Non-Executive Board Member | From November 2015 | 10/10 |
| Julia Bond, Non-Executive Board Member | From April 2011 until May 2018 | 1/1 |
| Gaenor Bagley, Non-Executive Board Member | From May 2018 | 8/9* |
*Members unable to attend provided written feedback
No. of Meetings Attended during 2018–19
## C. Senior Appointments Board
Membership
PUS, Chief Operating Officer, DG Political, DG Consular and Security, DG Global Britain, DG EU Exit, Assistant Private Secretary to the Deputy National Security Adviser (Conflict, Stability and Defence), HR Director, Gaenor Bagley (Non- Executive Board Member), with PPS/Foreign Secretary as an observer.
Summary of Discussions during 2018-19
The Senior Appointments Board considered appointments at SMS2 and above, weighing up candidates' experience
and expertise and their performance against SMS competences. The Board also considered issues affecting senior appointments such as the diversity of appointments and the grading of roles.
Frequency of meetings
Monthly (except August)
## D. Audit & Risk Assurance Committee
Membership
Warren Tucker, Chairman Non-Executive Member of Management Board; Ann Cormack, Non-Executive Member; and Simon O'Regan, Non-Executive Member.
Summary of Discussions
during 2018-19
Evaluation of strategic processes for risk, control and governance, challenging the effectiveness of existing systems through the targeting of potential weaknesses. Review of risks through risk register reviews and mitigation plans surrounding Information Risk (including GDPR), Cyber Security, Commercial, Health and Safety, Programme, HR
Resources and Estates and Security. Analysis of planned activity and results of both internal and external audit
services, including assurance mapping and the outcome of fraud investigations. Consideration of FCO accounting policies and resource accounts prior to PUS signature. Regular effectiveness reviews of the Audit & Risk Assurance Committee are conducted, using the NAO checklist, and action is taken to address any matters arising.
Frequency of meetings
Five times during the financial year.
## E. Investment, Infrastructure & Operations Committee
Membership
Chief Operating Officer (Chair), DG Operations Directors, Regional Directors, Consular Director, Heads of Mission, Overseas Staff.
Summary of Discussions during 2018-19
The FCO's Global Asset Management Plan, including addressing health and safety issues across the network and other estate related investment decisions exceeding £5million in value, including the new Bangkok residence and office. Oversight of the FCO's IT portfolio, with a focus on the ECHO 2 programme, providing advice to the FCO Board, and other IT investment decisions exceeding £5million in value. The Committee signed off on physical security guarding contracts overseas and the procurement of armoured vehicles. CSSF and Prosperity Fund programme spend over £5million including projects in Syria, Jordan and China.
Frequency of meetings
Fortnightly
## F. Health & Safety Committee
Membership
ExCo members, Head of International HR Department (Human Resources Directorate), Director Consular, Director Estates and Security, Head of Security and Departmental Security Officer (Estates and Security Directorate), Head of Talent and Capability Department (Human Resources Directorate), Health and Safety Manager (Human Resources Directorate).
Summary of Discussions
during 2018-19
The review of property standards and follow up after the Overseas Fire Safety Group's review of the FCO's estates
portfolio in the wake of Grenfell. Wellbeing, including SMS attendance at the Wellbeing Confident training workshop, ACCA statements and establishing good practice in construction.
Frequency of meetings
Twice a year
## G. One Hmg Overseas Network Board
Membership
FCO Chief Operating Officer (Chair) and representatives from the Department for International Development, Ministry of Defence, Department for International Trade, Her Majesty's Revenue & Customs, British Council, National Crime Agency, Home Office, Her Majesty's Treasury and Cabinet Office.
Summary of Discussions during 2018-19
Re-focused the Network Board to play a more strategic role around Global Network Uplift and corporate contingency planning for No Deal Brexit. Set the direction of the functional boards—International People, International Estates and Security, International Procurement, Chief Information Officers, Finance and the Steering Group and held them to account. Ensured continued close collaboration with the Expertise and Platform pillars of the Diplomacy 20:20 Programme in particular the Corporate Capability Programme and change control process.
Frequency of meetings
Quarterly
## H. Policy Programme Portfolio Board
| Membership | ExCo members |
|----------------------------------------------------------------------------------------------------------------------|--------------------|
| Summary of Discussions | |
| during 2018-19 | |
| The Policy Programme Portfolio Board met in June, November and March. It provided strategic direction for the policy | |
| programme overall; discussed the risks facing FCO-led Prosperity Fund programmes; agreed how to strengthen senior | |
| oversight and accountability; reviewed results and impact to date and the balance of risk and results; discussed key | |
| amber rated programmes in greater depth; and, decided how to strengthen FCO project delivery capacity. | |
| Frequency of meetings | Three times a year |
90 Foreign & Commonwealth Office Annual Report and Accounts 2018–2019
## Fco Remuneration And Staff Report 2018–19
A number of sections in the Remuneration Report are subject to audit. Equivalent information relating to Wilton Park is given in its separate accounts. Other Arm's length bodies (ALBs) and Non-Departmental Public Bodies (NDPBs) provide equivalent information in their own accounts when required to do so, therefore they do not feature in this report.
## Service Contracts
The Constitutional Reform and Governance Act 2010 requires Civil Service and Diplomatic Service appointments to be made on merit on the basis of fair and open competition. The Recruitment Principles published by the Civil Service Commission specify the circumstances when appointments may be made otherwise. Unless otherwise stated below, the officials covered by this report hold appointments which are openended. Early termination, other than for misconduct, would result in the individual receiving compensation as set out in the Civil Service Compensation Scheme. Further information about the work of the Civil Service Commission can be found at www.civilservicecommission.org.uk
## Remuneration Policy
The pay of senior civil servants (SCS) is set by the Prime Minister following independent advice from the Review Body on Senior Salaries. From time to time, the Review Body advises the Prime Minister on the pay, pensions and allowances of ministers and others whose pay is determined by the Ministerial and Other Salaries Act 1975. In making its recommendations, the Review Body considers:
»
» the need to recruit, retain and motivate suitably able and
qualified people to exercise their different responsibilities;
»
» regional and local variations in labour markets and their
effects on the recruitment and retention of staff;
»
» government policies for improving public services,
including the requirement on departments to meet the output targets for the delivery of departmental services;
»
» the funds available to departments as set out in the
government's departmental expenditure limits; and
»
» the government's inflation target, wider
economic considerations, and the affordability of its recommendations.
For the Permanent Under-Secretary, remuneration is set by the Prime Minister on the recommendation of the Permanent Secretaries' Remuneration Committee. For the remaining executive members of the FCO Board remuneration is determined by the FCO's SMS Pay Committee in line with the SCS guidance. Minister's remuneration is set by the Ministerial and Other Salaries Act 1975 and the Ministerial and Other Pensions Act 1991.
## Remuneration (Salary, Benefits In Kind And Pensions)
The following sections are subject to audit and provide details of the remuneration and pension interests of the Ministers and most senior management (i.e. Board members) of the Department. Since 2018 Harriet Baldwin MP served as Minister for the FCO. Her remuneration and pension benefits are disclosed with DFID's Annual Report and Accounts. This was a joint Ministerial Role with DFID.
## Ministers (Subject To Audit)
| | | | | | Ministers | Salary (£) | Benefits in kind (to |
|--------------------------------------------|---------|---------|---------|---------|-------------|--------------|-------------------------|
| 2018-19 | 2017-18 | 2018-19 | 2017-18 | 2018-19 | 2017-18 | 2018-19 | 2017-18 |
| Rt Hon Jeremy Hunt MP (from July 2018) | | | | | | | |
| 2 | | | | | | | |
| 48,996 | - | - | - | 12,000 | - | 61,000 | - |
| Rt Hon Sir Alan Duncan KCMG MP | 31,680 | 31,680 | - | - | 7,000 | 7,000 | 39,000 |
| Rt Hon Lord Ahmad of Wimbledon | | | | | | | |
| 3 | | | | | | | |
| 82,831 | 62,545 | - | - | 17,000 | 17,000 | 100,000 | 80,000 |
| Rt Hon Alistair Burt MP (until March 2019) | | | | | | | |
| 4 | | | | | | | |
| 31,169 | 25,344 | - | - | 7,000 | 5,000 | 38,000 | 30,000 |
| Rt Hon Mark Field MP | | | | | | | |
| 5 | | | | | | | |
| - | - | - | - | - | - | - | - |
| Rt Hon Boris Johnson MP (until July 2018) | | | | | | | |
| 6 | | | | | | | |
| 18,509 | 67,505 | - | - | 3,000 | 18,000 | 22,000 | 86,000 |
| Rt Hon Baroness Anelay of St | | | | | | | |
| Johns DBE (until June 2017) | | | | | | | |
| 7 | | | | | | | |
| - | 28,814 | - | - | - | 10,000 | - | 39,000 |
| Rt Hon Tobias Ellwood MP (until June 2017 | | | | | | | |
| 8 | | | | | | | |
| - | 5,594 | - | - | - | 2,000 | - | 8,000 |
| Alok Sharma MP (until June 2017) | | | | | | | |
| 9 | | | | | | | |
| - | 5,594 | - | - | - | 2,000 | - | 8,000 |
1 The value of pension benefits accrued during the year is calculated as (the real increase in pension multiplied by 20) plus (the real increase in any lump sum) less (the contributions made by the individual). The real increase excludes increases due to inflation or any increase or decrease due to a transfer of pension rights. The pension benefits shown are before tax or any other applicable deductions have been taken.
2 Rt Hon Jeremy Hunt MP full year equivalent salary was £67,505 in 2018-19
3 Lord Ahmad of Wimbledon full year equivalent salary was £82,711 for 2017-18
## Executive Members Of The Fco Management Board (Subject To Audit)
| Officials | Salary (£'000) |
|---------------------------------------|------------------|
| 1 | |
| Bonus payments | |
| (£000) | |
| 2018- | 2017- |
| 2019 | 2018 |
| Simon McDonald | 190-195 |
| - | - |
| 12 | 3 |
| Peter Jones | |
| 17 | |
| 130-135 | 115-120 |
| Deborah Bronnert (until | |
| March 2019) | |
| 3,18 | |
| 120-125 | 95-100 |
| Liane Saunders | |
| 19 | |
| 100-105 | 90-95 |
| 22 | |
| Jill Gallard (until September 2018) | |
| 4 | |
| 50-55 | 100-105 |
| Andrew Sanderson | 105-110 |
| Iain MacLeod | 135-140 |
| Alison Blake (until February 2019) | |
| 5 | |
| 80-85 | 85-90 |
| Philip Barton | |
| 20 | |
| 130-135 | 130-135 |
| 22 | |
| Helen Bower-Easton | 105-110 |
| Richard Moore (from May 2018) | |
| 6 | |
| 125-130 | - |
| Christian Turner | |
| 7 | |
| 120-125 | 115-120 |
| Menna Rawlings (from February 2019) | |
| 8 | |
| 10-15 | - |
| Jill Morris (from February 2019) | |
| 9 | |
| 10-15 | - |
| Jonathan Sinclair (from October 2018) | |
| 10 | |
| 50-55 | - |
| Alastair McPhail ( from | |
| March until June 2018) | |
| 11 | |
| 15-20 | - |
| Simon Wren (from May 2018 | |
| until October 2018) | |
| 12 | |
| 45-50 | - |
| Hugo Shorter (from October | |
| 2018 until January 2019) | |
| 13 | |
| 20-25 | - |
Pension benefits (to
nearest £100)
nearest £1000) 1
Total (to nearest
£1,000)
4 Rt Hon Alistair Burt MP full year equivalent salary was £31,680 in 2018-19
5 Rt Hon Mark Field MP did not claim a salary or pension in 2017-18 or 2018-19
6 Rt Hon Boris Johnson MP full year equivalent salary was £67,505 in 2018-19
7 Rt Hon Baroness Anelay of St Johns DBE full year equivalent salary was £115,257 in 2017-18
8 Rt Hon Tobias Ellwood MP full year equivalent salary was £22,375 in 2017-18
9 Alok Sharma MP full year equivalent salary was £22,375 in 2017-18
| Benefits | Pension benefits | Total (to nearest |
|---------------|---------------------|----------------------|
| in kind (to | (£'000 to the | £1,000) |
| nearest £100) | nearest £1000) | |
| 2,22 | | |
| 2017- | 2018- | 2017- |
| 2018 | 2019 | 2018 |
| Officials | Salary (£'000) |
|-------------------------------------------------------------|------------------|
| 1 | |
| Bonus payments | |
| (£000) | |
| 2018- | 2017- |
| 2019 | 2018 |
| Lindsay Croisdale-Appleby | |
| (until July 2017) | |
| 14,21 | |
| - | 35-40 |
| Karen Pierce (to March 2018) | |
| 15,16 | |
| - | 135-140 |
| 1. The figures shown for salary are total gross | |
| salary including all taxable allowances before any | |
| applicable tax or other deductions are taken | |
| 2. The value of pension benefits accrued during the year is | |
calculated as (the real increase in pension multiplied by 20) plus (the real increase in any lump sum) less (the contributions made by the individual). The real increases exclude increases due to inflation or any increase or decreases due to a transfer of Pension rights. The pension benefits shown are before tax or any other applicable deductions have been taken
3. Deborah Bronnert full year equivalent
salary was £130-135k in 2018-19
4. Jill Gallard full year equivalent salary was £100-105k in 2018-19. 5. Alison Blake full year equivalent salary was £90-95k in 2018-19 6. Richard Moore full year equivalent salary was £135-140k in 2018-19 7. Christian Turner has been paid by the Cabinet Office since May 2017.
As part of this new role he remains a member of the FCO board.
8. Menna Rawlings full year equivalent
salary was £130-135k in 2018-19
9. Jill Morris full year equivalent salary was £90-95k in 2018-19
## Non-Executive And Independent Directors (Subject To Audit)
Bonus payments
Officials
Salary (£'000)
(£,000)
2018-
2017-
2018-
2017-
2019
2018
2019
2018
Julia Bond (to May 2018)
-
10-15
-
-
-
-
-
-
-
10-15
Warren Tucker
15-20
15-20
-
-
-
-
-
-
15-20
15-20
Gaenor Bagley (from May 2018)1
10-15
-
-
-
-
-
-
-
10-15
-
Edward Lister
10-15
10-15
-
-
-
-
-
-
10-15
10-15
Stephen Hawker2
10-15
15-20
-
-
-
-
-
-
10-15
15-20
Miranda Curtis
15-20
20-25
-
-
-
-
-
-
15-20
20-25
Ann Cormack3
0-5
0-5
-
-
-
-
-
-
0-5
0-5
Simon O'Regan (from Aug 2018)4
0-5
-
-
-
-
-
-
-
0-5
-
1.Gaenor Bagley full year equivalent salary was £10-15k in 2018-19 2.Stephen Hawker's fees include work as a NED on FCO Services
Board, untill March 2018. For the FCO, Stephen Hawker was an independent member of ARAC until September 2018 and his full year equivalent salary was £15-20k in 2018-19
3.Ann Cormack is a Non-Executive member of ARAC
4.Simon O'Regan is a Non Executive Member of ARAC.
His full year equivalent salary was £5-10k in 2018-19
## Salary
'Salary' includes gross salary; overtime; reserved rights to London weighting or London allowances; recruitment and retention allowances; private office allowances and any other allowance to the extent that it is subject to UK taxation. This report is based on accrued payments
| Benefits | Pension benefits | Total (to nearest |
|---------------|---------------------|----------------------|
| in kind (to | (£'000 to the | £1,000) |
| nearest £100) | nearest £1000) | |
| 2,22 | | |
| 2017- | 2018- | 2017- |
| 2018 | 2019 | 2018 |
10. Jonathan Sinclair full year equivalent
salary was £100-105k in 2018-19
11. Alastair McPhail full year equivalent salary was £95-100k in 2018-19 12. Simon Wren full year equivalent salary was £105-110k in 2018-19 13. Hugo Shorter full year equivalent salary was £100-105k in 2018-19 14. Lindsay Croisdale-Appleby full year equivalent
fees were £110-115k in 2017-18
15. Karen Pierce chose not to be covered by the Civil Service
pension arrangements during 2017-18 and 2018-19
16. Karen Pierce full year equivalent salary was £140-145K in 2017-18 17. Peter Jones full year equivalent salary was £125-130K in 2017-18 18. Deborah Bronnert full year equivalent salary was £130-135K in
2017-18
19. Liane Saunders full year equivalent salary was £100-105K in 2017-
18
20. Philip Barton full year equivalent salary was £130-135K in 2017-18 21. Lindsay Croisdale-Appleby full year equivalent
salary was £110-115K in 2017-18
22. Where revised information has been received from the pension
provider, prior year figures have been restated accordingly
Benefits in kind
(to nearest £100)1
Pension benefits (to
nearest £1000) 2
Total (£'000)
2018-
2017-
2018-
2017-
2018-
2017-
2019
2018
2019
2018
2019
2018
made by the Department and thus recorded in these accounts. In respect of Ministers in the House of Commons, departments bear only the cost of the additional Ministerial remuneration; the salary for their services as an MP (£77,379 from 1 April 2018, £79,468 from 1 April 2019) and various allowances to which they are entitled are borne centrally. However, the arrangement for Ministers in the House of Lords is different in that they do not receive a salary but rather an additional remuneration, which cannot be quantified separately from their Ministerial salaries. This total remuneration, as well as the allowances to which they are entitled, is paid by the Department and is therefore shown in full in the figures above.
## Benefits In Kind
The monetary value of benefits in kind covers any benefits provided by the Department and treated by HM Revenue and Customs as a taxable emolument.
## Bonuses
Bonuses are based on performance levels attained and are made as part of the appraisal process. Bonuses relate to the performance in the year in which they become payable to the individual. The bonuses reported in 2018-19 relate to performance in 2018-19 and the comparative bonuses reported for 2017-18 relate to the performance in 2017-18.
## Pay Multiples (Subject To Audit)
Reporting bodies are required to disclose the relationship between the remuneration of the highestpaid director in their organisation and the median remuneration of the organisation's workforce. The banded remuneration of the highest-paid director in the FCO in the financial year 2018-19 was £190-195k (2017-18, £185-190k) as disclosed in the Remuneration report table on page 91. This was 5.7 times (2017-18, 5.7) the median remuneration of the workforce, which was £33,913 (2017-18, £33,108). In 2018-19, no employee received remuneration in excess of the highest-paid director (2017-18, 0). Remuneration ranged from £19,384 to £195,000 (2017-18, £19,041-£190,000). Total remuneration includes salary, nonconsolidated performance-related pay and benefits-in-kind. It does not include severance payments, employer pension contributions and the cash equivalent transfer value of pensions.
| | 2018-19 | 2017-18 | % change |
|------------------|-----------|-----------|------------|
| £190-195k | £185-190k | 2.67% | Band of |
| highest paid | | | |
| director's total | | | |
| remuneration | | | |
| £33,913 | £33,108 | 2.43% | Median |
| remuneration | | | |
| of all UK | | | |
| Based staff | | | |
| Ratio | 5.7 | 5.7 | 0% |
Median remuneration in the FCO has again fluctuated due to workforce composition and structure. The median person in the FCO is graded at C4 (Higher Executive Officer) in 2018-19 as was also the case in 2017-18. This, coupled with an increase in the highest paid Director's remuneration has led to no change in the ratio of median vs. highest paid. There is a change to the previously reported 2017- 18 figures for median remuneration and ratio due to the previous non-inclusion of staff working for the Department's agency Wilton Park. Local staff salaries are excluded from the pay multiple calculation for a number of reasons. Data on Local Staff salaries is not held centrally, salary payments are paid in local currency and based on local market conditions and local staff salaries are subject to individual countries taxation and social security arrangements and adhere to local law. The variation of arrangements plus differences in rates of pay and local purchasing power would distort the pay multiple calculation and would make comparisons with other organisations impossible.
## Ministerial Pension Benefits (Subject To Audit)
Real
Accrued
increase
pension
in
at age
pension
Real
65 as at
at age
CETV at
CETV at
increase
Minister
31/3/19
65
31/3/19
31/3/18
in CETV
£'000
£'000
£'000
£'000
£'000
10-15
0-2.5
214
1951
6
Rt Hon Jeremy Hunt MP (from July 2018)
5-10
0-2.5
109
96
5
Rt Hon Sir Alan Duncan KCMG MP
5-10
0-2.5
118
971
8
Rt Hon Lord Ahmad of Wim bledon
5-10
0-2.5
163
1461
6
Rt Hon Alistair Burt MP (until March 2019)
-
-
-
-
-
Rt Hon Mark
Field MP2
0-5
0-2.5
35
311
1
Rt Hon Boris Johnson MP (until July 2018)
1 Where revised information has been received from the pension provider, prior year figures have been restated accordingly
2 Rt Hon Mark Field did not receive an FCO
pension in 2017-18 or 2018-19
3 This does not include Minister Harriett Baldwin MP as she is joint Minister for the FCO and DFID. Harriet Baldwin MP is on DFID's payroll and details of her remuneration can be found in DFID's Annual Report and Accounts
## Ministerial Pensions
Pension benefits for Ministers are provided by the Parliamentary Contributory Pension Fund (PCPF). The scheme is made under statute and the rules are set out in the Ministers' etc. Pension Scheme 2015, available at http://qna.files.parliament.
uk/ws-attachments/170890/original/PCPF%20 MINISTERIAL%20SCHEME%20FINAL%20RULES.doc. Those Ministers who are Members of Parliament may also accrue an MP's pension under the PCPF (details of which are not included in this report). A new MP's pension scheme was introduced from May 2015, although members who were MPs and aged 55 or older on 1 April 2013 have transitional protection to remain in the previous MP's final salary pension scheme. Benefits for Ministers are payable from State Pension age under the 2015 scheme. Pensions are re-valued annually in line with Pensions Increase legislation both before and after retirement. The contribution rate from May 2015 is 11.1% and the accrual rate is 1.775% of pensionable earnings.
The figure shown for pension value includes the total pension payable to the member under both the pre- and post-2015 Ministerial pension schemes.
## The Cash Equivalent Transfer Value (Cetv)
This is the actuarially assessed capitalised value of the pension scheme benefits accrued by a member
## Official'S Pensions (Subject To Audit)
Real increase in CETV
Officials
Accrued pension at pension age as at 31/3/19 and related lump sum
Real increase in pension and related lump sum at pension age
£'000
£'000
£'000
£'000
£'000
Nearest £100
2055
1858
13
-
Simon McDonald
85-90 plus a lump sum of 260-265
0-2.5 plus a lump sum of 2.5-5
1285
1122
45
-
Peter Jones
60-65 plus a lump
sum of 75-80
2.5-5 plus a lump
sum of 0-2.5
1030
887
25
-
Deborah Bronnert (to February 2019)
55-60 plus a lump sum of 125-130
2.5-5 plus a lump sum of 0-2.5
757
6463
22
-
Liane Saunders
40-45 plus a lump sum of 35-40
0-2.5 plus a lump sum of 0-2.5
565
533
8
-
Jill Gallard (until September 2018)
30-35 plus a lump sum of 75-80
0-2.5 plus a lump sum of 0
459
380
16
-
Andrew Sanderson
25-30 plus a lump sum of 60-65
0-2.5 plus a lump sum of 0
1205
1078
19
-
Iain MacLeod
50-55 plus a lump sum of 155-160
0-2.5 plus a lump sum of 2.5-5
932
821
25
-
Alison Blake (until February 2019)
40-45 plus a lump sum of 45-50
0-2.5 plus a lump sum of 0-2.5
1275
11313
18
-
Philip Barton (from April 2017)
55-60 plus a lump sum of 175-180
0-2.5 plus a lump sum of 2.5-5
341
2733
15
-
Helen Bower- Easton
25-30 plus a lump sum of 0
0-2.5 plus a lump sum of 0
36
0
28
-
Richard Moore (from May 2018)
0-5 plus a lump sum of 0
2.5-5 plus a lump sum of 0
997
932
1
-
50-55 plus a lump sum of 130-135
0-2.5 plus a lump sum of 0
Simon Wren (May 2018 to October 2018)
at a particular point in time. The benefits valued are the member's accrued benefits and any contingent spouse's pension payable from the scheme. A CETV is a payment made by a pension scheme or arrangement to secure pension benefits in another pension scheme or arrangement when the member leaves a scheme and chooses to transfer the pension benefits they have accrued in their former scheme. The pension figures shown relate to the benefits that the individual has accrued as a consequence of their total Ministerial service, not just their current appointment as a Minister. CETVs are calculated in accordance with The Occupational Pension Schemes (Transfer Values) (Amendment) Regulations 2008 and do not take account of any actual or potential reduction to benefits resulting from Lifetime Allowance Tax which may be due when pension benefits are taken.
## The Real Increase In The Value Of The Cetv
This is the element of the increase in accrued pension funded by the Exchequer. It excludes increases due to inflation and contributions paid by the Minister. It is worked out using common market valuation factors for the start and end of the period.
Employer contribution to partnership pension account
| CETV at 31/3/19 | CETV at 31/3/18 |
|-------------------|-------------------|
| Real increase | |
| in CETV | |
| Officials | |
| Accrued pension | |
| at pension age | |
| as at 31/3/19 | |
| and related | |
| lump sum | |
| Real increase | |
| in pension | |
| and related | |
| lump sum at | |
| pension age | |
| £'000 | £'000 |
| 662 | 654 |
| sum of 80-85 | |
| 0-2.5 plus a lump | |
| sum of 0-2.5 | |
| Hugo Shorter | |
| (from October | |
| 2018 to January | |
| 2019) | |
| 585 | 578 |
| sum of 75-80 | |
| 0-2.5 plus a lump | |
| sum of 0-2.5 | |
| Alastair McPhail | |
| (March 2018 | |
| to June 2018) | |
| 641 | 541 |
| 3 | |
| 9 | - |
| lump sum of 0 | |
| Christian Turner | |
| 2 | |
| 35—40 plus | |
| a lump sum | |
| of 85—90 | |
| 700 | 684 |
| sum of 85-90 | |
| 0-2.5 plus a lump | |
| sum of 0-2.5 | |
| Menna Rawlings | |
| (from February | |
| 2019) | |
| 647 | 640 |
| February 2019) | |
| 35-40 plus a lump | |
| sum of 80-85 | |
| 0-2.5 plus a lump | |
| sum of 0-2.5 | |
| 560 | 455 |
| sum of 75-80 | |
| 2.5-5 plus a lump | |
| sum of 5-7.5 | |
| Jonathan | |
| Sinclair (from | |
| October 2018) | |
1Karen Pierce chose not to be covered by the Civil Service pension arrangements during 2017-18 and 2018-19
2Christian Turner is an FCO board member. He holds a position in the Cabinet Office and is paid by the Cabinet Office since May 2017
3Where revised information has been received from the pension provider, prior year figures have been restated accordingly
## Non-Executive Pensions
None of the non-Executive directors are members of the Civil Service Pension Scheme.
## Civil Service Pensions
Pension benefits are provided through the Civil Service pension arrangements. From 1 April 2015 a new pension scheme for civil servants was introduced—the Civil Servants and Others Pension Scheme or Alpha, which provides benefits on a career average basis with a normal pension age equal to the member's State Pension Age (or 65 if higher). From that date all newly appointed civil servants and the majority of those already in service joined Alpha. Prior to that date, civil servants participated in the Principal Civil Service Pension Scheme (PCSPS). The PCSPS has four sections: 3 providing benefits on a final salary basis (classic, premium or classic plus) with a normal pension age of 60; and one providing benefits on a whole career basis (nuvos) with a normal pension age of 65. These statutory arrangements are unfunded with the cost of benefits met by monies voted by Parliament each year. Pensions payable under classic, premium, classic plus, nuvos and Alpha are increased annually in line with Pensions Increase legislation. Existing members of the PCSPS who were within 10 years of their normal pension age on 1 April 2012 remained in the PCSPS after 1 April 2015. Those who were between 10 years and 13 years and 5 months from their normal pension age on 1 April 2012 will switch
Employer contribution to partnership pension account
into Alpha sometime between 1 June 2015 and 1 February 2022. All members who switch to Alpha have their PCSPS benefits 'banked', with those with earlier benefits in one of the final salary sections of the PCSPS having those benefits based on their final salary when they leave Alpha. (The pension figures quoted for officials show pension earned in PCSPS or Alpha—as appropriate. Where the official has benefits in both the PCSPS and Alpha the figure quoted is the combined value of their benefits in the two schemes.) Members joining from October 2002 may opt for either the appropriate defined benefit arrangement or a 'money purchase' stakeholder pension with an employer contribution (partnership pension account). Employee contributions are salary-related and range between 4.6% and 8.05% for members of classic, premium, classic plus, nuvos and Alpha. Benefits in classic accrue at the rate of 1/80th of final pensionable earnings for each year of service. In addition, a lump sum equivalent to three years initial pension is payable on retirement. For premium, benefits accrue at the rate of 1/60th of final pensionable earnings for each year of service. Unlike classic, there is no automatic lump sum. classic plus is essentially a hybrid with benefits for service before 1 October 2002 calculated broadly as per classic and benefits for service from October 2002 worked out as in premium. In nuvos a member builds up a pension based on his pensionable earnings during their period of scheme membership. At the end of the scheme year (31 March) the member's earned pension account is credited with 2.3% of their pensionable earnings in that scheme year and the accrued pension is uprated in line with Pensions Increase legislation. Benefits in Alpha build up in a similar way to nuvos, except that the accrual rate in 2.32%. In all cases members may opt to give up (commute) pension for a lump sum up to the limits set by the Finance Act 2004.
The partnership pension account is a stakeholder pension arrangement. The employer makes a basic contribution of between 8% and 14.75% (depending on the age of the member) into a stakeholder pension product chosen by the employee from a panel of providers. The employee does not have to contribute, but where they do make contributions, the employer will match these up to a limit of 3% of pensionable salary (in addition to the employer's basic contribution). Employers also contribute a further 0.5% of pensionable salary to cover the cost of centrally-provided risk benefit cover (death in service and ill health retirement). The accrued pension quoted is the pension the member is entitled to receive when they reach pension age, or immediately on ceasing to be an active member of the scheme if they are already at or over pension age.
Pension age is 60 for members of classic, premium and classic plus, 65 for members of nuvos, and the higher of 65 or State Pension Age for members of Alpha. (The pension figures quoted for officials show pension earned in PCSPS or Alpha—as appropriate. Where the official has benefits in both the PCSPS and Alpha the figure quoted is the combined value of their benefits in the two schemes, but note that part of that pension may be payable from different ages.) Further details about the Civil Service pension arrangements can be found at the website www.civilservicepensionscheme.org.uk
## Cash Equivalent Transfer Values
A Cash Equivalent Transfer Value (CETV) is the actuarially assessed capitalised value of the pension scheme benefits accrued by a member at a particular point in time. The benefits valued are the member's accrued benefits and any contingent spouse's pension payable from the scheme. A CETV is a payment made by a pension scheme or arrangement to secure pension benefits in another pension scheme or arrangement when the member leaves a scheme and chooses to transfer the benefits accrued in their former scheme. The pension figures shown relate to the benefits that the individual has accrued as a consequence of their total membership of the pension scheme, not just their service in a senior capacity to which disclosure applies. The figures include the value of any pension benefit in another scheme or arrangement which the member has transferred to the Civil Service pension arrangements. They also include any additional pension benefit accrued to the member as a result of their buying additional pension benefits at their own cost. CETVs are worked out in accordance with The Occupational Pension Schemes (Transfer Values) (Amendment) Regulations 2008 and do not take account of any actual or potential reduction to benefits resulting from Lifetime Allowance Tax which may be due when pension benefits are taken.
## Real Increase In Cetv
This reflects the increase in CETV that is funded by the employer. It does not include the increase in accrued pension due to inflation, contributions paid by the employee
(including the value of any benefits transferred from another pension scheme or arrangement) and uses common market valuation factors for the start and end of the period.
## Compensation For Loss Of Office
The FCO made the following payments for compensation for loss of office in 2018-19. The Rt Hon Boris Johnson left under severance terms on 9 July 2018 and received a compensation payment of £16,876.25. The Rt Hon Alastair Burt MP left under severance terms on 25 March 2019 and received a compensation payment of £7,920.00. Benjamin Gascoigne, Special Advisor, received a severance payment of £18,000.00 due to his contract being terminated with the departure from Government of The Rt Hon Boris Johnson on 9 July 2018. David Frost, Special Advisor, received a severance payment of £ 30,000.00 due to due to his contract being terminated with the departure from Government of The Rt Hon Boris Johnson.
## Staff Report
The total FCO workforce as at 31 March 2019 was 13,233 comprising 5,055 FCO UK based staff and 8,178 FCO local staff.
## Fco Staff Headcount (Subject To Audit)
The figures are calculated using staff numbers as at the end of the financial year.
| 2018-19 | 2017-18 |
|------------------|-----------|
| UK Based | |
| ¹ | |
| 5055 | 4591 |
| Local Staff | 8178 |
| Ministers | |
| 2 | |
| 4 | 4 |
| Special Advisors | 3 |
1 These figures exclude all staff working for UK Visa and Immigration (UKVI), Department for International Trade, Wilton Park, FCO Services, other Whitehall Partners on the FCO platform overseas. But they do include staff working in cross-Whitehall Programme Funded roles.
2 In June 2017 two joint FCO-DFID private offices were created. These numbers exclude joint Ministers.
## Fco Uk Based Staff Headcount
The figures are calculated using staff numbers as at the end of the financial year.
| | 2014-15 | 2015-16 | 2016-17¹ | 2017-18¹ | 2018-19¹ | 2018-19 |
|----------------------|-----------|-----------|------------|------------|------------|-----------|
| Headcount¹ | 4469 | 4295 | 4499 | 4591 | 5055 | 4893 |
| Full Time Equivalent | 4380 | 4212 | 4420 | 4523 | 4986 | 4825 |
| Casual | 13 | 11 | - | - | - | - |
| Total FTE | 4393 | 4223 | 4420 | 4523 | 4986 | 4825 |
| Overtime | 59 | 42 | 36 | 36 | 30 | - |
1 These figures exclude all staff working for UK Visa and Immigration (UKVI), UK Trade & Industry (now Department for International Trade), Wilton Park, FCO Services, other Whitehall Partners on the FCO platform . But they do include staff working in cross-Whitehall Programme Funded roles.
## Total Uk Staff
As at 31 March 2019, 61% of UK staff were working in the UK and 39% were based in overseas posts.
## Staff Costs (Subject To Audit)
The figures are calculated using average staff numbers throughout the financial year. This table is subject to audit and forms part of the accounts Note 3.
Permanent Staff
Local staff
UK staff
Others
Ministers
Special advisors
Total
Total
£000
£000
£000
£000
£000
£000
£000
163,076
266,017
2,428
213
304
432,038
387,572
Wages and salaries
0
18,675
2
20
40
18,736
15,750
Social security costs
16,747
37,365
4
23
45
54,185
50,474
Other pension costs
179,823
322,057
2,434
256
389
504,959
453,796
0
(2,430)
0
0
0
(2,430)
(2,236)
Less recovered from Outward Secc Total net costs
179,823
319,627
2,434
256
389
502,529
451,561
| Actual | Forecast |
|-----------|------------|
| 2018-19 | 2017–18 |
## Uk Staff At Diplomatic Offices Overseas Departmental Activity
The figures in the table below are calculated using average staff numbers throughout the financial year, as opposed to staffing levels at the year end. The figures include front line activity only. A management and support element has been proportionately distributed across these activities
Permanent staff
Local
UK
Departmental Activity
staff
staff
Others
Total
Total
SO1—Protect our People
2,440
1,173
20
3,633
3,472
4,026
3,033
52
7,111
7,030
our Influence and demonstrate diplomatic leadership SO3—Promote our Prosperity
1,493
579
10
2,082
2,004
7,959
4,785
82
12,826
12,506
| Core FCO | 7,870 | 4,652 | 82 | 12,604 | 12,320 |
|--------------|----------|----------|--------|----------|----------|
| Wilton Park | - | 81 | - | 81 | 78 |
| Other Desig | | | | | |
| nated Bodies | | | | | |
| 89 | 52 | - | 141 | 108 | |
| 7,959 | 4,785 | 82 | 12,826 | 12,506 | |
In addition to the above numbers there were 6 Ministers and 3 Special Advisors whose portfolios can cover all Foreign Policy priorities and therefore have not been allocated specifically in the table
## Local Staff
Our Local Staff make up 62% of the total FCO workforce and are an integral part of our global network overseas. They are based in our diplomatic offices around the network and deliver front-line foreign policy objectives, consular services, corporate, management and support functions. The Mexico and Washington HR Hubs were combined in November 2018 to create one Americas' HR Hub based in Washington, reducing the overall number of HR Hubs from seven to six. Our HR Hubs provide HR services to all our overseas Posts and are exclusively staffed by local HR professionals. Their value in providing greater consistency, compliance and streamlining of HR policy and processes continues to grow, delivering a resilient and efficient platform where service continues to improve year on year. The wider HR Hub review, as part of the Corporate Capability Programme, is paused until Atlas (Prism replacement) capabilities are confirmed. However, we are taking forward work on initiatives that contribute to the overall project such as streamlining local staff payroll and recruitment. During 2018 we continued to use recruitment software for Local Staff vacancies in all our HR Hubs. The Hubs received 201,849 completed applications for 2,113 vacancies in 2018-19. This online platform provides candidates with a more efficient and modern experience. The refresh of the external facing web pages was completed in 2018 and better reflects Local Staff job opportunities, including for the One HMG partners on our platform. As part of our Global Minimum Standards for Local Staff, Maternity and Adoption Leave allocations were increased in January 2019 to a minimum of 18 weeks' paid leave followed by an optional 8 weeks' unpaid leave, including for the One HMG partners on our platform.
## Diversity And Inclusion
Our Diversity and Inclusion 20:20 strategy covers three priorities (a diverse talent pipeline, tackling bullying harassment and discrimination, and creating an inclusive environment). It sets out why diversity matters and how we plan to reach our ambition of an inclusive Foreign Office where all staff are valued and contribute to the best of their abilities. We believe that we will be a stronger organisation when our workforce better reflects the diversity of the country we represent.
| | SMS | D7 | D6 | C5 | C4 | B3 | A2 | A1 |
|----------|-------|------|------|------|------|------|------|------|
| Female | 35% | 42% | 41% | 40% | 46% | 58% | 59% | 57% |
| Disabled | 7% | 5% | 9% | 10% | 17% | 26% | 30% | 14% |
| BAME | 7% | 10% | 10% | 11% | 11% | 14% | 15% | 31% |
| LGBT | 4% | 6% | 7% | 4% | 7% | 2% | 5% | 21% |
The reported percentages are calculated based on the voluntary returns of staff and include nil returns of those who did not want to disclose the information.
These figures exclude all staff working for other Whitehall Partners on the FCO platform overseas, including Wilton Park and FCO Services. Other Employee matters are covered in the Performance Report under Investing in Our People, page 52.
## Number Of Female Heads Of Mission
Including Job Shares, there are 49 female Heads of Mission including Governors (30%) and 12 female Heads of Post (35%)
## Employment Of People With A Disability
The FCO is a member of the Business Disability Forum
(BDF), a not-for-profit member organisation that makes it easier and more rewarding to do business with and employ disabled people in the UK. The FCO is currently ranked Silver under the BDF Disability Standard Benchmarking scheme. The FCO was also awarded Disability Confident Leader status by the Department of Work and Pensions in March 2017. In April 2018 the FCO achieved a Silver award (up from Bronze in 2017) in the Workplace Wellbeing Index run by the mental health charity, MIND. Disability support for UK based staff is provided by the Disability Policy and Support Team in the Human Resources Directorate. In line with wider Civil Service practice all staff who require them have a Workplace Adjustment Passport. When required the Disability Policy and Support Team seek advice from the Civil Service Workplace Adjustment Team and use the services of expert disability providers for advice and assessments. Terms and conditions for Local Staff working at FCO Posts abroad are governed by local law but advice and support on disability policy issues is also available from the Disability Policy and Support Team. Disabilities disclosed by UK-based staff cover a broad range of conditions, including neuro-diverse conditions (e.g. dyslexia, dyspraxia and Asperger's), mobility issues and hearing or visual impairments. The provision of workplace adjustments for disabled staff can include an expert disability assessment; the supply of specialised office equipment and/or provision of IT software and hardware and appropriate training. More general awareness training and support is also available to disabled staff, their managers and (where appropriate) team colleagues. Staff who are profoundly deaf or with a significant hearing impairment can additionally request the support of qualified British Sign Language interpreters and lip speakers.
## Staff Composition—Uk Based / Local Based Split By Gender
Gender
Number of Local Staff
Number of UK based Staff
Female
3452
2325
Male
4703
2730
Total
8155
5055
These figures exclude all staff working for other Whitehall Partners on the FCO platform overseas, including Wilton Park and FCO Services.
## Percentage Of Sms By Gender
| 2017-18 | 2018-19 |
|-----------|-----------|
| % | % |
| Grade | |
| Total | |
| Female | % male |
| Total | |
| Female | % male |
| SMS1 | |
| 286 | |
| 38% | 62% |
| 300 | |
| 38% | 62% |
| SMS2 | |
| 105 | |
| 23% | 77% |
| 104 | |
| 27% | 73% |
| SMS3 | |
| 28 | |
| 25% | 75% |
| 25 | |
| 28% | 72% |
| SMS4 | |
| 3 | |
| 0% | 100% |
| 3 | |
| 0% | 100% |
| Total | 422 |
These figures exclude all staff working for other Whitehall Partners on the FCO platform overseas, including Wilton Park and FCO Services.
## Expenditure On Consultancy And Temporary Staff (Fco Only)
The 2018-19 spend figure on Consultancy is £1,927,753 (17-18, £1,261,979). Consultancy expenditure in 2018-19 reflects aggregated spend across our global network. This spend consists of requirements for management consultancy to support Corporate Capability (the Diplomacy 20:20 programme), Consultancy in our overseas network on ad-hoc legal matters where specialist local advice is needed as well as a myriad of other specialist requirements. All new proposals for Consultancy projects are subject to business case clearance procedures in line with Cabinet Office guidelines. The FCO has a policy of only using Hayes to recruit consultancy staff. A small number of such staff were recruited via other agencies to support major projects, this spend is not material. Spend on UK Temporary Staff (defined as contingent labour) through Hayes was £5.07m (17-18 £3.55m).
1. Consultancy expenditure incurred by the department's executive agencies and ALBs, along with any contingent labour expenditure incurred by the department's executive agencies and ALBs is considered to be immaterial and is not disclosed
## Sick Absence Rates
The average number of working days lost (for FCO Civil Servants ) is 3.3. The primary reason for short-term absence remains respiratory issues, and for long-term absence the primary reason remains mental health conditions. This is consistent with last year's figures and the wider Civil Service. Overall, our sickness absence rates are below the Civil Service Average and almost 75% of staff have taken no sickness absence at all in the period.
| Sickness Absence in the FCO | 2018 |
|--------------------------------|------------------------|
| 1 | |
| Working Days Lost (Short Term) | 7006 |
| Working Days Lost (Long Term) | 8867 |
| Total Working Days Lost | 15,873 |
| 3.3 | Average Annual Working |
| Days lost per staff year | |
| 73.5% | Percentage of staff |
| with no sick leave | |
1. Calendar year 2018. Due to delays between absence and recording on our staff management system, it is our standard practice to report a year's worth of absence data on a quarterly basis. The last quarterly period for central reporting was December 2018
2. Figures are for UK Based FCO civil servants. As of 2017, the annual absence figures no longer include staff working for FCO Services or Wilton Park
## Short Term Staff Loans
Career experience outside of the FCO helps to build expertise and organisational agility. Interchange (staff loans) to and from other Government departments offer staff the opportunity to keep perspectives fresh, build new skills and forge stronger networks of influence. In 2018-19 interchange moves were particularly important in allowing the FCO to loan staff to support HMG requirements on EU Exit preparations as well as receiving, on inward interchange, additional staff required to manage the FCO's internal EU Exit work. The majority of interchange moves are into administrative and policy roles.
## Outward Interchange
| | | Timeframe over 1 year | Timeframe under 1 year |
|-----|----|-------------------------|--------------------------|
| A2 | 4 | A2 TDs | 0 |
| B3 | 4 | B3 TDs | 0 |
| C4 | 27 | C4 TDs | 0 |
| C5 | 14 | C5 TDs | 0 |
| D6 | 26 | D6 TDs | 0 |
| D7 | 28 | D7 TDs | 0 |
| SMS | 25 | SMS TDs | 2 |
## Inward Interchange
| | | Timeframe over 1 year | Timeframe under 1 year |
|------|----|-------------------------|--------------------------|
| A2 | 4 | A2 TDs | 0 |
| B3 | 21 | B3 TDs | 3 |
| C4 | 90 | C4 TDs | 8 |
| C5 | 44 | C5 TDs | 1 |
| D6 | 84 | D6 TDs | 8 |
| D7 2 | 7 | D7 TDs | 0 |
| SMS | 17 | SMS TDs | 1 |
1 TD relates to temporary duties under 1 year
## Off Payroll Engagements
for all off-payroll engagements as of 31 March 2019 for more than £245 per day and that last longer than six months
| | FCO | Agency | NDPBs |
|--------------------------------------|-------|----------|-----------------------------------------|
| 73 | 0 | 0 | No. of existing engagements |
| as of 31 March 2019 | | | |
| Of which : | | | |
| 35 | 0 | 0 | No. that have existed for less than |
| one year at time of reporting | | | |
| 34 | 0 | 0 | No. that have existed for between one |
| and two years at time of reporting | | | |
| 3 | 0 | 0 | No. that have existed for between two |
| and three years at time of reporting | | | |
| 0 | 0 | 0 | No. that have existed for between three |
| and four years at time of reporting | | | |
| 1 | 0 | 0 | No. that have existed for four or |
| more years at time of reporting | | | |
For all new off-payroll engagements, or those that reached six months in duration between 1 April 2018 and 31 March 2019, for more than £245 per day and that lasts longer than six months.
| | FCO | Agency | NDPBs |
|-----------------------------------------|-------|----------|---------------------------------------|
| 41 | 0 | 0 | No. of new engagements, or those that |
| reached six months in duration, between | | | |
| 1 April 2018 and 31 March 2019 | | | |
| Of which : | | | |
| No. assessed as caught by IR35 | 0 | 0 | 0 |
| 41 | 0 | 0 | No. assessed as not caught by |
| IR35 [out of scope of IR35] | | | |
| Of which : | | | |
| 9 | 0 | 0 | No. engaged directly (via PSC |
| contracted to department) and | | | |
| are on the department payroll | | | |
| 9 | 0 | 0 | No. of engagements reassessed |
| for consistency/ assurance | | | |
| purposed during the year | | | |
| 0 | 0 | 0 | No. of engagements that saw a |
| change to IR35 status following | | | |
| the consistency review | | | |
For any off-payroll engagements of board members, and/or senior officials with significant financial responsibility between 1 April 2018 and 31 March 2019
FCO
Agency
NDPBs
0
0
0
No of off-payroll engagements of board members and/or senior officials with significant financial responsibility during the financial year
14
2
5
No of officials that have been deemed "board members and/or senior officials with significant financial responsibility" during the financial year including offpayroll and on-payroll engagements
## Exit Package Scheme (Subject To Audit) Local Staff Ves Scheme
Exit package
cost band
Number of
compulsory redundancies
Number
of other departures agreed
Total number
of exit packages by cost band
<£10,000
1
36
37
2
31
33
£10,000— £25,000
1
9
10
£25,000— £50,000
-
4
4
£50,000— £100,000
-
-
-
£100,000-
£150,000
-
1
1
£150,000- £200,000
4
81
85
Total number of exit packages
54
1,473
1,527
Total cost /£000
1 Centrally run Local Staff VES Scheme, not the Civil Service Pension scheme. HMT agreed the scheme in December 2017.
## Uk Based Staff Voluntary Redundancy
Exit package cost band
Number of compulsory redundancies
Number of other departures agreed
Total number of exit packages by cost band
<£10,000
-
-
-
£10,000—£25,000
-
1
1
£25,000—£50,000
-
-
-
£50,000—£100,000
-
-
-
£100,000- £150,000
-
-
-
£150,000- £200,000
-
-
-
-
1
1
Total number of exit packages Total cost /£000
-
21
21
## Facility Time Publication Requirements - Table 1: Relevant Union Officials
Full-time equivalent
employee number
Number of employees who were
relevant union officials during
1 April 2018- 31 March 2019 10
3
Number of employees who were relevant union officials employed during 1 April 2018—31 March 2019 that spent a) 0%, b) 1%-50% c) 51%-99% or d) 100% of their working hours on facility time.
Percentage of time
Number of Employees
0%
0
1-50%
10
51-99%
0
100%
0
Figure
The total cost of facility time
£95,315
The total pay bill
£378,461,367 0.03%
The percentage of the total pay bill spent on facility time
| 0.53% |
|---------------------------------------------------|
| as a percentage of total paid facility time hours |
This data includes FCO, FCO Services and Wilton Park. The TU Officials represent all 3 entities
## Parliamentary Accountability And Audit Report Statement Of Parliamentary Supply Summary Of Resource And Capital Outturn
| | | | | Estimate | Outturn | Outturn |
|--------------------------------|-----------|-----------|-------------------|------------|-----------|-----------|
| Note | Voted | Non-Voted | Total | Voted | Non-Voted | Total |
| Saving / | | | | | | |
| £000 | £000 | £000 | £000 | £000 | £000 | £000 |
| Departmental Expenditure Limit | | | | | | |
| Resource | SoPS 1.1 | 2,429,738 | - | 2,429,738 | 2,410,132 | - |
| Capital | SoPS 1.2 | 156,595 | - | 156,595 | 141,744 | - |
| Annually Managed Expenditure | | | | | | |
| Resource | SoPS 1.1 | 200,000 | - | 200,000 | 31,319 | - |
| Capital | - | - | - | - | - | - |
| Total Budget | 2,786,333 | - | 2,786,333 | 2,583,195 | - | 2,583,195 |
| Non-Budget | | | | | | |
| Resource | | | | | | |
| - | - | - | - | - | - | - |
| Total | 2,786,333 | - | 2,786,333 | 2,583,195 | - | 2,583,195 |
| Total | | | | | | |
| Resource | | | | | | |
| SoPS 1.1 | 2,629,738 | - | 2,629,738 | 2,441,451 | - | 2,441,451 |
| Total | | | | | | |
| Capital | | | | | | |
| SoPS 1.2 | 156,595 | - | 156,595 | 141,744 | - | 141,744 |
| Total | 2,786,333 | - | 2,786,333 | 2,583,195 | - | 2,583,195 |
| Note | Estimate | Outturn | Saving / (Excess) | Outturn | | |
| £000 | £000 | £000 | £000 | | | |
| Net Cash | | | | | | |
| Requirement | | | | | | |
| SoPS 3 | 2,474,850 | 2,316,611 | 158,239 | 1,920,653 | | |
| Administration Costs | 193,048 | 128,552 | 176,451 | | | |
The outturn for Annually Managed Expenditure (AME) covers demand-led and volatile spending, which falls into four main areas: Impairments and Provisions, Unrealised Gains/Losses on Foreign Exchange, Tax Reimbursements and Other (e.g. actuarial gains/losses on Pension schemes, depreciation on donated assets). Parliamentary control of FCO spending applies to:
»
»
The net resource DEL requirement;
»
»
The net capital DEL requirement;
»
»
The net resource AME requirement; and,
»
»
The net cash requirement for the Estimate as a whole
In addition, although not a separate voted limit, any breach of the administration budget will also result in an excess vote. Explanations of variances between estimate and outturn are given in the Financial Review contained within the Accountability Report. The notes following these main schedules form part of these financial statements.
| 2018–19 | 2017–18 |
|-----------|-----------|
| (Excess) | |
| Total | |
| 2018–19 | 2017–18 |
## Notes To The Statement Of Parliamentary Supply (Audited) Sops 1 Net Outturn Sops 1.1 Analysis Of Departmental Group Net Resource Outturn By Section
| | | | | | | Administration | Programme |
|---------------------------------|---------------------|---------------------|-------------------|---------------------|---------------------|------------------|-------------|
| Virements | Total | Gross | Income | Net | Gross | Income | Net |
| £000 | £000 | £000 | £000 | £000 | £000 | £000 | £000 |
| Departmental Expenditure Limits | | | | | | | |
| A: Administration | | | | | | | |
| and programme | 382,563 | (254,011) | 128,552 | 971,777 | (92,387) | 879,390 | 1,007 |
| expenditure | | | | | | | |
| B: Programme | | | | | | | |
| and international | - | - | - | 382,109 | - | 382,109 | 382,109 |
| organisations grants | | | | | | | |
| C: British Council | - | - | - | 188,300 | - | 188,300 | 188,300 |
| D: Net Funding for | | | | | | | |
| NDPBs | | | | | | | |
| - | - | - | 5,779 | - | 5,779 | 5,779 | 6,573 |
| E. Prosperity | | | | | | | |
| Fund Programme | - | - | - | 58,090 | - | 58,090 | 58,090 |
| Expenditure | | | | | | | |
| F: Conflict Prevention | | | | | | | |
| Programme | - | - | - | 433,449 | (9,752) | 423,697 | 423,697 |
| Expenditure | | | | | | | |
| G: Peacekeeping | - | - | - | 344,215 | - | 344,215 | 344,215 |
| 382,563 | | | | | | | |
| (254,011) | | | | | | | |
| 128,552 | | | | | | | |
| 2,383,719 | (102,140) 2,281,580 | 2,410,132 2,429,738 | 19,606 | 19,606 | 2,207,708 | | |
| Annually Managed Expenditure | | | | | | | |
| G: AME Programme | - | - | - | (3,106) | - | (3,106) | (3,106) |
| H: Reimbursement of | | | | | | | |
| certain duties, taxes | - | - | - | 34,425 | - | 34,425 | 34,425 |
| and licence fees | | | | | | | |
| - | - | - | 31,319 | - | 31,319 | 31,319 | 200,000 |
| Total | 382,563 | (254,011) | 128,552 2,415,038 | (102,140) 2,312,899 | 2,441,451 2,629,738 | 188,287 | 188,287 |
In order to provide greater clarity, for 2018-19 the FCO's spending through the Prosperity Fund is shown on a separate section rather than embedded within sections A and B. This inserts a new line in SOPS 1.1 and 1.2 as Section E. The prior year cross-Whitehall spending on resource and capital has also been split between the three funds.
| | 2018–19 | 2017–18 |
|-------------|-----------|-------------|
| Outturn | Estimate | Outturn |
| Net Total | | |
| compared | | |
| to estimate | | |
| Net Total | adjusted | |
| compared | for | |
| Total | Net Total | to estimate |
## Sops 1.2 Analysis Of Departmental Group Net Capital Outturn By Section
| | | Outturn | Estimate | Outturn |
|------------------------------------|----------|-----------|------------|-----------|
| Gross | Income | Net | Net | Net Total |
| £000 | £000 | £000 | £000 | £000 |
| Departmental Expenditure Limits | | | | |
| A: Administration and programme | | | | |
| expenditure | | | | |
| 147,844 | (25,162) | 122,682 | 138,184 | 15,502 |
| B: Programme and international | | | | |
| organisations grants | | | | |
| 2,236 | - | 2,236 | 2,000 | (236) |
| C: British Council - Capital grant | - | - | - | - |
| E: Prosperity Programme | | | | |
| Expenditure | | | | |
| - | - | - | - | - |
| E: Conflict Prevention Programme | | | | |
| Expenditure | | | | |
| 16,827 | - | 16,827 | 16,411 | (416) |
| F: Peacekeeping | - | - | - | - |
| 166,906 | (25,162) | 141,744 | 156,595 | 14,851 |
## Sops 2 Reconciliation Of Departmental Group Outturn To Net Operating Cost Sops 2.1 Reconciliation Of Net Resource Outturn To Net Operating Cost
Total resource outturn in Statement of Parliamentary Supply
Budget
1.1
2,441,451
2,349,741
Non-Budget
-
-
Add:
Capital Grants and Capital Grants in Kind
1.2
2,236
7,345
Research and Development
1.2
6,447
6,056
Other
16,827
9,012
Less:
Income payable to the Consolidated Fund
4.1
(2,791)
(2,096)
Net Profit/Loss on Disposal
(21,448)
(382,770)
Net Operating Expenditure in CSCNE
CSCNE
2,442,722
1,987,288
2018–19
2017–18
Net Total
Net
compared to
compared to
Estimate
Estimate
adjusted for
Virements
SoPS Note
2018–19
2017–18
£000
£000
## Sops 3 Reconciliation Of Departmental Group Net Resource Outturn To Net Cash Requirement
| Resource Outturn | SoPS 1.1 | 2,629,738 | 2,441,451 | 188,287 | 2,349,741 |
|-------------------------------------------------------|------------|-------------|-------------|-----------|-------------|
| Capital Outturn | SoPS 1.2 | 156,595 | 141,744 | 14,851 | (251,901) |
| Accruals to Cash Adjustments | | | | | |
| Adjustments to remove non-cash items: | | | | | |
| Depreciation / Amortisation | 3 | (231,460) | (142,539) | (88,921) | (124,093) |
| New provisions and adjustments to previous | | | | | |
| provisions | | | | | |
| 3 | (15,000) | (9,828) | (5,172) | (10,965) | |
| New impairments and adjustments to previous | | | | | |
| impairments | | | | | |
| 3 | - | (52,527) | 52,527 | (14,943) | |
| Other non-cash items (except profit on disposal of | | | | | |
| PPE) | | | | | |
| (110,000) | 15,512 | (125,512) | (75,582) | | |
| Capital Grant In Kind | - | - | - | (2,614) | |
| Adjustments for designated ALBs: | | | | | |
| Remove voted resource and capital | (6,573) | (5,779) | (794) | (6,166) | |
| Add cash grant-in-aid | CSCNE | 6,550 | 6,550 | - | 6,220 |
| Adjustments to reflect movements in working balances: | | | | | |
| Increase/(decrease) in inventory | CSCF | - | (73) | 73 | (178) |
| Increase/(decrease) in receivables | - | (8,694) | 8,694 | (1,748) | |
| (Increase)/decrease in payables | 30,000 | (81,151) | 111,151 | 46,663 | |
| Use of provisions | 14 | 15,000 | 10,548 | 4,452 | 5,958 |
| Adjustments re pension schemes | 16 | - | 1,492 | (1,492) | 552 |
| Other Adjustments | - | (95) | 95 | (291) | |
| Removal of Non-Voted Budget Items | | | | | |
| Consolidated Fund Standing Services | - | - | - | - | |
| Other Adjustments | - | - | - | - | |
| Net Cash Requirement | 2,474,850 | 2,316,611 | 158,239 | 1,920,653 | |
| | | | 2018-19 | 2017–18 |
|-----------|-----------|---------|-----------|-----------|
| Note | Estimate | Outturn | Saving/ | Outturn |
| (Excess) | | | | |
| £000 | £000 | £000 | £000 | |
| 2,474,850 | 2,316,611 | 158,239 | 1,920,653 | |
## Sops 4 Income Payable To The Consolidated Fund Sops 4.1 Analysis Of Income Payable To The Consolidated Fund
In addition to income retained by the FCO, the following income relates to the FCO and is payable to the Consolidated Fund
| Operating income outside the ambit of the Estimate | 2,791 | 2,791 | 2,096 | 2,096 |
|------------------------------------------------------|---------|---------|---------|---------|
| Excess cash surrenderable to the Consolidated Fund | - | - | - | - |
| Total income payable to the Consolidated Fund | 2,791 | 2,791 | 2,096 | 2,096 |
Consolidated Fund income shown in note 4.1 above does not include any amounts collected by the FCO where it was acting as agent for the Consolidated Fund rather than as principal.
The amounts collected as agent for the Consolidated Fund (which are excluded from the FCO's income) were:
## Sops 4.2 Consolidated Fund Income
| Consular fees | 1,840 | 1,780 |
|-------------------------------------------------------------------------|---------|---------|
| Miscellaneous income | 12 | 27 |
| Amount payable to the Consolidated Fund | 1,852 | 1,807 |
| Balance held at the start of the year | 506 | 394 |
| Payments into Consolidated Fund | (1,982) | (1,695) |
| Balance held on trust/due from Consolidated Fund at the end of the year | 376 | 506 |
| | | 2018-19 | 2017-18 |
|---------|----------|-----------|-----------|
| Income | Receipts | Income | Receipts |
| £000 | £000 | £000 | £000 |
| 2018-19 | 2017-18 | | |
| £000 | £000 | | |
| 2,358 | 2,201 | | |
## Parliamentary Accountability Disclosures (The Following Sections Are Subject To Audit)
Losses and Special Payments
Losses
2018–19
2017–18
Core Department
Departmental
Number of Cases
Core Department
& Agencies
Group
£000
£000
Cash losses
2,462
2,462
5
110
110
4
Administrative write-offs
7
7
1
491
491
17
Stores losses
11
11
3
230
230
3
Fruitless payments and constructive losses
781
781
2
-
-
-
Losses for fraud, theft, arson or sabotage
-
-
-
-
-
-
Claims waived and abandoned
191
191
3
11
11
-
Total
3,452
3,452
14
842
842
24
All Frauds, whether resulting in a loss to the FCO or not, are published in the FCO's contribution to the Cabinet Office's quarterly fraud report and on gov.uk. https://www.gov.uk/goverment/publications//fco-counter-fraud-losses-april-2018-to-march-2019
## Procurement Of Replacement Global Connectivity Services Contract
In November 2018 the FCO announced its intent to award Vodafone a contract to supply global connectivity services to FCO, DFID and British Council. The contract was estimated to be worth circa £90.5m over 7 years. A claim was issued by Fujitsu, an unsuccessful bidder, in December 2018. The claim alleged errors in the technical and financial evaluation of the bids. During the course of the proceedings, the FCO discovered that there were flaws in the normalisation of two of the bids during the financial evaluation. The FCO considered that the technical requirements were clear and that the evaluation was correct. However, it accepted that a Court could have decided differently after a lengthy and costly trial. The FCO considered that there was benefit (to the procurement and the ultimate contract with the winning bidder) in ensuring that its requirements were completely clear. In addition, given the time since commencement of the procurement, the Authority considered that it would now be sensible to take advantage of technological developments which were not previously included. The FCO therefore decided not to award a contract and considered that the fairest and most proportionate option was to initiate a new procedure. The FCO considered that any other option would have been highly likely to result in protracted and expensive litigation, which was considered undesirable given the urgency to place this contract. This action led to Fujitsu withdrawing their claim against the FCO. The FCO has agreed to pay the legal costs of Fujitsu, and these are included within the Special Payments. The FCO also agreed to compensate Vodafone for the costs associated with the detailed work on contract engrossment following them being informed they were the preferred bidder. The total payment made to Vodafone as a consequence, and shown here as a fruitless payment, is £740k. These payments avoid the costs to the taxpayer of a lengthy legal case, and allows FCO to continue with a new procurement exercise and appoint a supplier for this contract.
## Foreign Exchange Cash Loss
The FCO had a realised exchange loss of £2.4m arising from the day-to-day management of its operations around the globe. Payments are made, and income received, in over 150 currencies on a daily basis to cover a number of operational and contractual liabilities. These foreign currencies are translated to sterling using the corporate exchange rate of the month the transaction ocurred. Where the market rate differs from the corporate rate a gain or loss results. Each transaction in foreign currency incurs some form of gain or loss when converted to GBP. The movement for the year is reported here if a net loss is recorded. In 2017-18 there was a net realised gain of £6.2m.
Special Payments
2018–19
2017–18
Core Department &
Agencies
Total number of special payments
5
5
4
4
Total value of special payments (£000)
395
395
31
31
These include compensation and ex-gratia payments in respect of personal injury and severance payments. Severance payments are paid under certain circumstances to employees, contractors and others outside of normal statutory or contractual requirements, when leaving employment in the public service, whether they resign, are dismissed, or reach an agreed termination of contract.
| Departmental | Number of Cases |
|--------------------|-------------------|
| & Agencies | Group |
| £000 | £000 |
| Departmental Group | Core Department & |
| Agencies | |
## Gifts
Additional HM Treasury (HMT) guidance on capital donations has revised the approval process the FCO has with HMT. Full details of this clarification can be found in Note 1.16 of the Accounts. The impact is that where donations of assets have the nature of a grant, rather than a gift, the FCO follows the HMT guidance on handling grants-in-kind. The FCO recognises Parliament's scrutiny role and will continue to inform Parliament of these by Written Ministerial Statement, along with all future gifts. For the year ended 31 March 2019
there were no gifts given that exceeded £300k.
## Fees And Charges
The FCO is required, in accordance with HMT's Managing Public Money, to disclose results for the areas of its activities where fees and charges are levied. The information set out below is for fees and charges purposes and is not intended to meet the requirements of IFRS 8 Operating Segments. The power to charge fees for consular work is set out in the Consular Fees Act 1980. Under the current version of the Act, the FCO is permitted to take into account the expenses incurred in relation to exercising other consular functions. By policy, there is a cross-subsidy from consular fees in the UK to support the costs of consular services and issuing emergency travel documents overseas. The current fees are prescribed in the Consular Fees (Amendment) Order 2016 No. 373 and the Consular Fees (Amendment) Order 2019 No. 182. In line with HMT guidelines, the fees charged are reviewed annually. The fees and charges table below lists the services FCO provides to external and public sector customers where the full cost exceeds £1 million. In accordance with HMT guidance in Managing Public Money, it is FCO's financial objective to recover the full cost of providing consular services. Disclosed in the table is the income received, the full cost incurred and the amount of any surplus or deficit between the income received or full cost charged. In any year surpluses and deficits can arise for a number of reasons, including demand fluctuations or variations to FCO costs. The fees are grouped into the three categories: Legalisation fees include those fees paid for legalising documents; the fees for Emergency Travel Documents and Emergency Passports; and Notarial and Documentary Services. Notarial and Documentary services include services such as administering an oath or issuing a certificate of no impediment to marriage.
## Consular Premiums
The table also includes the amounts received from the Consular Premiums: a reserve claim transferred to the FCO from HMT through the Supplementary Estimate process each year. The Consular Premium, which is based on the income from a premium (currently £15.50) on the cost of standard passport applications, is used to fund non-fee-bearing consular services provided by our consular officers in London and in our Embassies and Consulates overseas. The FCO may also receive HMT reserve funding from the Emergency Disaster Relief Fund (EDRF) to contribute to the cost of responding to major crises overseas. Claims against this fund are calculated on a cost recovery basis. No claim was made against the EDRF in 2018-19.
## Analysis Of Consular Fees And Charges Where The Full Cost Of Providing The Service Exceeds £1 Million
| £000 | £000 | £000 | £000 | £000 | £000 |
|--------------------------------------------|-----------|-------------------|------------------|-----------|-------------------|
| Income / Funding | Full Cost | Surplus/(Deficit) | Income / Funding | Full Cost | Surplus/(Deficit) |
| Legalisation Office | 22,893 | 2,944 | 19,949 | 21,557 | 3,332 |
| Emergency Travel Documents | 3,086 | 12,537 | (9,451) | 3,019 | 12,919 |
| Notarial & Documentary Services | 1,840 | 6,047 | (4,207) | 1,780 | 5,486 |
| Total for fee-bearing services | 27,819 | 21,528 | 6,291 | 26,356 | 21,737 |
| Consular Premium | 81,154 | 80,235 | | | |
| Consular and Crisis Assistance and Support | 96,829 | (15,675) | 89,702 | (9,467) | |
| Total | 108,973 | 118,357 | (9,384) | 106,591 | 111,439 |
| 2018–19 | 2017–18 | | | | |
## Financial Guarantees And Indemnities
The FCO has entered into the following quantifiable contingent liabilities by offering indemnities. These are given on behalf of the British Council for art exhibitions overseas which are not commercial activities that fall outside the FCO's core activities. Any decision to offer an indemnity is only given on the basis of a cost-benefit analysis. As part of the agreement between FCO, British Council and HMT, the British Council will meet the first £3m of any claim. These liabilities have increased from £1,100k as at 31 March 2018 to
£3,200k as at 31 March 2019. None of these is a contingent liability within the meaning of IAS 37 since the likelihood of a transfer of economic benefit in settlement is too remote. They are disclosed here under parliamentary reporting requirements, and are measured following the requirements of IAS 39.
## Indemnities
| 1 April 2018 | Increase in year | Liabilities crystallised in | Obligations expired in year | 31 March 2019 |
|-------------------------------|---------------------|--------------------------------|--------------------------------|------------------|
| Amount reported to Parliament | | | | |
| (£000) | (£000) | year (£000) | (£000) | (£000) |
| by Departmental Minute | | | | |
| (£000) | | | | |
| 1,100 | 2,500 | - | (400) | 3,200 |
## Remote Contingent Liabilities
The FCO has no liabilities for which the likelihood of a transfer of economic benefit in settlement is too remote to meet the definition of a contingent liability. Contingent liabilities within the meaning of IAS 37 can be found in Note 15 in the Annual Accounts.
Audit Fees The Accounts have been audited by the Comptroller and Auditor General. The audit fee for the Core Department is £290,000 (2017-18: £280,000) in total. The non-cash audit fee for Wilton Park was £27,000 (2017-18: £25,500). The total cost of audit for all the bodies across the Departmental Group is £353,750 of which £36,750 is a cash charge and £317,000 is a notional charge (2017-18: total £342,000 comprising £36,000 cash costs and £306,000 notional charge). The audit of the designated bodies was carried out by the National Audit Office (NAO) under various statutes, and the costs are included in the figures disclosed above. Further details are given in the accounts of the bodies concerned. In addition, the NAO received fees indirectly from FCO of £56,721 during 2018-19 for carrying out international technical co-operation advisory services via other organisations managing FCO programmes. For comparison, in 2017-18 the FCO directly paid the NAO £39,842. In 2017-18 indirect fees totalled £79,375, of which £1,200 came indirectly from Westminster Foundation for Democracy.
Regularity During 2018-19 the FCO complied with the concept of regularity, which specifically encompasses compliance with all relevant legislation, delegated authorities and the guidance set out in HMT's Managing Public Money publication. The importance of operating with regularity and the need for efficiency, economy, effectiveness and prudence in the administration of public resources to secure value for public money, is the responsibility of FCO's Principal Accounting Officer. Treasury approval has been obtained for all novel, contentious or repercussive transactions relating to 2018-19.
Simon McDonald
8 July 2019 Accounting Officer Foreign and Commonwealth Office King Charles Street London SW1A 2AH
## The Certificate Of The Comptroller And Auditor General To The House Of Commons Opinion On Financial Statements
I certify that I have audited the financial statements of the Foreign and Commonwealth Office and of its Departmental Group for the year ended 31 March 2019 under the Government Resources and Accounts Act 2000. The Department comprises the core Department and its agencies. The Departmental Group consists of the Department and the bodies designated for inclusion under the Government Resources and Accounts Act 2000 (Estimates and Accounts) Order 2019. The financial statements comprise: the Department's and Departmental Group's Statements of Comprehensive Net Expenditure, Financial Position, Cash Flows, Changes in Taxpayers' Equity; and the related notes, including the significant accounting policies. These financial statements have been prepared under the accounting policies set out within them. I have also audited the Statement of Parliamentary Supply and the related notes, and the information in the Accountability Report that is described in that report as having been audited. In my opinion:»
» the financial statements give a true and fair view of the state of the Department's and the Departmental Group's affairs as at 31 March 2019 and of the Department's net expenditure for the year and Departmental Group's total comprehensive net expenditure for the year then ended; and»
» the financial statements have been properly
prepared in accordance with the Government Resources and Accounts Act 2000 and HM Treasury directions issued thereunder.
## Opinion On Regularity
In my opinion, in all material respects:»
» the Statement of Parliamentary Supply properly
presents the outturn against voted Parliamentary control totals for the year ended 31 March 2019 and shows that those totals have not been exceeded; and»
» the income and expenditure recorded in the
financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them.
## Basis Of Opinions
I conducted my audit in accordance with International Standards on Auditing (ISAs) (UK) and Practice Note 10 'Audit of Financial Statements of Public Sector Entities in the United Kingdom'. My responsibilities under those standards are further described in the Auditor's responsibilities for the audit of the financial statements section of my certificate. Those standards require me and my staff to comply with the Financial Reporting Council's Revised Ethical Standard
2016. I am independent of the Foreign and Commonwealth Office in accordance with the ethical requirements that are relevant to my audit and the financial statements in the UK. My staff and I have fulfilled our other ethical responsibilities in accordance with these requirements. I believe that the audit evidence I have obtained is sufficient and appropriate to provide a basis for my opinion.
## Conclusions Relating To Going Concern
I am required to conclude on the appropriateness of management's use of the going concern basis of accounting and, based on the audit evidence obtained, whether a material uncertainty exists related to events or conditions that may cast significant doubt on the group's and the Foreign and Commonwealth Office's ability to continue as a going concern for a period of at least twelve months from the date of approval of the financial statements. If I conclude that a material uncertainty exists, I am required to draw attention in my auditor's report to the related disclosures in the financial statements or, if such disclosures are inadequate, to modify my opinion. My conclusions are based on the audit evidence obtained up to the date of my auditor's report. However, future events or conditions may cause the entity to cease to continue as a going concern. I have nothing to report in these respects.
## Responsibilities Of The Accounting Officer For The Financial Statements
As explained more fully in the Statement of Accounting Officer's Responsibilities, the Accounting Officer is responsible for the preparation of the financial statements and for being satisfied that they give a true and fair view.
## Auditor'S Responsibilities For The Audit Of The Financial Statements
My responsibility is to audit, certify and report on the financial statements in accordance with the Government Resources and Accounts Act 2000. An audit involves obtaining evidence about the amounts and disclosures in the financial statements sufficient to give reasonable assurance that the financial statements are free from material misstatement, whether caused by fraud or error. Reasonable assurance is a high level of assurance, but is not a guarantee that an audit conducted in accordance with ISAs (UK) will always detect a material misstatement when it exists. Misstatements can arise from fraud or error and are considered material if, individually or in the aggregate, they could reasonably be expected to influence the economic decisions of users taken on the basis of these financial statements. As part of an audit in accordance with ISAs (UK), I exercise professional judgment and maintain professional scepticism throughout the audit. I also:
»
» identify and assess the risks of material misstatement of
the financial statements, whether due to fraud or error, design and perform audit procedures responsive to those risks, and obtain audit evidence that is sufficient and appropriate to provide a basis for my opinion. The risk
of not detecting a material misstatement resulting from
fraud is higher than for one resulting from error, as fraud may involve collusion, forgery, intentional omissions, misrepresentations, or the override of internal control.
»
» obtain an understanding of internal control relevant
to the audit in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the group's and the Foreign and Commonwealth Office's internal control.
»
» evaluate the appropriateness of accounting policies
used and the reasonableness of accounting estimates and related disclosures made by management.
»
» evaluate the overall presentation, structure and
content of the financial statements, including the disclosures, and whether the consolidated financial statements represent the underlying transactions and events in a manner that achieves fair presentation.
»
» obtain sufficient appropriate audit evidence regarding
the financial information of the entities or business activities within the Group to express an opinion on the group financial statements. I am responsible for the direction, supervision and performance of the group audit. I remain solely responsible for my audit opinion.
I communicate with those charged with governance regarding, among other matters, the planned scope and timing of the audit and significant audit findings, including any significant deficiencies in internal control that I identify during my audit. I am required to obtain evidence sufficient to give reasonable assurance that the Statement of Parliamentary Supply properly presents the outturn against voted Parliamentary control totals and that those totals have not been exceeded. The voted Parliamentary control totals are Departmental Expenditure Limits (Resource and Capital), Annually Managed Expenditure (Resource and Capital), Non-Budget (Resource) and Net Cash Requirement. I am also required to obtain evidence sufficient to give reasonable assurance that the expenditure and income recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them.
## Other Information
The Accounting Officer is responsible for the other information. The other information comprises information included in the Annual Report, other than the parts of the Accountability Report described in that report as having been audited, the financial statements and my auditor's report thereon. My opinion on the financial statements does not cover the other information and I do not express any form of assurance conclusion thereon. In connection with my audit of the financial statements, my responsibility is to read the other information and, in doing so, consider whether the other information is materially inconsistent with the financial statements or my knowledge obtained in the audit or otherwise appears to be materially misstated. If, based on the work I have performed, I conclude that there is a material misstatement of this other information, I am required to report that fact. I have nothing to report in this regard.
## Opinion On Other Matters
In my opinion:
»
» the parts of the Accountability Report to be
audited have been properly prepared in accordance with HM Treasury directions made under the Government Resources and Accounts Act 2000;
»
» in the light of the knowledge and understanding
of the group and the parent and its environment
obtained in the course of the audit, I have not identified any material misstatements in the Performance Report or the Accountability Report; and
»
» the information given in the Performance and
Accountability Reports for the financial year for which the financial statements are prepared is consistent with the financial statements.
## Matters On Which I Report By Exception
I have nothing to report in respect of the following matters which I report to you if, in my opinion:
»
» adequate accounting records have not been kept
or returns adequate for my audit have not been received from branches not visited by my staff; or
»
» the financial statements and the parts of the
Accountability Report to be audited are not in agreement with the accounting records and returns; or
»
» I have not received all of the information and
explanations I require for my audit; or
»
» the Governance Statement does not reflect
compliance with HM Treasury's guidance.
## Report
I have no observations to make on these financial statements.
Gareth Davies
10 July 2019
Comptroller and Auditor General National Audit Office 157-197 Buckingham Palace Road Victoria London SW1W 9SP
## Accounts Consolidated Statement Of Comprehensive Net Expenditure
This account shows key areas of expenditure and income as detailed in the associated notes. Other comprehensive net expenditure directly impacts the general fund and therefore is not reclassified in net operating costs.
| | | | | Note | Core Department & |
|-----------------------------------------------|-----------|-----------|-----------|-----------|----------------------|
| Revenue from contracts with customers | 4 | (326,724) | (326,724) | (299,223) | (299,223) |
| Other operating income | 4 | - | - | (2,614) | (2,614) |
| Total operating income | (326,724) | (326,724) | (301,837) | (301,837) | |
| Operating Expenditure | | | | | |
| Staff costs | 3 | 499,529 | 502,529 | 448,912 | 451,561 |
| Grants | 3 | 1,252,818 | 1,266,356 | 1,175,733 | 1,185,029 |
| Subscriptions to international organisations | 3 | 148,009 | 148,009 | 142,380 | 142,380 |
| Rentals under operating leases | | | | | |
| 3 | 123,636 | 123,636 | 123,835 | 123,835 | |
| Other costs | 3 | 609,611 | 609,648 | 532,271 | 532,307 |
| Non-cash costs | 3 | 183,884 | 183,918 | 251,839 | 251,871 |
| Net Operating Expenditure | 2,490,763 | 2,507,372 | 2,373,133 | 2,385,146 | |
| Other Income | | | | | |
| Finance income | 4 | (47,365) | (47,365) | (385,742) | (385,741) |
| Consolidated Fund Extra Receipts | 4 | (2,791) | (2,791) | (2,096) | (2,096) |
| Income of consolidated bodies | 4 | (3,681) | (14,494) | (4,174) | (10,021) |
| Other Expenditure | | | | | |
| Grant in Aid to designated Arms Length Bodies | | | | | |
| 3 | | | | | |
| 6,550 | - | 6,220 | - | | |
| Net Other Expenditure | | | | | |
| (47,287) | (64,650) | (385,792) | (397,858) | | |
| Net Expenditure for the Year | 2,443,476 | 2,442,722 | 1,987,341 | 1,987,288 | |
| Total Expenditure | 2,824,037 | 2,834,096 | 2,681,190 | 2,686,983 | |
| Total Income | (380,561) | (391,374) | (693,849) | (699,695) | |
| Net Expenditure for the Year | 2,443,476 | 2,442,722 | 1,987,341 | 1,987,288 | |
| Other Comprehensive Net Expenditure | | | | | |
Items that will not be reclassified to net operating expenditure:
Net (gain)/loss on:
Revaluation of property, plant and equipment
5
(172,259)
(172,259)
(76,559)
(76,559)
Revaluation of intangibles
6
(5)
(5)
(10)
(10)
Revaluation of assets held for sale
5
322
322
11
11
Actuarial (gain)/loss on defined benefit pension schemes
16
(900)
(900)
(1,320)
(1,320)
Total Comprehensive Net Expenditure
2,270,634
2,269,880
1,909,463
1,909,410
The notes following these main schedules form part of these financial statements.
2018–19
2017–18
Departmental
Core Department &
Departmental
Agencies
Group
Agencies
Group
£000
£000
£000
£000
2,817,487
2,834,096
2,674,970
2,686,983
(53,837)
(64,650)
(392,012)
(397,858)
(172,842)
(172,842)
(77,878)
(77,878)
## Consolidated Statement Of Financial Position
This statement presents the financial position of the FCO as at 31st March 2019.
| Note | Core Department & |
|------------------------------------------------------------|----------------------|
| Non-Current Assets | |
| Property, Plant and Equipment | 5 |
| Intangible Assets | 6 |
| Financial Assets | 9 |
| Retirement benefit schemes asset | 16 |
| Other Non-Current Assets | 12 |
| Total Non-Current Assets | 2,963,344 |
| Current Assets | |
| Assets classified as held for sale | 5 |
| Inventories | 10 |
| Trade and other receivables | 12 |
| Contract Assets | 12 |
| Financial Assets | 9 |
| Cash and cash equivalents | 11 |
| Total Current Assets | 252,009 |
| Total Assets | 3,215,353 |
| Current Liabilities | |
| Trade and Other Payables | 13 |
| Contract Liabilities | 13 |
| Financial Liabilities | 9 |
| Provisions | 14 |
| Total Current Liabilities | (419,740) |
| Non-Current Assets plus / Net Current Assets / Liabilities | |
| 2,795,613 | 2,797,823 |
| Non-Current Liabilities | |
| Provisions | 14 |
| Other Payables | 13 |
| Financial Liabilities | 9 |
| Retirement Benefit Schemes Liability | 16 |
| Total Non-Current Liabilities | (94,333) |
| Total Assets less Liabilities | 2,701,280 |
| Tax-payers Equity and Other Reserves | |
| General Fund | CSCTE |
| Revaluation Reserve | CSCTE |
| Total Equity | |
| 2,701,280 | 2,703,454 |
The notes following these main schedules form part of these financial statements.
2018–19
2017–18
Departmental
Core Department &
Departmental
Agencies
Group
Agencies
Group
£000
£000
£000
£000
Simon McDonald
8 July 2019 Accounting Officer Foreign and Commonwealth Office King Charles Street London SW1A 2AH
## Consolidated Statement Of Cash Flow
The Statement of Cash Flow shows how the FCO generates and uses cash and cash equivalents by classifying cash flows into operating, investing and financing activities. The PFI liability reduced by £2,123k (2017-18: £745k) with capital payments of £1,648k (2017-18:
£1,520k) and an exchange rate gain of £475k (2017-18: £775k loss). The movement in both receivables and payables reflects the £81.7m of Supply Receivable in 2017-18 that reversed out in 2018-19. The £81.7m is the amount not drawn down in 2017-18 as a result of the cash received from the sale of the Bangkok compound.
| Note | Core Department |
|---------------------------------------------------------------------------|--------------------|
| Cash Flows from Operating Activities | |
| Net Expenditure for the Year | CSCNE |
| Adjustments for non-Cash Transactions | 167,518 |
| (Increase)/Decrease in Trade and Other Receivables | 12 |
| Less Movements in Receivables relating to items not passing through | |
| the CSCNE | |
| 20,281 | 20,288 |
| (Increase)/Decrease in Inventories | 10 |
| Increase/(Decrease) in Trade Payables | 13 |
| Less Movements in Payables relating to items not passing through the | |
| CSCNE | |
| 2,904 | 2,904 |
| Use of Provisions | 14 |
| Adjustment to replace Defined Benefit Pension Scheme CSCNE | |
| charge with cash payments | |
| 16 | (1,492) |
| Net Cash Outflow from Operating Activities | (2,174,895) |
| Cash Flows from Investing Activities | |
| Purchase of Property, Plant and Equipment | (142,157) |
| Purchase of Intangible Assets | 6 |
| Proceeds from Disposal of Property, Plant and Equipment | 4,886 |
| Loan Repayments from Other Bodies | 9 |
| Net Cash Outflow from Investing Activities | (137,278) |
| Cash Flows from Financing Activities | |
| From the Consolidated Fund (Supply) - current year | |
| CSCTE | |
| 2,139,463 | 2,139,463 |
| From the Consolidated Fund - settlement of prior year receivable | - |
| Capital Element of Payments of Finance Leases and On-Balance Sheet | |
| (SoFP) PFI Contracts | |
| (1,648) | (1,648) |
| Net Financing | 2,137,815 |
| Net Increase/(Decrease) in Cash and Cash Equivalents in the period before | |
| Adjustment for Receipts and Payments to the Consolidated Fund | |
| (174,358) | (173,023) |
| Receipts of Amounts as agent of the Consolidated Fund | SoPS 4.2 |
| Payments of Amounts Due to the Consolidated Fund | |
| SoPS 4.1, | |
| 4.2 | |
| (4,773) | (4,773) |
| Net Increase/(Decrease) in Cash and Cash Equivalents in the period after | |
| Adjustment for Receipts and Payments to the Consolidated Fund | |
| (177,279) | (175,944) |
| Cash and Cash Equivalents at the beginning of the period | 11 |
| Cash and Cash Equivalents at the end of the period | 11 |
The notes following these main schedules form part of these financial statements.
| | 2018–19 | 2017–18 |
|--------------|-----------|--------------|
| Departmental | Core | Departmental |
| & Agencies | Group | Department & |
| Agencies | | |
| £000 | £000 | £000 |
## Consolidated Statement Of Changes In Taxpayers' Equity
This statement shows the movement in the year on the two reserves held by the FCO.
»
» The general fund includes those reserves that reflect a contribution from the Consolidated Fund.
»
» The revaluation reserve which reflects the change in asset values that have not been recognised as income or expenditure. The
depreciation charge on a revalued asset will be different to the depreciation that would have been charged based on the historical cost of the asset. Annually FCO transfers an amount equal to the excess annual depreciation from the revaluation reserve to the general fund, which ensures that when the asset becomes fully depreciated there is no residual balance for that asset within the revaluation reserve.
| Note | General |
|----------------------------------------------------------|------------|
| Fund | |
| £000 | £000 |
| Balance at 31 March 2017 | CSoFP |
| Net Operating Cost | CSCNE |
| Net Gain/(loss) on Revaluation of PPE | 5 |
| Net Gain/(Loss) on Revaluation of Intangibles | 6 |
| Net Gain/(Loss) on Revaluation of Assets Held for Sale | 5 |
| Net Gain/(Loss) on Foreign Exchange | (19,939) |
| Actuarial (Gain)/Loss on Defined Benefit Pension Schemes | 16 |
| (2,005,960) | 76,558 |
| Net Parliamentary Funding - drawn down | 2,104,103 |
| Supply Receivable Adjustment | (253,715) |
| Net Parliamentary Funding deemed | 70,265 |
| Parliamentary Funding - Supply receivable | 81,672 |
| CFERS Payable to the Consolidated Fund | SoPS 4. |
| Non-Cash Charges - Auditors Remuneration | 3 |
| Transfers between Reserves | 95,669 |
| Consolidation and other In-year Adjustments | 132 |
| Balance at 31 March 2018 | CSoFP |
| Net Operating Cost | CSCNE |
| Net Gain/(loss) on Revaluation of PPE | 5 |
| Net Gain/(Loss) on Revaluation of Intangibles | 6 |
| Net Gain/(Loss) on Revaluation of Assets Held for Sale | 5 |
| Net Gain/(Loss) on Foreign Exchange | 4,469 |
| Actuarial (Gain)/Loss on Defined Benefit Pension Schemes | 16 |
| (2,438,107) | 171,942 |
| Net Parliamentary Funding - drawn down | 2,139,463 |
| Supply Receivable Adjustment | (76,566) |
| Net Parliamentary Funding deemed | 253,715 |
| Parliamentary Funding - Supply receivable | (81,672) |
| CFERS Payable to the Consolidated Fund | SoPS 4.1 |
| Non-Cash Charges - Auditors Remuneration | 3 |
| Transfers between Reserves | 52,139 |
| Consolidation and other In-year Adjustments | 60 |
| Balance at 31 March 2019 | CSoFP |
The notes following these main schedules form part of these financial statements.
| | | | Core Department & Agencies | Departmental Group |
|-------------|-------|---------|------------------------------|----------------------|
| Revaluation | Total | General | Revaluation | Total |
| Reserve | Fund | Reserve | | |
## 1. Notes To The Departmental Resource Accounts 1. Statement Of Accounting Policies
These Financial Statements have been prepared in accordance with the 2018-19 Government Financial Reporting Manual (FReM) issued by HM Treasury. The accounting policies contained in the FReM apply International Financial Reporting Standards (IFRS) as adapted or interpreted for the public sector context. Where the FReM permits a choice of accounting policy, the accounting policy which has been judged to be most appropriate to the particular circumstances of the Department for the purpose of giving a true and fair view has been selected. The particular policies adopted by the Department are described below. They have been applied consistently in dealing with items that are considered material to the accounts. In addition to the primary statements prepared under IFRS, the FReM also requires the Department to prepare an additional primary statement. The Statement of Parliamentary Supply (SoPS) and supporting notes show outturn against Estimate in terms of the net resource requirement and the net cash requirement. The SoPS and supporting notes can be found in the Accountability section of the Accounts.
## 1.1 Accounting Convention
These Accounts have been prepared under the historical cost convention as modified to account for the revaluation of property, plant and equipment, intangible assets and inventories where material, and certain financial assets and liabilities.
## 1.2 Basis Of Consolidation
These Accounts comprise a consolidation of the Core Department, its departmental agency and those other arm's length bodies which fall within the departmental boundary as defined in the statutory instrument SI 2018 No 313 laid by HM Treasury. These bodies make up the 'Departmental Group'. Transactions between the entities included in the consolidation are eliminated. A list of all those entities within the departmental boundary is given in Note 19 to the Accounts. In the preparation of the Group Accounts, the Department is required to adopt consistent and uniform accounting policies across all entities with appropriate adjustments made where any differences have a material impact on the Accounts.
## 1.3 Operating Income And Revenue Recognition
Operating income is income which relates to the operating activities of the FCO. It principally comprises charges for services provided, on a full cost basis, to external partners across government. Operating income is stated net of VAT, and is recognised in accordance with the FReM and IFRS 15 Revenue from Contracts with Customers. The FCO recognises revenue to depict the transfer of promised goods or services to customers in an amount that reflects the consideration to which the FCO expects to be entitled to in exchange for those goods or services.
## 1.4 Property, Plant And Equipment (Ppe)
On initial recognition property, plant and equipment are measured at cost including any costs such as installation directly attributable to bringing them into working condition. PPE are subsequently included in the accounts at the valuation applicable as at the date of the Statement of Financial Position; any movements in valuation during the year are taken to Other Comprehensive Net Expenditure in the CSCNE and to the revaluation reserve, or are treated as impairments where appropriate. The revaluation is contributed to by both market and foreign exchange movements. The minimum level for capitalisation of a single tangible asset is £3,000 subject to grouping conventions where appropriate.
## Non-Specialised Buildings
Non-specialised buildings which are owned or held on long term leases, and perpetual leasehold land, are stated at fair value on an existing use basis using periodic professional valuations. When a new property is brought into active use it is immediately re-valued in accordance with the relevant Royal Institute of Chartered Surveyors (RICS) guidelines. The overseas estate is subject to a three-to-five-year rolling revaluation programme and interim annual review. Since 2010-11, property valuations are carried out as at a 30 September valuation date. A review is undertaken as at 31 March to assess whether there are significant movements in the intervening period, and, where material, property values are updated. Historically property valuations have moved upwards between 30 September and the following 31 March as a result of market movements. The FCO has assets across a diverse range of markets, some of which will be subject to market volatility and all market movements outside the UK will also be influenced by foreign exchange movements.
## Specialised Buildings
Specialised buildings are valued using Depreciated Replacement Cost methodology on a Modern Equivalent Replacement basis. Further detail on building valuations is given in Note 5.
## Perpetual Leases
In some instances the FCO enjoys the benefit of perpetual leases, which either continue at a peppercorn rent or are renewable at a de minimis premium indefinitely. These interests are non-reversionary and rest with the FCO for as long as the FCO requires. For valuation purposes these interests are regarded as akin to freehold interests, and valued accordingly.
## Operating Leases
Buildings and land held on short term leases are regarded as operating leases and rental payments are recorded in the CSCNE. Leases for buildings and land which do not meet the IAS 17 definition of finance leases, are treated as operating leases, and rental payments are recorded in the SoCNE. In practice, operating leases are defined as those where the lease is less than seven years or marked to market at no more than five-yearly intervals. The premium paid for the land element of a non-perpetual lease is recognised within prepayments. Prepayments are amortised over the life of the lease.
## Assets Held For Sale
Non-current assets are reclassified as held for sale if it is highly probable that their carrying amount will be recovered principally through a sales transaction rather than continuing use. This will be the case when the FCO has made a firm decision to sell a non-current asset and it is actively marketed. At year end, any such assets will be shown as assets held for sale.
## Other Ppe
Antiques and works of art (AWA) are grouped and valued on a market value basis by professional valuers. Valuations take place every five years on a rolling basis, valuing a separate region each year. Within each region the valuations focus on the posts with the highest-value AWA. Most AWA are held overseas, and the vast majority of what's held overseas is in Europe. The FCO collection includes furniture, carpets architectural fittings such as chandeliers, silverware, glassware and china, tapestries, sculpture, decorative arts and some paintings (but not the Government Art Collection). The FCO does not have a purchasing programme for AWA. Transport, plant and machinery are stated at current value using appropriate indices.
## 1.5 Depreciation
PPE are depreciated and intangible assets are amortised at rates calculated to write off the cost or valuation of the assets on a straight-line basis over their estimated useful lives. Freehold and Perpetual Leasehold Land is not depreciated. Assets under construction are not depreciated until the asset is brought into use. The useful life of an asset is the period over which an asset is expected to be available for use. Useful lives are normally in the following ranges:
»
» Freehold buildings—up to remaining 60 years
»
» Leasehold land and buildings (including Non-residential
enhancements)—term of lease
»
» Information technology and communications—up to 10
years
»
» Transport equipment—2 to 8 years
»
» Plant and machinery—3 to 25 years. Within plant and
machinery there are 3 main subcategories:
-
-
Office Equipment 5 years,
-
-
Technical Equipment 8 years, and
-
-
Heavy Machinery 20 years.
Non-residential enhancements are depreciated over the unexpired period of the lease or the estimated remaining useful lives of the improvements, whichever is the shorter. Depreciation methods, estimated useful lives and residual values are reviewed at each reporting date. Freehold buildings have their remaining life adjusted annually based on expert valuation, and the depreciation is adjusted over the remaining life of the building. Non-property assets whose historic cost is greater than £150k are reviewed as part of the asset verification exercise, and re-lifed where appropriate. Such changes constitute a change in accounting estimate.
## 1.6 Intangible Assets
Purchased computer software licences are capitalised as intangible assets where expenditure of £3,000 or more is incurred. These assets are restated to current value either through the use of indices, or otherwise where reliable market evidence of current value can be readily ascertained. Capitalised software licences are amortised over the shorter of the term of the licence and the useful economic life.
## 1.7 Financial Instruments
IFRS 7 Financial Instruments: Disclosures requires disclosures in the accounts that enable users to evaluate the significance of financial instruments to the financial position and performance of the Department. It requires the disclosure of the nature and extent of risks arising from financial instruments to which the FCO is exposed, and requires explanation of how those risks are managed. Financial assets and liabilities are recognised when the department becomes party to the contracts that give rise to them and conditions satisfying recognition are met.
## 1.8 Financial Assets—Investment In Other Public Sector Bodies
The FCO holds an investment in FCO Services, comprised of 100% of its Public Dividend Capital (PDC). As a trading fund, FCO Services is not included within the FCO departmental boundary, and the Department's investment is reported in these accounts at historical cost.
## 1.9 Impairment Of Financial Assets
Impairment under IFRS 9 is based on expected credit losses. The loss being the difference between contracted cash flows due to the FCO, and what is expected to be received. The FCO recognises a loss allowance at an amount equal to the lifetime expected credit losses. An impairment is raised for any loss expected over the lifetime of the receivable. The majority of financial instruments relate to contracts for non-financial items in line with the Department's expected purchase and usage requirements and the Department is therefore exposed to little credit, liquidity or market risk. As many of the department's trade receivables are, by their nature, short term in duration, they are recorded at fair value. On this basis, no systematic exercise to compare the fair value with carrying amount is conducted. FCO's largest group of trade receivables are with Other Government Departments. HMT has mandated that receivable balances with core central government departments (including their executive agencies) are excluded from being recognised for impairments; with the liabilities being assessed as having zero 'own credit risk' by the entities holding these liabilities. For those customers and counterparties that are not public sector organisations the Department has policies and procedures in place to ensure credit risk is kept to a minimum. The Department is not exposed to material credit risk.
## 1.10 Foreign Currency Forward Purchase Contracts
The FCO has foreign currency forward purchase contracts for US Dollars and Euros in order to gain greater budget certainty for its peacekeeping expenditure obligations. Under IAS 39 Financial Instruments Recognition and Measurements, these contracts were accounted for as derivatives, initially at a nil cost, and classified as held for trading financial instruments. Foreign currency forward contracts are not in hedging relationships in accordance with IFRS 9. Subsequently, open contracts are measured at fair value with movements in fair value being charged or credited to the CSCNE. The fair value is measured as the difference between the currency's midmarket forward rate at the date of valuation (provided by the Bank of England) and the rate stipulated in the contract multiplied by the number of contracted units of currency. Once each contract has been settled it is removed from the Consolidated Statement of Financial Position with any further gain or loss, calculated by comparing the contract proceeds translated at the corporate rate of exchange at maturity with the purchase cost at the rate stipulated in the contract, taken to the CSCNE. We have assessed that this treatment remains the same under IFRS 9 Financial Instruments. As such, there has been no change to the recognition of these assets on implementation of IFRS 9. Details of open and settled contracts are in Note 9.2.
## 1.11 Income Collected As Agent For The Consolidated Fund
Income collected by the FCO where it was acting as agent for the Consolidated Fund rather than as principal is excluded from the Consolidated Statement of Comprehensive Net Expenditure. Details of the amount and balance held at the year-end date are given in SoPS 4.2.
## 1.12 Notional Costs—Audit Fees
In accordance with the requirements of the FReM, the external audit fees for the core department and its agency are charged to Net Operating Cost although they are notional costs to the FCO and are borne by the NAO. As the amounts are not actually paid, they are reversed by a credit to the General Fund. Further details of the amounts paid to the NAO are disclosed in the Parliamentary Accountability and Audit Report of the Annual Report and Accounts.
## 1.13 Foreign Currency Transactions
Transactions denominated in foreign currencies are translated into sterling at corporate rates of exchange determined on the first day of the month in which the transaction occurs (as an approximation of the actual exchange rate at the date of the transaction). Monetary assets and liabilities denominated in foreign currencies at the year-end are translated to sterling using the corporate rates of exchange at 31 March. Differences on translation are dealt with in the CSCNE in accordance with IAS 21 The Effects of Changes in Foreign Exchange Rates. The foreign exchange element of revaluations of property, plant and equipment is accounted for as part of the revaluation amount.
## 1.14 Capital Commitments
Capital commitments represent capital expenditure contracted for at the end of the reporting period, but not recognised as liabilities as no payment has been made and no performance has been rendered by the supplier.
## 1.15 Service Concessions (Pfi)
Private Finance Initiative (PFI) transactions have been accounted for in accordance with HMT and FReM requirements. Where the terms of the PFI meet the definition of service concession arrangements in IFRIC 12 *Service Concession Arrangements*, the infrastructure asset is recognised as a non-current asset and the liability to pay for it is accounted for as if a finance lease. Contract payments are apportioned between a reduction in the capital obligation and charges to the CSCNE for service performance and finance cost. Further details can be found in Note 8.3.1.
## 1.16 Grants Payable
The majority of grants made by the Department are recorded as expenditure in the period in which the claim is paid, as the grant funding cannot be directly related to activity in a specific period. The claims are deemed to be the only appropriate and measurable activity that creates an entitlement for the recipient. However, recognition of the entitlement of grant varies according to the individual programme. Where entitlement to the grant has arisen during the period it is accrued in the CSCNE and shown as a liability on the CSFP. Grant in Aid (GIA) payments from the Department to ALBs are paid only when the need for cash has been demonstrated by the body concerned. ALBs treat receipts of GIA as financing. These transactions are eliminated on consolidation. Where grants rather than GIA are given to ALBs any payables or receivables by the ALBs are accounted for on an accruals basis. Programme grants reflect non-administrative costs, including payments of grants and other disbursements by the Department and certain staff costs where they relate directly to service delivery. When the Department purchases goods which are to be provided for a project, rather than providing cash funding, the transfer of the goods is considered a grant-in-kind. A grant-in-kind differs from a capital grant where the Department provides funding to the recipient to be used to buy capital assets. When the Department donates surplus goods with no preconditions and without the expectation of any return (or delivery of policy objectives) they donation is treated as a gift, which would require parliamentary approval.
## 1.17 Provisions
The FCO provides for legal and constructive obligations which are of uncertain timing or amount at the date of the Statement of Financial Position, on the basis of best estimate of the expenditure required to settle the obligation taking into account the risks and uncertainties surrounding the obligation. The provision for early departure costs (see below) is discounted at the HMT pension discount rate. Each year the financing charges in the CSCNE include the adjustments to unwind one year's discount so that liabilities are shown at current price levels.
## 1.18 Staff Costs
In accordance with IAS 19 Employee Benefits, all shortterm staff costs accrued at the year-end are recognised in the CSCNE. These short-term benefits largely relate to bonuses announced but not paid and accrued paid holiday entitlement at the period end date. Longer-term benefits, such as pensions provided to staff, are recognised in line with IAS 19 as modified by the FReM.
## 1.19 Pensions—Uk Employees
From 1 April 2015 a new pension scheme known as Alpha was introduced, and all newly appointed civil servants, and most of those already in service, joined Alpha. Prior to that date UK-based employees were covered by the provisions of the Principal Civil Service Pension Scheme (PCSPS). Both Alpha and PCSPS defined benefit schemes are unfunded and are non-contributory except in respect of dependants' benefits. The FCO recognises the expected cost of providing pensions on a systematic and rational basis over the period during which it benefits from employees' services by payment to the scheme of amounts calculated on an accruing basis. In respect of the PCSPS defined contribution 'money purchase' schemes, the FCO recognises the contributions payable for the year. For more details of these schemes please see the relevant section of the Remuneration Report.
## 1.20 Early Departure Costs
For early departures under the Civil Service Compensation Scheme (CSCS) in 2010-11 and earlier years, the FCO met the additional costs of benefits, beyond the normal PCSPS benefits in respect of employees who retired early, by paying the required amounts annually to the PCSPS, over the period between early retirement and normal retirement date. After 1 April 2011 the FCO provided for this in full, when the early retirement programme became binding on the Department, by establishing a provision for the estimated payments discounted by HM Treasury pension discount rate of 0.29% (2017-18: 0.10%) in real terms. The CSCS was revised in December 2010 so that early leavers are entitled to lump sum compensation depending on their number of years' service. Eligible leavers can use their lump sum, with a departmental top-up if necessary, to enable them to draw their pension without actuarial reduction. Once the lump sum plus any departmental topup is paid over to the PCSPS there is no further liability for the Department.
## 1.21 Overseas Pensions And Terminal Benefits
The FCO is required to observe local employment laws regarding the payment of pensions, gratuities and terminal benefits at its overseas posts. Where state or other trustee schemes exist, the FCO discharges its obligation in-year by the payment of accrued contributions. Where the final gratuity or terminal benefit has to be met by the FCO, the full cost has been provided for in the accounts. The FCO has adopted the requirements of IAS 19 Employee Benefits in respect of its overseas pension schemes. Actuarial gains/losses are taken through Other Comprehensive Net Expenditure. In respect of the defined contribution elements of the Schemes, the FCO recognises the contributions payable for one year. A summary of the performance of the schemes is provided in these financial statements, with further information available in Note 16.
## 1.22 Value Added Tax
Most of the activities of the FCO and its NDPBs are outside the scope of VAT. Irrecoverable VAT incurred is included within the overall cost of purchases. For recoverable VAT, amounts are stated net.
## 1.23 Contingent Liabilities
In addition to contingent liabilities disclosed in accordance with IAS 37 Provisions, Contingent Liabilities and Contingent Assets, the FCO discloses for parliamentary reporting and accountability purposes certain statutory and non-statutory contingent liabilities where the likelihood of a transfer of economic benefit is remote, but which have been reported to Parliament in accordance with the requirements of HM Treasury's Managing Public Money. Where the time value of money is material, contingent liabilities which are required to be disclosed under IAS 37 are stated at discounted amounts and the amount reported to Parliament separately noted. Contingent liabilities that are not required to be disclosed by IAS 37 are stated at the amounts reported to Parliament.
## 1.24 Cash And Cash Equivalents
The FCO accounting policy is to disclose all cash and cash equivalents on the Consolidated Statement of Financial Position. FCO's cash and cash equivalents consist of cash at bank and in hand. Bank balances are in respect of official FCO bank accounts which are approved by the Finance Director. FCO bank accounts are provided either by the Government Banking Service, or by commercial providers where this is not possible, e.g. overseas accounts, and approved by HM Treasury. Balances from overseas bank accounts that are denominated in foreign currency are converted to Sterling at the FCO corporate rate prevailing at the date of the Statement of Financial Position. Bank overdrafts that are repayable on demand and which form an integral part of the FCO's cash management are included as a component of cash and cash equivalents. The FCO's policy on the balances of official bank accounts is to optimise bank balance levels to enable outstanding liabilities to be settled within agreed payment terms and to reduce cash holdings. The FCO acts as agent for UK Visas and Immigration Agency
(UKVI) and accounts for income as cash, and recognises a payable to the UKVI in their accounts. If expenses are paid by the UKVI, they are made from bank accounts held and controlled by the FCO. FCO accounts for these expenses and recognises a receivable from UKVI in its accounts.
## 1.25 Accounting Estimates And Judgements
The preparation of the Department and group financial statements requires management to make significant judgements, estimates and assumptions that affect the application of policies and reported amounts of assets and liabilities, income and expenditure. The estimates and assumptions are continually evaluated, based on historical experience and other factors, including expectations of future events that are believed to be reasonable under the circumstances. However, the actual results may differ from these estimates. The key areas in which estimates and judgements have been used are:
»
» The allocation of expenditure between administration
and programme classifications.
»
» The valuation of property, plant and equipment,
including depreciation and estimated useful lives (see Notes 1.4, 1.5 and 5). Such estimation is based on experience with similar assets. Overseas properties can be held under a number of different individual agreements, and the FCO values these appropriately within the local market. The estimated useful life of each asset is reviewed periodically.
»
» The estimation of provisions for terminal benefits for
local staff (see Note 1.21).
»
» The valuation of defined benefit pension schemes (see
Notes 1.19, 1.21 and 16). The present value of the net pension liability depends on a number of actuarially derived assumptions about variables such as inflation, discount factors, and mortality rates.
»
» The FCO has an agreement with HMT to recycle assets
to achieve 'capital smoothing' and this is written into the Spending Round (SR) settlement. In order to take advantage of this FCO has to:
-
-
Submit quarterly forecast updates to HMT for both capital expenses and income in-year (including a forecast for the amount FCO intends to carry forward).
-
-
Submit forward capital plans for the entire SR at the same time as agreeing the carry-forward amount each year at the Supplementary Estimate.
## 1.26 Rounding
The numbers presented in the Accounts are consistent with the underlying data, the figures being taken either from the Prism system or offline input are entered to the nearest pound wherever available. Please note that totals shown in the Notes may not sum however due to rounding that has taken place. In addition there may be rounding differences between the Notes and the main financial statements.
## 1.27 Impending Application Of Newly Issued Accounting Standards Not Yet Effective
The following changes to IFRS may affect the FCO, and will be adopted by the FCO when they are adopted by the FReM (subject to any interpretations or adaptations applied by the FReM). The effective dates of the IFRS changes noted below relate to the financial years beginning on or after the date and are also subject to EU adoption of the changes.
»
» **IFRS 16** *Leases*: The IASB has issued the final version
of IFRS 16 which will replace IAS 17 for annual periods beginning on or after 1 January 2019. Public sector
adaptions and interpretations of the standard have largely been finalised, amendments to budgeting are still under discussion. HMT have agreed that leases will be budgeted for consistently with IFRS 16. There are a number of consequential issues to resolve (most significantly, the budgeting treatment for inter-governmental leases). Final budgeting guidance will be issued later in 2019. The FCO considers that the minimum impact will be to include those operating leases disclosed in Note 8.2 within the Statement of Financial Position. Adoption by the public sector has been postponed by one year and therefore the standard will not be implemented by FCO until 2020-21. IFRS 16 eliminates the operating and finance lease distinction and imposes a single model geared towards the recognition of all but low-value or short term leases of 12 months or less. Both the lease obligation and the value of the underlying right-of-use asset will be recognised on the Statement of Financial Position. Given the large volume of operating leases held by the FCO, the impact of the transition to the new standard is expected to be significant and work is ongoing in preparation for adoption on 1 April 2020. The FCO's current annual charge for operating lease rentals is over £100m.
»
» **IAS 1 and IAS 8** Disclosure initiative: Definition of
material. Effective date 1 January 2020 (pending EU endorsement). Aligns the wording of the definition of material across all IFRS Standards. The amendments are unlikely to result in significant changes to materiality limits or disclosures.
»
» **Changes to the FReM**. There has been no EU adopted
standards, or amendments to standards applicable for 2018-19, which will be included in the FReM at present.
## 1.28 Accounting Standards That Have Been Issued And Affect The 2018-19 Accounts
IFRS 15 Revenue from Contracts with Customers was applied by FCO for the first time in 2018-19, along with IFRS 9 Financial Instruments. In accordance with IAS 8 Accounting Policies, Changes in Accounting Estimates and Errors, a number of disclosures are required upon initial application of new accounting standards. These are in Note 4 for IFRS 15 and Note 9 for IFRS 9. For both accounting standards the FReM has adapted the IAS 8 to withdraw the accounting policy choice upon transition to retrospectively restate.
## 2. Statement Of Costs By Operating Segments
| Gross | Income | Net | Gross | Income | Net |
|-----------------------------------------------|-----------|-----------|-----------|-----------|-----------|
| £000 | £000 | £000 | £000 | £000 | £000 |
| Strategic Objectives | | | | | |
| SO1—Protect Our People | 705,371 | (108,083) | 597,288 | 799,418 | (90,732) |
| SO2—Project Our Global Influence | 1,744,122 | (229,318) | 1,514,804 | 1,607,127 | (575,998) |
| SO3—Promote Our Prosperity | 384,603 | (53,973) | 330,630 | 280,438 | (32,965) |
| Net Operating Costs (CSCNE) | 2,834,096 | (391,374) | 2,442,722 | 2,686,983 | (699,695) |
| SO2—Project Our Global Influence consists of: | | | | | |
| International Institutions and Soft Power | - | - | - | 1,048,665 | (100,492) |
| Promoting UK Interests and Values | 1,060,760 | (143,715) | 917,045 | - | - |
| British Council | 188,300 | - | 188,300 | 171,000 | - |
| Conflict Resolution and Stability | 438,375 | (21,784) | 416,591 | 280,751 | (13,947) |
| Migration Policy | - | - | - | 23,167 | (2,821) |
| Other* | 56,687 | (63,819) | (7,132) | 83,544 | (458,737) |
| 1,744,122 | (229,318) | 1,514,804 | 1,607,127 | (575,998) | 1,031,130 |
The Department reports its expenditure by operating segment in accordance with IFRS 8 Operating Segments. The FCO Management Board has been identified as the Chief Operating Decision Maker (CODM). The CODM is responsible for allocating resources and assessing performance. Segmental information is reported to the Management Board at regular intervals during the year. The segmental analysis presents the financial information based on the structure reported to the FCO Management Board as part of its role in meeting performance targets set for FCO by Parliament within the current Spending Round. The segments reflect this performance reporting structure, and are measured using activity recording. Activity recording collects staff time spent on each of the strategic objectives. Cost drivers are then associated with this time. FCO income and costs are disclosed per segment. It is not possible to accurately allocate assets and liabilities to operating segments and thus such information is not reported to the FCO Management Board or included in the segmental reporting in these financial accounts. More details of the FCO's performance reporting can be found in the Performance Analysis within the Annual Report. On 1 April 2018 some of the Priority Outcomes (POs) that sit underneath the three Strategic Objectives were updated.
»
»
SO1 includes PO1: Security Threats, PO2: Consular and Crisis Response and PO3: Euro-Atlantic Security
»
»
SO2 includes PO4: Conflict and Stability and PO5: Promoting UK Interests and Values
»
»
SO3 includes PO6: Europe, PO7: Economic Diplomacy and PO8: Overseas Territories
»
»
PO5 was added to reflect the focus on UK values, and to include work on Illegal Wildlife Trade and the Commonwealth. Consequently PO4 now reports on
political developments in the multilateral system and in key countries. PO8 reports separately the work we do in the Overseas Territories, which the POs had not previously highlighted.
The sale of the Bangkok compound in 2017-18 caused a shift in the balance of spending between the strategic objectives, this can be seen in the net spend on "Other". Capital expenditure in year to meet the objectives is analysed below.
| Major types of capital spend: | £000 |
|---------------------------------|---------|
| Security | 32,214 |
| IT | 25,030 |
| CSSF capital grants | 16,827 |
| Facilities management | 8,190 |
| Other Capital grants | 2,236 |
| Global Britain | 1,640 |
| Other* | 14,814 |
| 100,951 | |
| Estates | |
| Capital expenditure | 65,955 |
| Less capital income (recycled) | -25,162 |
| 40,793 | |
| TOTAL | 141,744 |
*"Other" includes other front-line activity conducted on behalf of Other Government Departments.
2018–19
2017–18
## 3. Operating Costs
Core Department
Staff costs
Wages and salaries
429,632
432,038
385,434
387,572
Social security costs
17,684
17,919
14,791
14,999
Other pension costs
53,825
54,185
50,172
50,474
Recoveries outward secondments
(2,430)
(2,430)
(2,236)
(2,236)
Apprenticeship levy costs
817
817
751
751
Grants
FCO Programmes
287,210
300,747
271,248
280,544
British Council
188,300
188,300
171,000
171,000
Conflict, Stability and Security Fund programmes
789,375
789,375
776,802
776,802
Peacekeeping foreign exchange rate loss / (gain)
(12,067)
(12,067)
(43,317)
(43,317)
Subscriptions to International Organisations
United Nations
65,877
65,877
65,595
65,595
NATO
21,967
21,967
19,926
19,926
Council of Europe
28,326
28,326
27,610
27,610
Organisation for Economic Cooperation and Development
13,264
13,264
12,916
12,916
Commonwealth Secretariat
7,286
7,286
5,457
5,457
Organisation for Security and Cooperation in Europe
4,905
4,905
5,074
5,074
Residual payments to Western European Union
1,072
1,072
1,064
1,064
Office of the High Commissioner for Human Rights
2,500
2,500
2,500
2,500
Others
2,813
2,813
2,238
2,238
Rentals under operating leases
Hire of plant and machinery
12,038
12,038
22,698
22,698
Property rentals
111,598
111,598
101,137
101,137
Interest charges
On-balance sheet PFI contracts
2,265
2,265
2,377
2,377
PFI and other service concession arrangements
Service element of on-balance sheet contracts
2,277
2,277
2,206
2,206
| | 2018–19 | 2017–18 |
|--------------|-----------------|--------------|
| Departmental | Core Department | Departmental |
| & Agencies | Group | & Agencies |
| £000 | £000 | £000 |
| 499,529 | 502,529 | 448,912 |
| 1,252,818 | 1,266,356 | 1,175,733 |
| 148,009 | 148,009 | 142,380 |
| 123,636 | 123,636 | 123,835 |
| 2,265 | 2,265 | 2,377 |
| 2,277 | 2,277 | 2,206 |
## 3. Operating Costs (Cont.)
Core Department
Other expenditure
Reimbursements of duties to other Governments
34,425
34,425
39,985
39,985
Audit fees for Arms Length Bodies
-
37
-
36
(Gain)/loss on exchange—realised
2,441
2,441
(6,227)
(6,227)
(Gain)/loss on exchange—unrealised
(2,850)
(2,850)
2,467
2,467
Business hospitality
12,027
12,027
11,034
11,034
Consular
1,869
1,869
1,951
1,951
Contractor, consultancy and fee based services
38,006
38,006
50,043
50,043
Estate, security and capital related costs
273,815
273,815
241,066
241,066
Information and commercial services
8,884
8,884
7,030
7,030
IT and communications
156,130
156,130
100,427
100,427
Medical
6,426
6,426
10,939
10,939
Recruitment
1,614
1,614
1,222
1,222
Representation
2,711
2,711
1,565
1,565
Transport equipment costs
6,925
6,925
6,046
6,046
Training
15,362
15,362
14,490
14,490
Travel
50,541
50,541
46,621
46,621
Other
(3,254)
(3,254)
(972)
(972)
Total Operating Expenditure
2,633,603
2,650,178
2,423,131
2,435,112
Grant in Aid to other Arms Length Bodies
6,550
-
6,220
-
Total Cash
2,640,153
2,650,178
2,429,351
2,435,112
Non-cash items
Depreciation: Property, plant and equipment
142,122
142,140
123,720
123,751
Amortisation: Intangible assets
417
417
373
373
Non-perpetual leasehold land prepayment release
379
379
380
380
Loss on disposal of property, plant and equipment
174
172
49
49
Capital Grant in Kind—Property
-
-
-
-
Impairments—Departmental Expenditure Limit
31,796
31,796
22,571
22,571
Impairments—Non-current assets
36,417
36,417
9,057
9,057
Reversal of Impairments—Annually Managed Expenditure
(15,686)
(15,686)
(16,685)
(16,685)
Auditors' remuneration and expenses
317
317
306
306
Provisions: Provided in year
18,266
18,284
13,632
13,632
Provisions: Written back
(8,465)
(8,465)
(2,685)
(2,685)
Provisions: Unwinding of discount
27
27
18
18
Unrealised (gains)/losses on forward contracts
(21,880)
(21,880)
101,105
101,105
Total Non-Cash
183,884
183,918
251,839
251,871
Total Expenditure
2,824,037
2,834,095
2,681,190
2,686,982
For further information on Staff Costs please see the Remuneration and Staff Report. In order to better reflect local staff costs, in 2018-19 "Subsidies to local staff medical schemes" has been moved from Other Expenditure to Wages and Salaries. As a consequence Wages and Salaries has increased by £4.8m. For 2017-18 no adjustment was made, the comparable amount was £4.7m. In the 2017-18 published accounts Apprenticeship Levy costs were included within Social Security Costs, for 2018-19 these were disclosed separately. The prior year figures have been adjusted accordingly.
| | 2018–19 | 2017-18 |
|--------------|-----------------|--------------|
| Departmental | Core Department | Departmental |
| & Agencies | Group | & Agencies |
| £000 | £000 | £000 |
| 605,069 | 605,106 | 527,688 |
| 195,618 | 195,634 | 139,464 |
| (11,735) | (11,717) | 112,375 |
## 4. Income
Core Department &
Agencies
Revenue from contracts with customers
Income from OGDs 1
261,365
261,365
227,463
227,463
Income from other organisations 2
9,752
9,752
18,787
18,787
Consular fees
25,979
25,979
24,576
24,576
Running cost receipts
29,628
29,628
28,396
28,396
326,724
326,724
299,223
299,223
Other operating income
Capital Grant in Kind—Receipts 3
-
-
2,614
2,614
Total operating income
326,724
326,724
301,837
301,837
Finance income
Dividends receivable—FCO Services
25,000
25,000
2,258
2,258
Interest on loans
745
745
661
661
Profit on disposal of property, plant and equipment 4
21,620
21,620
382,823
382,822
Income due to the Consolidated Fund
Consolidated Fund Extra Receipts
2,791
2,791
2,096
2,096
Income of consolidated bodies
Agency: Wilton Park
3,681
3,681
4,174
4,174
Non-Departmental Public Bodies
-
10,813
-
5,846
Total Income
380,561
391,374
693,849
699,695
1 This includes the income from partner Departments that use our overseas
platform.
2 This includes income from partner countries to help fund FCO managed
projects overseas.
3 In 2017-18 a capital grant in kind of £2,614k, representing the transfer to
FCO of DFID's Nigerian based assets was included in operating income.
Income collected by the FCO where it was acting as agent for the Consolidated Fund rather than as principal is excluded from note 4. Details of the amount and balance held at the year-end date are given in SOPS note 4.2.
4The profit on disposal of property, plant and equipment in 2017-18 and 2018-
19 primarily relates to the disposal of the Bangkok compound, £20.5m of income from the 2017-18 sale was deferred into 2018-19.
IFRS 15 Revenue from Contracts with Customers was applied by FCO for the first time in 2018-19. This accounting standard recognises income as costs are incurred, measured by the transfer of control to the customer. IFRS 15 introduces a new five stage model to be applied to all contracts with customers. It also introduces greater disclosure requirements designed to be more relevant and informative than the previous accounting standard IAS 18. Under IAS 18 income was recognised when risk and rewards were transferred to the customer. Income from OGDs are not subject to impairment, billing is made via a standard contract for platform charges, residential accommodation and other central charges. OGDs are largely charged on a per capita basis. Income from other organisations is given to support overseas programmes carried out by FCO. Work supported by donor countries is scaled up and down as donations are received. Consular fees are based on statutory authority, and are drawn down from the Consolidated Fund based on a percentage of each passport fee. The income is provided to FCO to cover work on consular activities overseas. Legalisation is a statutory duty undertaken by the FCO, fees are set in line with HMT guidelines. This is a direct charge for the service provided. Fees are set to break even over the Spending Review period. The fees are normally non-refundable unless the FCO is at fault. Consular fees are statutory based and further information is given in the Accountability Report under Fees & Charges. Consular fees comprise:
| | 2018–19 | 2017–18 |
|--------------------|-------------------|--------------------|
| Departmental Group | Core Department & | Departmental Group |
| Agencies | | |
| £000 | £000 | £000 |
| 47,365 | 47,365 | 385,742 |
| 3,682 | 14,495 | 4,174 |
»
»
Emergency Travel Documents (ETD) £3,086k; and,
»
»
Legalisation Fees £22,893k
Running costs receipts are recovered under Memorandums of Understanding (MOUs) and signed letters of agreement with partner organisations. These receipts include secondment recoveries, rent, selling to wider markets, sponsorship income and recovery of overseas platform costs from organisations outside of One HMG. Of the CFER income £2,515k comes from refunds of unspent projects from prior years, and £234k from litigation recoveries. We return 100% to the Exchequer. This follows guidance from HMT. The amount shown in Note 4 (and SOPS 4.1) is the only moneys FCO receives on behalf of the Consolidated Fund where we do not act as agent. FCO recognises income as costs are incurred, which measures the transfer of control to the customer. On implementation FCO has analysed the income streams (as above) and determined that the impact of IFRS 15 is not materially different from the previous standard IAS 18. Due to the immaterial impact of IFRS 15 on the FCO's accounts, the accounts are not restated, nor do they show a cumulative catch up in the statement of taxpayer's equity, to reflect the change in accounting policy. Contract assets and liabilities (as defined below) have been recognised in placement of accrued and deferred income. Within the Statement of Financial Position, a contract asset and contract liability have been recognised. Contract asset: the difference between the amount invoiced to the customer and the latest milestone achieved. Any accompanying receivable will be recognised if the customer has yet to pay the invoice. This balance will also include recognition of a receivable for costs which have been incurred to support milestones that have not yet been fully achieved. Any impairment relating to this balance will be measured, presented and disclosed in relation to IFRS 9. Contract liability: the difference between the invoiced income and the latest achieved contracted milestone. An accompanying receivable will be recognised if the customer has yet to pay the invoice.
## 5. Property, Plant And Equipment
Consolidated 2018–19
Non-res
Buildings
Non-resi
Dwellings
Residen
idential
dential
Residen
tial Land
Land
Excluding
Dwellings
Enhance
ments
£000
£000
£000
£000
£000
£000
£000
£000
£000
£000
£000
£000
Cost or Valuation
At 1 April 2018
410,679 1,478,281
77,772
473,261
1,090,467
3,253
395,371
109,590
206,193
17,018
128,729 4,390,613
Additions
1
7
59
511
1,216
43
697
1,928
12,190
-
124,738
141,390
Donations
-
-
(126)
-
-
-
-
-
-
-
-
(126)
Disposals
-
(30)
-
-
-
-
(113,641)
(7,194)
(991)
-
-
(121,856)
Impairments
(4,604)
(43,909)
(15)
(2,417)
(35,602)
(11)
(127)
-
(228)
-
(13,448)
(100,360)
Reversals of Impair ments
4,661
6,901
-
2,660
3,101
-
413
1
338
189
-
18,264
OGD Transfers
-
-
-
-
-
-
-
-
-
-
-
-
Reclassification ¹
3,626
11,783
15,483
(2,806)
(3,895)
(472)
38,275
9,047
24,824
-
(109,991)
(14,125)
Revaluation
16,583
149,743
-
21,407
58,267
-
2,283
3,014
3,089
-
-
254,386
At 31 March 2019
430,946 1,602,777
93,174
492,617
1,113,554
2,812
323,270
116,386
245,415
17,207
130,028 4,568,
186
Depreciation
At 1 April 2018
-
583,515
53,608
-
448,787
1,559
295,361
68,621
124,334
-
-
1,575,786
Charged in Year
-
39,537
7,068
-
24,740
431
37,761
13,745
18,858
-
-
142,140
Charged in Year - Donations
-
-
(126)
-
-
-
-
-
-
-
-
(126)
Disposals
-
(30)
-
-
-
-
(113,640)
(6,996)
(895)
-
-
(121,562)
Impairments
-
(6,809)
(8)
-
(25,046)
(125)
(19)
-
(139)
-
-
(32,147)
Reversals of Impair ments
-
1,492
-
-
794
-
252
1
39
-
-
2,577
OGD Transfers
-
-
-
-
-
-
-
-
-
-
-
-
Reclassification ¹
-
1,469
(1,325)
-
(3,394)
-
(53)
-
-
-
-
(3,302)
Revaluation
-
50,353
-
-
26,434
-
1,916
1,676
1,748
-
-
82,127
At 31 March 2019
-
669,528
59,218
-
472,315
1,865
221,577
77,047
143,945
-
- 1,645,495
Net Book Value at 1 April 2018
410,679
894,766
24,164
473,261
641,680
1,694
100,009
40,969
81,859
17,018
128,729 2,814,827
Net Book Value at 31 March 2019
430,946
933,248
33,957
492,617
641,239
947
101,693
39,339
101,470
17,207
130,028
2,922,692
Asset Financing
Owned
366,486
684,204
33,957
380,015
426,026
947
101,693
39,339
101,470
17,207
130,028 2,281,372
Leased
48,507
230,536
-
112,602
215,213
-
-
-
-
-
-
606,858
On-Balance Sheet (SOFP) PFI Contracts
15,953
18,508
-
-
-
-
-
-
-
-
-
34,461
Net Book Value at 31 March 2019
430,946
933,248
33,957
492,617
641,239
947
101,693
39,339
101,470
17,207
130,028
2,922,692
Of the Total
Department
430,946
933,248
33,735
492,617
641,239
947
101,420
39,333
101,349
17,207
129,959
2,922,000
Agencies
-
-
216
-
-
-
256
6
119
-
69
667
ALBs
-
-
6
-
-
-
17
-
1
-
-
24
Net Book Value at 31 March 2019
430,946
933,248
33,957
492,617
641,239
947
101,693
39,339
101,470
17,207
130,028
2,922,692
Assets Under Construction includes Tangible and Intangible assets. ¹ Some assets have been reclassified to assets held for sale (Note 5.1).
| Informa | Transport | Plant and | Antiques | Payments | Total |
|-----------|--------------|--------------|-------------|-------------|---------|
| tial | tion Tech | Equip | Machinery | and | on Ac |
| Enahnce | nology | | | | |
| 2 | | | | | |
| ment | Works of | count and | | | |
| ments | Art | Assets | | | |
| Under | | | | | |
| Construc | | | | | |
| tion | | | | | |
## 5. Property, Plant And Equipment (Cont.)
Consolidated 2017–18
Non-res
Buildings
Non-resi
Dwellings
Residen
idential
dential
Residen
tial Land
Land
Excluding
Dwellings
Enhance
ments
£000
£000
£000
£000
£000
£000
£000
£000
£000
£000
£000
£000
Cost or Valuation
At 1 April 2017
417,883 1,414,098
110,077
502,191
976,867
25,330
421,032
103,493
190,396
17,042
175,760 4,354,168
Additions
-
5
400
2,978
6,980
-
1,155
6,192
499
-
115,334
133,543
Disposals
-
(2)
(32,858)
-
-
(22,685)
(102,551)
(13,340)
(3,115)
-
-
(174,550)
Impairments
(2,866)
(23,863)
(148)
(2,843)
(12,735)
-
(298)
(359)
(1,518)
(24)
(106)
(44,762)
Reversals of Impair ments
2,082
16,668
-
685
1,245
-
416
2
-
-
-
21,096
OGD Transfers
-
-
207
-
-
368
25
248
766
-
1,000
2,614
Reclassification ¹
(10,000)
53,356
95
(10,807)
(595)
240
70,001
9,179
23,891
-
(163,260)
(27,900)
Revaluation
3,581
18,019
-
(18,942)
118,705
-
5,591
4,176
(4,725)
-
-
126,403
At 31 March 2018
410,679 1,478,281
77
,772
473,261
1,090,467
3,253
395,371
109,590
206,193
17,018
128,729 4,390,613
Depreciation
At 1 April 2018
-
568,941
77,979
-
371,484
23,448
365,007
67,608
111,982
-
- 1,586,448
Charged in Year
-
34,069
8,483
-
22,286
796
27,608
11,873
18,635
-
-
123,751
Disposals
-
(1)
(32,854)
-
-
(22,685)
(102,550)
(12,760)
(3,071)
-
-
(173,921)
Impairments
-
(10,286)
-
-
(2,345)
-
-
(236)
(267)
-
-
(13,133)
Reversals of Impair ments
-
3,565
-
-
430
-
416
1
-
-
-
4,411
OGD Transfers
-
-
-
-
-
-
-
-
-
-
-
-
Reclassification ¹
-
-
-
-
(1,614)
-
-
-
-
-
-
(1,614)
Revaluation
-
(12,773)
-
-
58,547
-
4,881
2,135
(2,946)
-
-
49,845
At 31 March 2018
-
583,515
53,608
-
448,787
1,559
295,361
68,621
124,334
-
-
1,575,786
Net Book Value at 1 April 2017
417,883
845,158
32,098
502,191
605,383
1,882
56,025
35,885
78,413
17,042
175,760
2,767
,720
Net Book Value at 31 March 2018
410,679
894,766
24,164
473,261
641,680
1,694
100,009
40,969
81,859
17,018
128,729 2,814,827
Asset Financing
Owned
347,754
665,221
24,164
359,498
431,327
1,694
100,009
40,969
81,859
17,018
128,729
2,198,241
Leased
48,398
212,683
-
113,763
210,354
-
-
-
-
-
-
585,198
On-Balance Sheet (SOFP) PFI Contracts
14,527
16,861
-
-
-
-
-
-
-
-
-
31,388
Net Book Value at 31 March 2018
410,679
894,766
24,164
473,261
641,680
1,694
100,009
40,969
81,859
17,018
128,729
2,814,827
Of the Total
Department
410,679
894,766
23,920
473,261
641,680
1,694
99,784
40,969
81,717
17,018
128,729
2,814,215
Agencies
-
-
244
-
-
-
200
-
141
-
-
585
ALBs
-
-
-
-
-
-
25
-
2
-
-
27
Net Book Value at 31 March 2018
410,679
894,766
24,164
473,261
641,680
1,694
100,009
40,969
81,859
17,018
128,729
2,814,827
¹ Some assets have been reclassified to assets held for sale (Note 5.1) 2 Following the roll-out of Tech Overhaul the old Firecrest equipment (which has been fully depreciated) has been moved to disposals within Information Technology.
| Informa | Transport | Plant and | Antiques | Payments | Total |
|-----------|--------------|--------------|-------------|-------------|---------|
| tial | tion Tech | Equip | Machinery | and | on Ac |
| Enahnce | nology | | | | |
| 2 | | | | | |
| ment | Works of | count and | | | |
| ments | Art | Assets | | | |
| Under | | | | | |
| Construc | | | | | |
| tion | | | | | |
## 5. Property, Plant And Equipment (Cont.)
Property Valuations:
Physical inspections to inform valuations of properties were carried out as follows:
| Property Location | Valuer Effective Valuation Date |
|------------------------------------------|-----------------------------------|
| Asia Pacific, South Asia and Afghanistan | 30 September 2018 |
| 30 September 2017 | European Union; Wider Europe and |
| Russia; Caucasus; Central Asia | |
| Middle East & North Africa | 30 September 2016 |
| Sub-Saharan Africa | 30 September 2015 |
| Americas | 30 September 2014 |
| Colliers International | |
Desk reviews for revaluation purposes were carried out for all FCO properties as at 30 September 2018 where not physically inspected in year. These desk valuations were carried out for all other regions by Colliers International using RICS registered valuers. End of year impairments were assessed by Colliers International in conjunction with in-house FCO chartered surveyors. The total fees payable to the valuers in all cases represent less than 5% of the total fee income of the valuing firm/ body.
## Specialised Properties
Specialised properties have been valued using Depreciated Replacement Cost (DRC) methodology on a Modern Equivalent Replacement basis ignoring listed status (where relevant). It should be noted that DRC valuations are only relevant subject to the continuing prospect of the property in question remaining viable and occupied. In the event the property is no longer required for service delivery then the achievable Market Value of the asset may be significantly less or more than the value now reported on a DRC basis. In cases where DRC valuations have been applied, Market Values are also supplied for comparison purposes. All the valuations have been prepared in accordance with the Royal Institution of Chartered Surveyors Valuation Professional Standards (Global and UK) January 2014. All valuers are experienced and qualified Chartered Valuation Surveyors and Registered Valuers with relevant knowledge, skill and understanding. The desk valuations have been undertaken by way of a desk review of the valuations previously supplied by external Chartered Valuation Surveyors. Where possible, in arriving at an opinion of Market Value and/or Fair Value, observable prices and market data relating to actual transactions involving comparable properties has been utilised. For a number of properties, however, it has been necessary to rely on information obtained from market indices and benchmarks, informal advice received from local estate professionals and valuer judgement. These valuations are valid as at 30 September 2018, and reviewed at the reporting date for any material impact from global market volatility. Unless there are material changes the valuation is not changed from that at 30 September.
The FCO also holds a number of cemeteries across the world which are classified as non-operational assets, and as such, have de minimis carrying values. The cemeteries were purchased from public subscriptions. The cemeteries are held in the Embassy name for the local British Community.
## Leased Properties
The leased properties disclosed constitute two elements 1) Leasehold buildings £445.7 million (2017-18 £423.0 million); 2) Leases for ground rent held in perpetuity £161.1 million (2017-18 £162.2 million), which are treated as akin to freehold tenure and disclosed within land. Neither category is regarded as a finance lease.
## Antiques And Works Of Art
Valuation visits have been carried out to the Home Estate in 2018- 19. A revised quinquennial revaluation process focuses on Posts with the most material AWA values.
## Assets Held For Sale
The FCO manages its property portfolio in line with its dynamic business needs, including investment in new properties and disposal of those no longer required. Capital disposal receipts are retained for further investment by the FCO as agreed with HMT. Note 1.4 explains the accounting policy for Assets Held for Sale. The following assets are classified as held for sale:
Overseas properties
2018-19
2017-18
£000
£000
Balance as at 1 April
3,733
4,920
10,626
25,938
Reclassification to Assets Held For
Sale at Carrying Value
(322)
(11)
Revaluation to Fair Value Less Costs to Sell
(Impairments) / Reversals
-
-
Disposals
(3,420)
(27,113)
Balance as at 31 March
10,617
3,733
## Proceeds From Assets Sales
In 2018-19 proceeds from the sale of assets mainly consisted of £20.5m deferred income from the sale of the Bangkok compound in 2017-18 and approximately £1m each from the sale of properties in Canberra and Washington.
## 6. Intangible Assets
Consolidated 2018–19
Software
Website
Total
Licences
Design
£000
£000
£000
Cost or Valuation
At 1 April 2018
11,868
318
12,186
Additions
-
7
7
Disposals
-
-
-
Impairments
-
-
-
Reversals of Impairments
-
-
-
Revaluation
82
-
82
Reclassification
186
64
250
At 31 March 2019
12,136
389
12,525
Amortisation
At 1 April 2018
11,437
189
11,627
Charged for the Year
344
73
417
Disposals
-
-
-
Impairments
-
-
-
Reversals of Impairments
-
-
-
Revaluation
77
-
77
Reclassification
-
53
53
At 31 March 2019
11,858
316
12,175
Net Book Value at 1 April 2018
431
129
560
Net Book Value at 31 March 2019
277
73
350
Of the Total
Department
277
-
277
Agencies
-
73
73
ALBs
-
-
-
Net Book Value at 31 March 2019
277
73
350
Asset Financing
Owned
277
73
350
Finance Leased
-
-
-
Net Book Value at 31 March 2019
277
73
350
Consolidated 2017–18
Software
Website
Total
Licences
Design
£000
£000
£000
Cost or Valuation
At 1 April 2017
11,373
293
11,666
Additions
-
46
46
Disposals
(13)
(21)
(35)
Impairments
-
-
-
Reversals of Impairments
-
-
-
Revaluation
161
-
161
Reclassification
348
-
348
At 31 March 2018
11,868
318
12,187
Amortisation
At 1 April 2017
10,994
144
11,137
Charged for the Year
307
66
373
Disposals
(13)
(21)
(35)
Impairments
-
-
-
Reversals of Impairments
-
-
-
Revaluation
151
-
151
Reclassification
-
-
-
At 31 March 2018
11,437
189
11,627
Net Book Value at 1 April 2017
379
149
529
Net Book Value at 31 March 2018
431
129
560
Of the Total
Department
431
-
431
Agencies
-
129
129
ALBs
-
-
-
Net Book Value at 31 March 2018
431
129
560
Asset Financing
Owned
431
129
560
Finance Leased
-
-
-
Net Book Value at 31 March 2018
431
129
560
## 7. Impairments
Core Department &
Impairment and Reversals charged to CSCNE
Land
(301)
(301)
2,942
2,942
Buildings and Dwellings
39,939
39,939
10,049
10,049
Enhancements
(107)
(107)
148
148
Information Technology
(54)
(54)
298
298
Transport Equipment
-
-
123
123
Plant and Machinery
(209)
(209)
1,252
1,252
Antiques and Works of Art
(189)
(189)
24
24
Payments on Accounts & Assets Under Construction
13,448
13,448
106
106
Intangible Assets
-
-
-
-
Assets held for sale
-
-
-
-
Other
-
-
-
-
Transferred from Revaluation Reserve
-
-
-
-
The total impairment for the year was charged directly to the Consolidated Statement of Comprehensive Net Expenditure. A new asset category of Enhancements to Operating Leases was introduced in 2018-19, with assets split out from the Buildings category. In practice, this mainly means FCO-funded improvements to rented properties. The prior year numbers have been adjusted in line with this new analysis. Enhancements that were not made to operating leases have been impaired (these were to assets split out from the Buildings and AUC categories). There was an impairment reversal of £7.3m for Land during 2018-19. In addition there were impairment reversals of £377k for Plant & Machinery, £189k for AWA and £665k for IT. These impairment reversals resulted in an overall negative impairment for these asset categories. Following a valuation exercise on the Home Estate in 2018 there was a reverse impairment of £12.3m for Buildings. There was no movement between the revaluation reserve and general reserve in respect of impairments.
| | 2018-19 | 2017-18 |
|--------------|-------------------|--------------|
| Departmental | Core Department & | Departmental |
| Agencies | Group | Agencies |
| £000 | £000 | £000 |
| 52,527 | 52,527 | 14,943 |
## 8. Capital And Other Commitments 8.1 Capital Commitments
Contracted Capital Commitments at 31 March not otherwise included in these Financial Statements:
Core Department &
Agencies
£000
£000
£000
£000
Estates Projects
18,182
18,182
28,003
28,003
IT Infrastructure
2,168
2,168
16,384
16,384
Vehicles
39
39
39
39
20,389
20,389
44,426
44,426
## 8.2 Commitments Under Leases 8.2.1 Operating Leases
Total future minimum lease payments under operating leases are given in the table below for each of the following periods:
Core Department &
Agencies
£000
£000
£000
£000
Land and Buildings
Not later than 1 year
72,056
72,056
76,080
76,080
Later than 1 year but not later than 5 years
86,912
86,912
106,028
106,028
Later than 5 years
54,603
54,603
60,861
60,861
213,571
213,571
242,969
242,969
Other
Not later than 1 year
187
187
186
232
Later than 1 year but not later than 5 years
102
102
162
162
Later than 5 years
14
14
18
18
302
302
367
412
Total
213,873
213,873
243,336
243,382
At present the FCO does not have any finance leases. The majority of the Operating Lease payments represent rentals for buildings within the FCO's overseas estate. Lease terms and rentals vary depending on local circumstances.
| | 2018–19 | 2017–18 |
|--------------------|-------------------|--------------------|
| Departmental Group | Core Department & | Departmental Group |
| Agencies | | |
| 2018–19 | 2017–18 | |
| Departmental Group | Core Department & | Departmental Group |
| Agencies | | |
## 8. Capital And Other Commitments (Cont.) 8.3 Commitments Under Pfi Contracts And Other Service Concession Arrangements 8.3.1 On-Balance Sheet (Included Within Consolidated Statement Of Financial Position)
| Not later than 1 year | 3,817 | 3,883 |
|-----------------------------------------------------------------------|----------|----------|
| Later than 1 year but not later than 5 years | 15,267 | 15,533 |
| Later than 5 years | 23,854 | 28,154 |
| Less Interest element | (15,008) | (17,517) |
| Present Value of obligations | 27,930 | 30,053 |
| The above liability is disclosed under Payables (Note 13) as follows: | | |
| Amounts falling due within 1 year | 1,735 | 1,635 |
| Amounts falling due after | 26,195 | 28,417 |
Private Finance Initiative (PFI) transactions have been accounted for in accordance with HMT and FReM requirements. Where the terms of the PFI meet the definition of service concession arrangements in IFRIC 12 Service Concession Arrangements, the infrastructure asset is recognised as a non-current asset and the liability to pay for it is accounted for as a finance lease. Contract payments are apportioned between a reduction in the capital obligation and charges to the CSCNE for service performance and finance cost.
Berlin Embassy The contract in respect of the building, operation and maintenance of the British Embassy Berlin for a term of 30 years from 23 June 2000 with an option to extend for a further 30 years. The property meets the criteria determined by IFRIC 12, and therefore the embassy is included in the accounts within Property, Plant and Equipment. The initial capitalization of the contract was reflected in the FCO's accounts for 2002–03. Contractual payments therefore comprise two elements: imputed finance lease charges and service charges. The liability to pay for the property is in substance a finance lease obligation.
## 8.3.2 Charge To The Consolidated Statement Of Comprehensive Net Expenditure And Future Commitments
Core Department &
Agencies
Departmental Group
Core Department &
£000
£000
£000
£000
Not later than 1 year
2,262
2,262
2,185
2,185
Later than 1 year but not later than 5 years
9,048
9,048
8,739
8,739
Later than 5 years
15,834
15,834
17,478
17,478
27,144
27,144
28,402
28,402
## 8.4 Other Financial Commitments
The Department has entered into non-cancellable contracts (which are not leases or PFI contracts) for facilities management, logistics and computer services.
The payments to which the FCO is committed, analysed by the period during which the commitment expires, were as follows:
Core Department &
Agencies
Departmental Group
Core Department &
£000
£000
£000
£000
Not later than 1 year
40,425
40,425
104,995
104,995
Later than 1 year but not later than 5 years
8,136
8,136
17,921
17,921
Later than 5 years
-
-
-
-
48,561
48,561
122,915
122,195
2018–19
2017–18
£000
£000
42,938
47,570
27,930
30,053
2018–19
2017–18
Agencies
Departmental Group
2018–19
2017–18
Agencies
Departmental Group
## 9. Financial Instruments
Summary of Financial Instruments
Non-Current Financial Assets
Investment in Other Public Sector Bodies
9.1
4,981
4,981
Forward Currency Contracts
9.2
4,551
1,092
Current Financial Assets
Forward Currency Contracts
9.2
7,022
8,374
Current Financial Liabilities
Forward Currency Contracts
9.2
(3,177)
(10,744)
Non-Current Financial Liabilities
Forward Currency Contracts
9.2
(2,649)
(14,855)
## 9.1 Investment In Other Public Sector Bodies
The FCO holds an investment in FCO Services, comprised of 100% of its Public Dividend Capital (PDC) of £4,981,000. As a trading fund FCO Services is not included within the FCO departmental boundary, and the Department's investment is reported in these accounts at historical cost. There have been no movements since 31 March 2017 and the value remains at £4,981,000.
## 9.2 Forward Currency Contracts
Forward purchases have been used to reduce budget uncertainty in respect of foreign exchange in the significant currencies in which the FCO operates. Further information is provided below under the IFRS 17 heading. Forward purchases contracts matured as follows:
Foreign
Currency
Sterling Cost
000
£000
000
£000
Euro
40,810
35,062
1.16
29,600
23,587
1.25
US Dollar
381,000
275,123
1.38
393,930
262,974
1.5
Forecast unrealised gains and losses on forward purchases maturing in future periods, based on the actual rates of exchange at the reporting period date, are analysed as follows:
Note
2018–19
2017–18
£000
£000
9,532
6,073
10,727
(11,153)
2018-19
2017-18
Average
Foreign
Average
Exchange Rate
Currency
Sterling Cost
Exchange Rate
310,185
286,561
## 9.2 Forward Currency Contracts (Cont.)
Foreign
Currency
Current Assets and Liabilities
Maturing in 2019-20
Euro
39,300
35,118
151
(1,359)
US Dollar
364,300
272,089
6,870
(1,818)
Non-current Assets and Liabilities
Maturing in 2020-21
Euro
27,952
25,588
-
(1,222)
US Dollar
241,949
178,040
3,521
(599)
Maturing in 2021-22
Euro
14,622
13,398
-
(478)
US Dollar
115,400
84,559
1,030
(350)
Total
608,793
11,572
(5,826)
Foreign
Currency
Current Assets and Liabilities
Maturing in 2018-19
Euro
40,810
35,062
1,411
(628)
US Dollar
346,000
249,055
6,963
(10,116)
Non-current Assets and Liabilities
Maturing in 2019-20
Euro
26,633
23,697
396
(346)
US Dollar
237,205
175,283
695
(9,959)
Maturing in 2020-21
Euro
14,433
13,345
-
(270)
US Dollar
115,233
83,733
-
(4,281)
Maturing in 2021-22
Euro
-
-
-
-
US Dollar
-
-
-
-
Total
580,175
9,465
(25,599)
IFRS 9 Financial Instruments was applied by FCO for the first time in 2018-19, it replaces the 'incurred loss model' in IAS 39 with a forward looking 'expected credit loss' (ECL) model. This new impairment model mainly impacts the FCO's loans and receivables balances, debt instruments measured at amortised cost, and some trade and other receivables balances. The FCO has made an assessment of those financial assets to which IFRS 9 applies. The FCO considered all reasonable and supportable information that is relevant and available without undue cost of effort in assessing the credit risk and determining the appropriate level of ECLs. This included qualitative and quantitative information; and analysis based on historical experience, modified to reflect current as well as forecast information. 'Expected' means applying a weighting to the risk of default. The majority of financial instruments relate to contracts for nonfinancial items in line with the Department's expected purchase and usage requirements and the Department is therefore
2018–19
Currency Value
Sterling Value
Unrealised Gains
Unrealised
Losses
000
£000
£000
£000
307,207
7,022
(3,177)
203,628
3,521
(1,820)
97,958
1,030
(829)
2017–18
Currency Value
Sterling Value
Unrealised Gains
Unrealised
Losses
000
£000
£000
£000
284,117
8,374
(10,744)
198,980
1,092
(10,304)
97,078
-
(4,551)
-
-
-
exposed to little credit, liquidity or market risk. As many of the Department's trade receivables and trade payables are, by their nature, short term in duration, they are recorded at fair value. On this basis, no systematic exercise to compare the fair value with carrying amount is conducted. Most of the Department's customers and counterparties are other public sector organisations. HMT has mandated that receivable balances with core central government departments are excluded from being recognised for impairments. For those customers and counterparties that are not public sector organisations the Department has policies and procedures in place to ensure credit risk is kept to a minimum. The Department is not exposed to material credit risk.
## Estimated Impact Of Adoption
The FCO has made an assessment of those financial assets to which IFRS 9 applies.
There are three ways of measuring expected credit losses:
## Probability Weighted Outcome (Not Best Or Worst Case)
»
» Time value of money
»
» Reasonable and supportable information available without
undue cost or effort
»
» Information used to assess the loss can be past events, current
conditions and forecasts.
IFRS 9 also requires a risk assessment of all receivables over 30 days old.
## Financial Instruments
The core Department holds 100% of the shares in FCO Services. As a trading fund, FCO Services is not included within the FCO departmental boundary, and the Department's investment is reported in these accounts at historical cost. This is considered to be a reasonable approximation for fair value as any surplus from trading is paid annually to the Department in the form of a dividend. This treatment does not change under IFRS 9. We have assessed that the classification and accounting treatment of foreign currency forward contracts as held for trading financial instruments, does not change under IFRS 9 Financial Instruments, because they were not designated as hedges on inception by the FCO. Please see accounting policy 1.10 foreign currency forward purchase contracts for further detail.
## Receivables
Under the simplified model within IFRS 9, both short term and long term receivables should always recognise a loss allowance for an amount equal to lifetime ECLs. This approach simplifies the application of the impairment model as it removes the need for a constant assessment for impairment but is likely to result in a significant 'day one' loss. The FCO's Trade Receivables includes Consular debt, where only that debt time bound by statute of limitations is written off. Of the debt outstanding for the financial year ending 31 Mar 2019 the FCO is expected to write off £6k (2018: £10k) of consular debt. The probability weighted outcome for lifetime ECL is calculated to be £37k. Advances have been assessed as having an expected lifetime loss of £38k, with that for deposits being assessed at £61k. All of these debts are actively monitored, and a number of collection methods are used to keep default to a minimum. Specific disclosures are not required if the information resulting from that disclosure is not material. The FCO considers that the above indicates that no specific disclosures are required as the estimated impairments are trivial. IFRS 7 Financial instruments: Disclosures requires disclosures in the financial statements that enable users to evaluate the significance of financial instruments to the financial position and performance, and the nature and extent of risks arising from financial instruments to which the FCO is exposed during the year and at the financial year end, and how those risks are being managed.
## Currency Risk
The FCO is exposed to foreign currency risks which can be significant because of the nature of its business and geographical presence. The following describe the mechanisms by which FCO
deals with the exposure:
The Foreign Currency Mechanism (FCM) originally agreed with HMT in the 2010 Spending Review was updated in the 2015 Spending Review. The FCM increases or decreases the FCO's budget each year in the Supplementary Estimate to take account of movements in the top 100 currencies where the Department spent most money in 2015-16. The FCM uses exchange rate movements covering the period February to January, and applies it to the FCO's baseline spend to calculate the adjustment to the FCO's budget. However, significant currency movements between February and March each year would only be reflected in a budget adjustment to the following financial year. Consequently there remains a foreign exchange risk related to movements in February and March in the current year. The FCM includes an element to take account of the differential inflation rates between countries. The FCM only applies to the FCO's core budget so does not cover expenditure on British Council, or peacekeeping. As described above the FCO is exposed in the current year to exchange rate movements in February and March. FCO uses the spot rate for foreign currency transactions in that period. A budget adjustment is requested in the following year. As the peacekeeping budget is not included in the FCM, the FCO continues to use forward purchase currency contracts for peacekeeping expenditure only, to minimise budget uncertainty. The Ministry of Defence (MoD) arranges the purchase of foreign currency on behalf of the FCO. The following table illustrates the impact of changes in the Sterling to Euro and Sterling to US Dollar rates, and assumes the level of balances remains constant.
Impact of FX rate
Balance at 31
Euro rate at 31
change of 1% on
£000
March
March
Financial Assets is
Cash
22,794
0.8535
+/- 1.38%
Impact of FX rate
Balance at 31
USD rate at 31
change of 1% on
£000
March
March
Financial Assets is
Cash
20,456
0.7498
+/- 2.43%
## Liquidity Risk
The cash requirements of the Department for day-to-day operations and capital investments are met through the Estimates process and by the passing of the annual Appropriation Act. The Estimates process allows for amendments to funding to be made during the year via the Supplementary Estimate. Consequently there is limited liquidity risk.
## Market Risk
The Department's costs and reserve numbers are dependent upon the property markets in countries where the Department has significant non-current assets. Historically the material impact has been increases in the value of non-current assets resulting in increased depreciation charges.
## 10. Inventories
Core Department &
Total physical stock
927
927
1,000
1,000
Physical stock held includes Emergency Travel Documents (ETDs) held at Posts, and the Government Wine Cellar (used to support the work of Government Hospitality in delivering business hospitality for all government ministers and departments).
## 11. Cash And Equivalents
Core Department &
Balance at 1 April
254,221
256,368
70,659
73,366
Net change in cash balances
(177,279)
(175,944)
183,562
183,002
Balance at 31 March
76,942
80,424
254,221
256,368
The following balances and overdrafts were held at 31 March:
Government Banking Service
6,799
6,799
140,134
140,134
Commercial banks and cash in hand UK and overseas
70,144
73,625
114,087
116,234
Balance at 31 March
76,942
80,424
254,221
256,368
## 12. Trade Receivables, Financial And Other Assets
Core Department &
Amounts Falling Due Within 1 Year
Trade receivables
33,280
33,908
27,397
27,772
Deposits and Advances
1,296
1,494
942
1,016
Other receivables
12,028
12,028
14,124
14,124
Leasehold land (non-perpetual) prepayments
379
379
380
380
Other prepayments and accrued income
75,763
77,170
77,225
78,136
Contract Assets
33,754
33,754
44,833
44,833
Under issue of Supply from the Consolidated Fund
-
-
81,672
81,672
Amounts Falling Due After 1 Year
Leasehold land (non-perpetual) prepayments
25,722
25,722
26,103
26,103
Other receivables
2,751
2,751
3,047
3,047
Total
184,973
187,204
275,721
277,082
2018–19
2017-18
Departmental
Core Department &
Departmental
Agencies
Group
Agencies
Group
£000
£000
£000
£000
927
927
1,000
1,000
2018–19
2017-18
Departmental
Core Department &
Departmental
Agencies
Group
Agencies
Group
£000
£000
£000
£000
2018–19
2017-18
Departmental
Core Department &
Departmental
Agencies
Group
Agencies
Group
£000
£000
£000
£000
156,501
158,732
246,572
247,933
28,473
28,473
29,150
29,150
## 13. Trade Payables And Other Liabilities
Core Department &
Amounts Falling Due Within 1 Year
Bank overdrafts
-
-
-
-
Other taxation and social security
1,244
1,254
311
376
Payments on account
377
377
252
252
Trade payables
34,210
35,308
30,317
31,166
Other payables
106,248
106,254
26,375
26,375
Accruals and deferred income
161,345
163,759
143,903
145,088
Contract Liabilities
24,146
24,146
43,138
43,138
Current part of finance leases
-
-
-
-
Current part of imputed finance lease element of on-SoFP PFI contracts
1,735
1,735
1,635
1,635
Total excluding amounts due to the Consolidated Fund
329,305
332,833
245,932
248,030
Amounts issued from the Consolidated Fund for supply but not spent
At year end
76,566
76,566
253,715
253,715
Income due to be paid to the Consolidated Fund
376
376
506
506
Amounts Falling Due After 1 Year
Payables, accruals and deferred income
-
-
-
-
Finance leases
-
-
-
-
Imputed finance lease element of on-SoFP PFI contracts
26,195
26,195
28,417
28,417
Total
432,442
435,970
528,570
530,668
The increase in "Other taxation and social security" relates in part to a payable to HMRC for income tax and national insurance contributions. The increase in "Other Payables" relates to visa receipts collected on behalf of Home Office.
| | 2018–19 | 2017–18 |
|--------------|-------------------|--------------|
| Departmental | Core Department & | Departmental |
| Agencies | Group | Agencies |
| £000 | £000 | £000 |
| 406,247 | 409,775 | 500,153 |
| 26,195 | 26,195 | 28,417 |
## 14. Provisions For Liabilities And Charges
Note 1 to the Accounts sets out the Statement of Accounting Policy and details about the calculation for early departure costs
(Note 1.20) and terminal benefits for local staff (Note 1.21).
## Early Departure Provisions
The Department and its Agency meets the additional costs of benefits beyond the normal Principal Civil Service Pension Scheme (PCSPS) benefit for employees who retire early. An amount is paid annually to the PCSPS for the period between early departure and the normal retirement date. The Department and Agency provides for this in full when the early retirement becomes a binding liability.
## Local Staff Terminal Gratuities
Depending upon local employment law and custom, the FCO at Post may set up a Terminal Gratuity Provision for locally engaged staff. This is not a formal pension fund, but does allow the FCO to
Core Department &
Agencies
Departmental Group
Core Department &
£000
£000
£000
£000
Balance at 1 April
48,858
48,877
47,506
47,525
Provided in year (bal)
18,266
18,284
13,632
13,632
Provisions not required written back
(8,465)
(8,465)
(2,685)
(2,685)
Provisions utilised in the year
(10,548)
(10,548)
(5,958)
(5,958)
Unwinding of discount
27
27
18
18
Terminal gratuities exchange unrealised (gain)/loss
1,203
1,203
(3,655)
(3,655)
Balance at 31 March
49,342
49,378
48,858
48,877
## 14.1 Analysis Of Expected Timing Of Discounted Cash Flows
Core Department &
Agencies
Departmental Group
Core Department &
£000
£000
£000
£000
Not later than 1 year
10,316
10,316
6,666
6,684
Later than 1 year but not later than 5 years
12,899
12,935
16,957
16,957
Later than 5 years
26,127
26,127
25,236
25,236
Balance at 31 March
49,342
49,378
48,858
48,877
## 14.2 Analysis Of Provision By Type
Early Departure
Costs
£000
£000
£000
£000
£000
Not later than 1 year
93
2,596
833
6,794
10,316
Later than 1 year but not later than 5 years
180
9,652
1,617
1,486
12,935
Later than 5 years
-
26,087
40
-
26,127
Balance at 31 March
273
38,335
2,489
8,280
49,378
create a liability for payments to employees. These get paid out upon their retirement or when they leave service (depending on the specific terms and conditions of the scheme in that country).
As the employee works through each year they gradually increase the value of their own specific Terminal Gratuity Provision, which will be paid to them if they met the conditions of the scheme.
## Other Staff Provisions
These relate to provisions by the core Department for claims made by staff against the Department. The provision is calculated based on general experience of what the most likely outcome is for each type of claim.
## Other Provisions
These relate to provisions by the core Department for possible back-rental demands and other estate commitments, as well as claims made by third parties against the Department.
| 2018–19 | 2017–18 |
|--------------------|-------------------|
| Agencies | |
| Departmental Group | |
| 2018–19 | 2017–18 |
| Agencies | |
| Departmental Group | |
| 2018–19 | |
| LE Staff Terminal | Other Staff Provi |
| Gratuities | sions |
## 15. Contingent Liabilities And Contingent Assets Disclosed Under Ias 37
| 2018–19 | 2017–18 |
|-----------------------|-----------|
| £000 | £000 |
| Potential Obligations | 51,055 |
In addition to contingent liabilities disclosed in accordance with IAS 37 Provisions, Contingent Liabilities and Contingent Assets, the FCO discloses for parliamentary reporting and accountability purposes certain statutory and non-statutory contingent liabilities where the likelihood of a transfer of economic benefit is remote, but which have been reported to Parliament in accordance with the requirements of HMT's Managing Public Money. These can be found in the Parliamentary Accountability and Audit Report of the Annual Report and Accounts.
## 16. Retirement Benefit Schemes
Retirement benefits for UK-based employees are provided through the Civil Service pension arrangements. For staff engaged overseas the FCO observes local employment laws and provides for the payment of pensions and other terminal benefits. The FCO contributes to pension schemes in the following ways.
## Civil Service Pension Scheme
In respect of UK-based staff, from 1 April 2015 all those newly appointed, and the majority of those already in service, joined the new Civil Servants and Others Pension Scheme or Alpha. Prior to that date, UK-based employees participated in the PCSPS. These are unfunded multi-employer defined benefit schemes and the FCO does not separately identify its share of the underlying liabilities. For 2018-19, employer contributions of £41,642,480 (2017-18: £37,903,088) were paid to the Civil Service pension schemes. This figure includes contributions made on behalf of staff from One HMG platform partners which are re-charged. The contribution rates are based on salary bands and are set to meet the cost of the benefits accruing during 2018-19 to be paid when the member retires, and not the benefits paid during this period to existing pensioners. Employees can opt to open a partnership pension account, which is a 'money purchase' stakeholder pension with an employer contribution. Employer contributions of £230,145 (2017-18: £289,100) were paid to one or more of the appointed stakeholder pension providers. In addition, employer contributions of £8,731 (2018-17: £6,725), 0.5% of pensionable pay, were paid to the Civil Service pension scheme to cover the cost of the future provision of lump sum benefits on death in service or ill health retirement of these employees.
Material contingent liabilities are not disclosed separately for commercial reasons, all other contingent liabilities are not individually material.
Litigation in respect of compensation claims brought about as part of the Kenyan Emergency Group Litigation and Cyprus Emergency have ended following the outcome of court cases this year. The contingent liability in 2017-18 did not include any amount for these group litigations as the FCO believed disclosing an amount would seriously prejudice the litigation. The 2017-18 Accounts did, however, disclose that these cases had been brought against the FCO.
Further details are given in the Remuneration and Staff Report.
## Other Defined Contribution Schemes
The FCO operates defined contribution schemes independent of local government in some Posts. The value of contributions in 2018-19, excluding contributions to government schemes, was £2,839,551 (2017-18: £4,847,395).
## Other Defined Benefit Schemes
The FCO operates defined benefit schemes in the countries as shown in the tables below. These are based on final salary and provide for pensions at retirement and for benefits on death or disablement in service. Posts retain responsibility for the stewardship of these schemes and funding is met by the FCO out of in year resources. They are subject to annual actuarial review and the actuarial valuations as at 31 March 2019 are incorporated below. The schemes are closed to new members, other than a scheme in the Netherlands which is not included below because, as an insurance-based scheme operated by a life company, there are no assets and obligations to report and it is therefore treated as a defined contribution scheme. The schemes are funded other than the Cyprus scheme (the British East Mediterranean Relay Service Pension Scheme in respect of former BBC World Service staff who operated on the island) which is unfunded with the benefits being paid out of current resources. The estimated amount of contributions expected to be paid to the schemes in the next financial year 2019-20 is £920,353.
## 16. Retirement Benefit Schemes (Cont.)
Defined Benefit Schemes Recognised in the Statement of Financial Position
Present Value of Funded Obligations
Canada
(10,340)
(9,510)
Republic of Ireland
(5,799)
(5,649)
Jamaica
(2,374)
(2,112)
Mauritius
(200)
(313)
South Africa
(1,225)
(1,650)
Columbia
(572)
(566)
Belgium
(1,193)
(1,096)
Fair Value of Plan Assets
Canada
11,934
10,976
Republic of Ireland
5,721
5,449
Jamaica 1
2,663
2,672
Mauritius
150
215
South Africa
1,666
1,900
Columbia
118
125
Belgium
666
644
Net Asset/(Liability) of Funded Schemes
1,213
1,084
Present Value of Unfunded Obligations
Cyprus
(25,355)
(27,616)
Total
(24,141)
(26,532)
Summary
Assets
2,322
2,276
Liabilities
(26,463)
(28,808)
Net Asset/(Liability)
(24,141)
(26,532)
Amounts Recognised in the CSCNE
Total service costs 2
412
795
Net Interest 3
511
663
Exchange differences on foreign plans
(494)
879
Total Included in Employee Benefits Expense
428
2,337
Remeasurements
(900)
(1,320)
1 The Jamaica Scheme is subject to an asset ceiling which has reduced the net defined benefit asset by £514,000 (2017-18: £nil), in respect of a limitation on the economic benefit of future employer contributions.
2 Service costs contain both current and past service costs along with curtailment costs in both the current year and prior year comparator in line with the revised IAS 19 (Employee benefits) standard.
3 Net Interest combines interest on obligations and expected return on plan assets
| 2018–19 | 2017–18 |
|-----------|-----------|
| £000 | £000 |
| (21,704) | (20,896) |
| 22,917 | 21,980 |
## 16. Retirement Benefit Schemes (Cont.)
Changes in the Present Value of the Defined Benefit Obligation
Opening defined benefit obligation
(48,512)
(50,134)
Pensioners in payment exactly matched by annuity contracts
(107)
(6)
Service cost
(412)
(795)
Curtailment / settlement cost
-
-
Interest cost
(1,417)
(1,631)
Contributions by participants
(124)
(139)
Actuarial (losses)/gains
(327)
818
Exchange differences
276
166
Benefits paid
2,681
2,903
Changes in assumptions underlying the present value of the scheme liabilities
883
307
Closing Defined Benefit Obligation
(47,059)
(48,511)
Changes in the Fair Value of Plan Assets
Opening fair value of plan assets
21,980
21,731
Pensioners in payment exactly matched by annuity contracts
107
6
Expected return
906
968
Actuarial gains (losses)
344
195
Contributions by employer
419
1,409
Contributions by participants
124
139
Exchange differences
218
(1,044)
Benefits paid
(1,180)
(1,424)
Changes in assumptions underlying the present value of the scheme assets
-
-
Closing Fair Value of Plan Assets
22,917
21,980
The major categories of plan assets as a percentage of total plan assets are as follows
Equities
41.18%
34.72%
Bonds
34.65%
26.66%
Other
24.17%
38.63%
Principal actuarial assumptions as at 31 March (expressed as weighted averages)
Discount rate
1.78%
1.76%
Expected return on plan assets
3.81%
4.00%
Future salary increases
2.51%
2.53%
Future pension increases
1.91%
2.43%
| 2018–19 | 2017–18 |
|-----------|-----------|
| £000 | £000 |
| 2018–19 | 2017–18 |
## 16. Retirement Benefit Schemes (Cont.)
Amounts for the current and previous four years
2018-19
2017-18
2016-17
2015-16
2014-15
Funded Schemes
£000
£000
£000
£000
£000
Defined benefit obligation
(21,704)
(20,896)
(20,960)
(18,054)
(18,649)
Plan assets
22,917
21,980
21,731
17,527
18,080
Surplus/(Deficit)
1,213
1,084
770
(528)
(569)
Unfunded Scheme
Defined Benefit Obligation
(25,355)
(27,616)
(29,174)
(24,394)
(24,299)
Experience adjustments on plan liabilities
883
307
(3,791)
1,064
(2,855)
Experience adjustments on plan assets
-
-
-
-
-
## Analysis Of Movements In Obligations And Assets
| Matched | Exchange | Service cost, | Brought |
|---------------------------------------|--------------|------------------|------------|
| forward | by annuity | Curtailment | |
| contracts | / settlement | | |
| costs | | | |
| £000 | £000 | £000 | £000 |
| Present Value of Funded Obligations | | | |
| Canada | (9,510) | - | (379) |
| Republic of Ireland | (5,649) | - | 99 |
| Jamaica | (2,112) | (107) | (178) |
| Mauritius | (313) | - | 97 |
| South Africa | (1,650) | - | 175 |
| Colombia | (566) | - | 32 |
| Belgium | (1,096) | - | - |
| (20,896) | (107) | (154) | (412) |
| Fair Value of Plan Assets | | | |
| Canada | 10,976 | - | 437 |
| Republic of Ireland | 5,449 | - | (97) |
| Jamaica | 2,672 | 107 | 213 |
| Mauritius | 215 | - | (99) |
| South Africa | 1,900 | - | (218) |
| Colombia | 125 | - | (7) |
| Belgium | 644 | - | (11) |
| 21,980 | 107 | 218 | - |
| Net Asset/(Liability) | | | |
| of Funded Schemes | | | |
| 1,084 | - | 64 | (412) |
| Present Value of Unfunded Obligations | | | |
| Cyprus | | | |
| (27,616) | - | 430 | - |
| Total | (26,532) | - | 494 |
| 2018–19 | | | |
| Interest, | Changes in | Participants | Benefits |
| Finance | assumptions, | contribu | paid |
| income | tions | (losses) | Employer |
| contribu | | | |
| tions | | | |
## 16. Retirement Benefit Schemes (Cont.)
Analysis of Movements in Obligations and Assets
Matched
Exchange
Service cost,
Brought
forward
by annuity
Curtailment
contracts
/ settlement
costs
£000
£000
£000
£000
£000
£000
£000
£000
£000
£000
Present Value of Funded Obligations
Canada
(9,932)
-
789
(132)
(372)
(171)
(41)
392
(43)
(9,510)
Republic of Ireland
(5,200)
-
(134)
(133)
(90)
-
(18)
18
(92)
(5,649)
Jamaica
(1,999)
(6)
212
(88)
(179)
(377)
(41)
35
332
(2,112)
Mauritius
(259)
-
14
(10)
(16)
-
-
-
(42)
(313)
South Africa
(1,828)
-
(29)
(79)
(148)
(8)
(39)
602
(123)
(1,650)
Colombia
(547)
-
44
(354)
-
-
-
272
19
(566)
Belgium
(1,196)
-
(28)
-
(20)
-
-
104
44
(1,096)
(20,960)
(6)
867
(795)
(825)
(557)
(139)
1,424
95
(20,896)
Fair Value of Plan Assets
Canada
11,607
-
(916)
-
430
113
41
(392)
93
10,976
Republic of Ireland
4,207
-
119
-
73
1,098
18
(18)
(47)
5,449
Jamaica
2,420
6
(262)
-
222
56
41
(35)
224
2,672
Mauritius
205
-
(10)
-
13
8
-
-
(1)
215
South Africa
2,124
-
33
-
180
86
39
(602)
41
1,900
Colombia
508
-
(25)
-
39
-
-
(272)
(126)
125
Belgium
660
-
16
-
11
49
-
(104)
12
644
21,731
6
(1,044)
-
968
1,409
139
(1,424)
195
21,980
Net Asset/(Liability) of Funded Schemes
770
-
(177)
(795)
143
853
-
-
290
1,084
Present Value of Unfunded Obligations
Cyprus
(29,174)
-
(702)
-
(806)
863
-
1,479
723
(27,616)
Total
(28,404)
-
(879)
(795)
(663)
1,716
-
1,479
1,013
(26,532)
2017-18
Interest,
Changes in
Participants
Benefits
Actuarial
Carried
Finance
assumptions,
contribu
paid
gains /
forward
income
tions
(losses)
Employer
contribu
tions
## 16. Retirement Benefit Schemes (Cont.)
Each of the schemes typically expose the FCO to key actuarial risks as outlined below which could result in an increase in recommended contributions to maintain their funding positions:
1. Investment risk—the long term real rate of return achieved
on scheme assets and the market yields on long term fixed interest and index linked bonds reduce, creating a significant difference between the returns achieved and that assumed in the calculations.
2. Interest rate risk—a reduction in rates such that the expected
costs of future pensions are greater than allowed for in the actuarial assumptions.
3. Remuneration risk—an unexpected increase in the general
remuneration level of scheme members above that assumed in the calculations.
4. Inflation risk—future inflation higher than assumed will lead to
higher pension payments.
Cyprus - Unfunded
Change in assumption
Approximate effect on total liability
1% reduction in discount rate
14%
4,000
1% reduction in inflation rate
-11%
-3,300
Pensioners living on average 2 years longer
10%
2,900
Ireland - Funded
Change in assumption
Approximate effect on pension liability
1% reduction in discount rate
26%
1,772
1% reduction in inflation rate
-8%
-522
Pensioners living on average 2 years longer
6%
373
Canada - Funded
Change in assumption
Approximate effect on pension liability
1% reduction in discount rate
18%
3,253
1% reduction in inflation rate
-13%
-2,359
Pensioners living on average 2 years longer
8%
1,521
5. Mortality risk—an increase in life expectancy of the schemes'
participants will increase the schemes' liabilities.
## Sensitivity Analysis
The results of any actuarial calculation are inherently uncertain because of the assumptions which must be made. In recognition of this uncertainty we illustrate below the approximate effects on the actuarial liability of changes to the main actuarial assumptions. The tables show the indicative effects on the scheme total liability as at 31 March 2019 for the Cyprus unfunded scheme and the two largest funded schemes as a result of a change in the stated assumptions. The principal financial assumptions are the nominal discount rate and rate of inflation. An increase in the nominal discount rate assumption will decrease the value of the liabilities and vice versa, whilst an increase in the inflation assumption will increase the value of the liabilities and vice versa. A key demographic assumption is pensioner mortality.
| % | Euros (000) |
|-----|---------------|
| % | Euros (000) |
| % | CAD (000) |
## 17. Related Parties
The Foreign and Commonwealth Office is the parent department of Wilton Park Executive Agency, sponsors FCO Services (a trading fund) and a number of non-departmental and other arms length public bodies as listed in Note 18. These bodies are regarded as related parties with which the Department has had various material transactions during the year. In addition, the FCO has had regular transactions with Partners across Government. Iain Macleod, a member of the FCO Management Board, was a Trustee of the British Institute of International and Comparative Law (a not-for-profit charity) during 2018-19. The FCO paid the British Institute of International and Comparative Law £55,198
## 18. Entities Within And Outside The Departmental Accounting Boundary Associated Entities Inside The Departmental Accounting Boundary
The entities within the boundary during 2018-19 were:
»
» Wilton Park Executive Agency—the Annual Report and
Accounts of Wilton Park is published separately. See wiltonpark.org.uk
»
» The Great Britain-China Centre (Executive NDPB) and its
subsidiary The UK China Forum. See www.gbcc.org.uk.
»
» The Marshall Aid Commemoration Commission (Executive
NDPB). See www.marshallscholarships.org
»
» The Westminster Foundation for Democracy Limited (Executive
NDPB). See www.wfd.org
More information on these entities can be found in the Accountability Report. Income and expenditure for the FCO incorporated financing of the following Non Departmental Public Bodies (NDPBs), in full or in part, in the current financial year:
## 19. Events After The Reporting Date
In accordance with the requirements of IAS 10, events after the reporting period are considered up to the date on which the accounts are authorised for issue. This is interpreted as the date of the Certificate and Report of the Comptroller and Auditor General. On 11 April 2019 the Article 50 negotiation period was extended. Preparations for a no-deal exit from the EU were wound down while negotiations continue. The Accounting Officer authorised these financial statements for issue on the same date as the Comptroller & Auditor General's Audit Certificate. The accounts do not reflect events after this date.
during the year. The FCO also made a £5,000 contribution to the Arthur Watts Fellowship, which was established by the British Institute of International and Comparative Law.
Ann Cormack, a member of the ARAC Board, was a Council Member of Chatham House (a not-for-profit charity also known as The Royal institute of International Affairs) during 2018-19. The FCO paid Chatham House £515,591 during the year. No minister, board member, key manager or other related parties other than as mentioned above have undertaken any material transaction with the FCO during the year. There are no potential conflicts of interest to report.
»
» UK India Round Table (Advisory NDPB).
## Associated Entities Outside The Departmental Accounting Boundary
»
» FCO programmes include payments to British Council
(Executive NDPB, charity established by Royal Charter, Public Corporation). See www.britishcouncil.org
»
» FCO Services (FCOS) is an agency of FCO as well as a trading
fund. As a Trading Fund FCOS provides a range of integrated secure services worldwide to the FCO, other UK public bodies and foreign governments and international organisations closely linked to the UK. See www.fcoservices.gov.uk
»
» British Intergovernment Services Authority (BISA) which was
set up to oversee delivery of the UK Government's obligations under Government to Government agreements, although to date it has not started trading.
More information on these entities can be found in the Accountability Report.
## Annex A: Corporate Sponsorship (Unaudited)
Description of project
Total Forecast Project Costs (£)
Name of Sponsor(s)
Cash (LC)
In-Kind (LC)
Cash (£)
In-Kind (£)
Abu Dhabi
Queen's Birthday Party
75,455
Al Habtoor Motors
93,296
18,014
Marks & Spencer MENA (Al
Futtaim Group)
230000
44,408
Accra
Queen's Birthday Party
32,058
Olam Ghana
100,000
15,675
Golden Exotic Limited
33,000
5,274
Tullow Ghana Ltd
48,800
7,879
Prudential Life Insurance
20,000
3,230
Queen's Birthday Party
2493.01
Prudential Life Insurance
15434.75
2,493
Algeria
Queen's Birthday Party
15,283
Anadarko
800,899
5,050
BP Exploration Algeria Ltd
800,899
5,166
Americas
AMERICAS Love is GREAT
5,701
British Airways
12,820
National Grid
5,701
Amman
Queen's Birthday Party
89,148
Eastern Investment Group
IrisGuard Jordan
7,000
7,151
Inspirational Development Group
5,000
5,108
Mahmoudia
15,000
15,323
Hertz Shakhshir Car Rental
7,000
7,528
Standard Chartered Bank
15,000
16,131
Dnata Ltd
6,999
7,431
ASEAN
Regional Education campaign
British Alumni Association
23,760
Astana
Queen's Birthday Party 2018
Shell
2,289,000
5,127
Bahrain
Queen's Birthday Party 2018
22,573
BAE systems
3,000
5,643
Euro Motors
3,000
5,643
Charles Russells Speechlys
3,000
5,643
Standard Chartered Bank
3,000
5,643
Shell
67,500
13,033
Petrofac
800,899
5,067
Holding
15,000
15,323
Le Gray
7,000
7,433
Unilever
7,000
7,721
Description of project
Total Forecast Project Costs (£)
Name of Sponsor(s)
Cash (LC)
In-Kind (LC)
Cash (£)
In-Kind (£)
Beirut
Queen's Birthday Party 2018
79,843
Risk Advisory Group
30,000
21,744
DG Jones & Partners
10,000
7,248
Mana Automotive
20,000
15,067
LIBANK S.A.L
10,000
7,534
Promethean Board
8,560
BESA Trade Mission & EDEX 2018
Beijing
295,000
BP
30,000
China International Import Expo
Lloyds Bank
10,000
World First
30,000
Premier League
30,000
University of Buckingham
15,000
Berlin
Berlin ConCar Fair 2018
JLR
5,500
Aston Martin
8,499
Berlin Royal Wedding Celebration Pride Parade
5,262.00
German Foreign office
5,262
Bogota
UK interests in Colombia
7,844
Mott MacDonald
30,000,000
7,844
Buenos Aires
Queen's Birthday Party 2018
11,802
Phonenix
289,062
5,877
Integra Capital
317,520
5,925
Cairo
Queen's Birthday Party 2018
57,235
Malvern College Egypt
20,000
14,183
Astrazeneca Egypt
9,998
7,636
MTI Automotive (Bentley) MM
Avre Partnership Ltd
9,998
7,532
BP International
9,977
7,516
Vodafone Egypt
9,973
7,586
Zaki Hashem
6,998
5,247
| BCTC | 30,000 | 22,601 |
|-----------|----------|----------|
| Mclaren | 7,500 | 5,650 |
| Rio Tinto | 25,000 | |
| ACCA | 20,000 | |
| HSBC | 30,000 | |
| BTG | 10,000 | |
| TPP | 30,000 | |
| Arup | 15,000 | |
| Diageo | 15,000 | |
| IHG | 50,000 | |
| BA | 30,000 | |
| 10,000 | 7,534 | |
| Group | | |
Description of project
Total Forecast Project Costs (£)
Name of Sponsor(s)
Cash (LC)
In-Kind (LC)
Cash (£)
In-Kind (£)
China
Be Yourself
35,251
BP
300,000
300,000
35,251
35,251
Queen's Birthday Party 2018
24,849
R&F Properties Co Ltd
100,000
180,000
11,519
20,735
Clyde + Co LLP
64,421
108,212
7,570
12,715
CSR conference 2018
68,445
CHC
91,000
91,000
10,370
10,370
Consulate General of the
Kingdom of Netherlands
China Southern Airlines
50,000
529,190
5,613
59,405
Open Day Silver
22,297
Yingguo Baojie
50,000
200,000
5,613
22,451
Costa Coffee
100,000
200,000
11,141
22,283
Shanghai Yehao Network
Technology Co. Ltd.
Doha
Queen's Birthday Party 2018
51,130
Hilson Moran Qatar LLC
75,812
14,766
Qatar Shell
126,353
26,143
BAE Systems
51,342
10,221
Ramadan 2018
5,244
Vodafone Qatar
25,000
5,244
British Festival 2018
70,961
Travelex
10,000
Qatar Financial Center
5,000
UCL Qatar
5,000
2,000
HSBC Qatar
11,007
545
Qatar National Library
29,954
895
Supreme Committee for Delivery
and Legacy
Doha Film Institute
3,540,942
ILOVE Qatar
6,281
Dubai
Royal Wedding Celebrations
Al Futtaim (John Lewis)
7,890
Royal Mint
5,200
DP World
39,448
Geneva
Queen's Birthday Party 2018
11,500
Barclays
15,000
11,500
Hanoi
19,956
Jardine
151,540,000
5,000
GREAT Campain in Vietnam 2018
British University
445,785,000
14,956
25,000
British University Vietnam
10,000
Hanoi 45 years of Diplomatic relations
HongKong Land
5,000
Dragon Capital
5,000
Vietnam Airlines
9,734
BP China
50,000
180,000
5,760
20,735
Efund
100,000
529,190
11,284
59,713
63,206
529,190
7,095
59,405
BYD
50,000
529,190
5,642
59,713
Huawei
150,000
529,190
17,224
60,765
APG
99,984
529,190
11,218
59,372
50,000
200,000
5,543
22,172
10,000
Jardines
5,000
Description of project
Total Forecast Project Costs (£)
Name of Sponsor(s)
Cash (LC)
In-Kind (LC)
Cash (£)
In-Kind (£)
Helsinki
Film is GREAT
Gutsy Productions
7,288
Hong Kong
Queen's Birthday Party 2018
27,706
CK Hutchison
60,000
5,541
Clifford Chance
60,000
5,541
Jardine Matheson
60,000
5,541
St James' Place
60,000
5,541
Italy
Queen's Birthday Party 2018
62,048
Banca Intesa SanPaolo
13,296
Ferrovie dello Stato
13,296
Babcock's
13,296
Clive Christian
8,864
Jakarta
Jakarta Tourism
Wego
53,908
Kingston
UK in Jamaica Fair
5,749
Continental Bakery
1,000,000
5,749
Kuala Lumpar
Queen's Birthday Party 2018
7,366
Standard Chartered Bank
40,000
7,366
Kyiv
Queen's Birthday Party 2018
5,063
Vodafone
175,519
5,063
Lisbon
Second Home
6,000
Lisbon Ancient Alliance, Modern Friendship
Luanda
Queen's Birthday Party 2018
10,000
BP
1,532,495
5,000
Madrid
GREAT Friends polling
50,000
EasyJet
50,000
50,000
Handmade Excellence
9,950
Sastreria Langa
9,950
1,400
Mexico City
Queen's Birthday Party 2018
5,033
EY Mexico
125,000
5,033
| HSBC | 59,985 | 5,540 |
|----------|-----------|---------|
| Algebris | 13,296 | |
| NOS | 8,000 | |
| Aggreko | 1,570,618 | 5,000 |
Description of project
Total Forecast Project Costs (£)
Name of Sponsor(s)
Cash (LC)
In-Kind (LC)
Cash (£)
In-Kind (£)
Mexico City (cont'd)
Shopping is GREAT Month
169,583
TED Baker
8,750
3,750
Karen Miller
8,750
3,750
Hacket London
16,667
Jo Malone
16,667
Pepe Jeans
13,281
Mini Cooper Mexico
20,833
Shepherd Neame
10,000
6,667
Whittards of Chelsea
6,250
Twinnings
4,375
1,875
Minsk
Minsk GREAT UK Festival
9,940
Godel Technologies
13,194
9,940
BelAECOM
5,696
New Delhi
Queen's Birthday Party 2018
39,057
CDC Group PLC
906,215
9,659
British Council
469,092
5,279
GSH Group
500,000
5,376
Nouakchott
Queen's Birthday Party 2018
5,021
BP
229,250
5,021
Panama City
Platinum Sponsorship
17,006
JEM Capital Group
11,980
8,496
Kings College
12,000
8,510
Paris
Les Voisins on Tour
8,902
EasyJet
10,000
8,902
Prague
34,451
RWS Moravia
500,000
17,510
Centenary book events and women in science
Portland Trust
250,000
8,471
Pretoria
Eve of Parliament
10,000
Levergy Marketing Agency
168,795
10,000
Queen's Birthday Party 2018
9,796
HSBC
182,300
9,796
Rabat
Queen's Birthday Party 2018
10,041
SIST
130,000
10,041
Embassy activities
8,246
SIST
100,000
8,246
Hamleys
11,719
All Saints
10,000
6,667
Fullers
7,292
7,292
Tesco
5,833
Waitrose
8,750
JLR
20,833
HSBC
8,333
Resolver
1,030,000
10,845
BBC
750,000
7,897
Savills
250,000
8,471
Description of project
Total Forecast Project Costs (£)
Name of Sponsor(s)
Cash (LC)
In-Kind (LC)
Cash (£)
In-Kind (£)
Riyadh
Queen's Birthday Party 2018
96,122
BUPA Opex
75,000
14,183
Sabb - Al Madar Advert
100,000
18,911
British Communications
40,000
7,564
NY Naghi Jeddah
75,000
14,257
Haji Alireza
75,000
14,183
BAE Systems
40,000
8,113
Rome
Queen's Birthday Party 2018
39,671
Algebris
10,000
8,748
Intesa Sanpaolo
15,000
13,264
Ferrovie dello Stato
10,000
8,911
UK-Italy Business Boost
Borsa Italiana
35,619
Santiago
Santiago Legal Services
Kennedys Law LLP
9,100
Stephenson Harwood LLP
9,100
MFB Solicitors
9,100
Seoul
Green is GREAT
Korea Energy Association
7,000
Automotive is GREAT
Korea Energy Association
7,000
Shandong
UK Week in Shandong
85,349
Citic Bank Jinan branch
5,741
Parc 66, Jinan Hanglung Plaza
20,047
Seafish Organisation
15,000
Seafish Organisation
18,884
Crab Company Scotland
18,884
Scottish Fishermen's
Organisation
Scrabster Seafoods
18,884
Blue Sea Food Company
18,884
Rooney Fish
18,884
Qingdao Government
15,072
Shandong education
department
Shandong Ecological
Environment Department
Qingdao government
10,000
Connect China
14,437
Singapore
Singapore Food and Drink
British Airways
10,000
Sweden
British Summer
Nytimber Drinks
9,000
Tehran
Queen's Birthday Party 2018
10,054
BP
283,145,000
5,054
Debenhams
289,500,000
5,000
| Al Fanar | 100,000 | 18,911 |
|------------|-----------|----------|
| Babcock | 10,000 | 8,748 |
| JLR | 11,725 | |
| JLR | 11,725 | |
| 18,884 | | |
| 20,000 | | |
| 5,100 | | |
Description of project
Total Forecast Project Costs (£)
Name of Sponsor(s)
Cash (LC)
In-Kind (LC)
Cash (£)
In-Kind (£)
Tel Aviv Tech Hub
Israel Tech Hub
397,748
1 W. Family
572,000
119,999
Exhilarch Foundation
659,213
137,832
British Council
138,000
27,854
BP International
37,991
8,000
GlaxoSmithKline
35,569
7,500
Admiral Group
28,990
6,041
BIRD & BIRD
56,179
12,000
Albanian Embassy
29,381
5,000
Fragoman
22,568
5,000
Innovate UK
29,381
5,000
Tel Aviv
Royal Reception June 2018
27,370
BDO LLP
45,738
10,000
HSBC Bank
35,565
7,388
Royal Wedding May 2018
7,500
DRC
35,854
7,500
8,187
Jewish News IG
39,194
8,187
Jewish News - IG Aliya 100 Event 10 May 2018
6,503
IYA
31,053
6,503
Israel Youth Award Reception Oct 2018 RICS Events
6,336
RICS
30,038
6,336
Tirana
Tech Hub Project
78,975
Wertheimer Family Ltd
10,934,875
78,975
Tokyo
Queen's Birthday Party 2018
Decima Japan
1,049,400
6,973
Great British Festival
5,696
BelAECOM
16,000
5,696
UK Parliamentary delegation
6,222
UK Parliament
8,179
6,222
Warsaw
Queen's Birthday Party 2018
18,402
MBDA UK Ltd
30,000
6,253
Babcock Integrated Technology
Ashton House
Provident
30,000
6,074
Washington
Royal Wedding May 2018
38,032
BP
50,000
38,032
DC Pride June 2018
5,382
National Grid
7,000
5,382
RBS
158,074
55,522
Centrica
37,287
8,000
ICL
47,184
9,982
30,000
6,074
Total Forecast Project Costs (£)
Name of Sponsor(s)
Cash (LC)
In-Kind (LC)
Cash (£)
In-Kind (£)
UK-Chevening Scholarship Programme
75,000 GSK
75,000
75,000
604,000 CK Hutchison
604,000
604,000
0 SAID Foundation
93,451
93,451
0 International Student House
52,418
52,418
32,792 Pasha Bank
32,792
32,792
7,500 Belarusky Narodny Bank
7,500
7,500
10,000 Pinheiro Neto
10,000
10,000
16,703 EDUCA, Kings & Conversa
16,703
16,703
32,000 Lemann
32,000
32,000
16,000 Prudence Foundation Burma
16,000
16,000
27,501 Marga Landmark
27,501
27,501
15,000 Prudence Foundation Cambodia
15,000
15,000
10,000 Mansion House China
10,000
10,000
29,523 ICETEX
29,523
29,523
280,000 Amerisur
280,000
280,000
30,000 BP Egypt
30,000
30,000
30,000 MEK
30,000
30,000
95,921 Tree of Life Foundation
95,921
95,921
10,000 Mansion House Indonesia
10,000
10,000
15,000 Prudential Indonesia
15,000
15,000
24,040 King Abdullah Development
24,040
24,040
30,000 Prudence Foundation Laos
30,000
30,000
28,850 Prudence Foundation Malaysia
28,850
28,850
191,038 Yayassan Khazana
191,038
191,038
140,000 CIMB
140,000
140,000
16,000 BP Mauritania
16,000
16,000
16,762 Shell Mexico
16,762
16,762
26,125 BP Mexico
26,125
26,125
116,588 SEP
116,588
116,588
180,717 MECS
180,717
180,717
15,120 Petrofund
15,120
15,120
10,000 Mansion House Nigeria
10,000
10,000
10,000 Mansion House Peru
10,000
10,000
240,000 BECAL
240,000
240,000
15,000 Prudence Foundation Philippines
15,000
15,000
30,000 Megaworld
30,000
30,000
30,000 Monde Nissin
30,000
30,000
15,000 Unilever Philippines
15,000
15,000
28,000 GSK Philippines
28,000
28,000
28,675 Bank of Kigali
28,675
28,675
32,000 BP Senegal
32,000
32,000
25,000 Cofftea
25,000
25,000
32,515 King Power
32,515
32,515
14,000 Prudential Vietnam
14,000
14,000
10,000 Icelandair Group
10,000
10,000
57,941 BAE Oman
57,941
57,941
49,354 MOEF
49,354
49,354
Total Forecast Project Costs (£)
Name of Sponsor(s)
Cash (LC)
In-Kind (LC)
Cash (£)
In-Kind (£)
UK-Chevening Scholarship Programme
976,834 MSIT
976,834
976,834
28,175 FSS
28,175
28,175
15,376 BOK
15,376
15,376
14,000 Diageo
14,000
14,000
12,000 Delta
12,000
12,000
17,000 Prof Winston Wong
17,000
17,000
61,312 ANII
61,312
61,312
102,237 Standard Chartered
102,237
102,237
128,860 Rolls Royce
128,860
128,860
Bangor University
35,200
35,200
Birbeck University of London
37,700
37,700
Bristol University
15,600
15,600
Brunel University
37,760
37,760
Cambridge Trust
320,000
320,000
Cardiff University
125,720
125,720
Coventry University
24,080
24,080
Durham University
61,292
61,292
Lancaster University
28,496
28,496
LSE
72,173
72,173
Queen Mary University of London
82,080
82,080
Robert Gordon University
9,680
9,680
Schumacher Scholarship
29,944
29,944
Swansea University
36,040
36,040
University of Aberdeen
57,280
57,280
University of Birmingham
216,792
216,792
University of Central Lancashire
10,360
10,360
University of East Anglia
65,920
65,920
University of Edinburgh
141,520
141,520
University of Glasgow
162,560
162,560
University of Huddersfield
11,200
11,200
University of Kent
39,040
39,040
University of Leeds
45,600
45,600
University of Nottingham
148,392
148,392
University of Reading
50,080
50,080
University of South Wales
31,200
31,200
University of Southampton
14,037
14,037
University of Surrey
6,000
6,000
University of Sussex
63,520
63,520
University of Warwick
100,648
100,648
University of York
13,424
13,424
Weidenfeld Hoffmann Trust (Oxford University)
52,500
52,500
Demontfort Indonesia Local
20,960
20,960
University of Bradford
12,520
12,520
University of Exeter Strategy and Security Institute (SSI)
17,200
17,200
Aberystwyth University
3,150
3,150
Anglia Ruskin University
5,240
5,240
Architectural Association
5,115
5,115
Total Forecast Project Costs (£)
Name of Sponsor(s)
Cash (LC)
In-Kind (LC)
Cash (£)
In-Kind (£)
UK-Chevening Scholarship Programme
Aston University
3,610
3,610
Bangor University
23,360
23,360
Bath Spa University
2,970
2,970
Birkbeck, University of London
94,870
94,870
Birmingham City University
2,400
2,400
Bournemouth University
32,000
32,000
Brunel University
64,880
64,880
Cardiff Metropolitan University
2,600
2,600
Cardiff University
76,040
76,040
City, University of London
105,700
105,700
Coventry University
31,410
31,410
Coventry University, London
3,237
3,237
Cranfield University
59,400
59,400
De Montfort University
10,480
10,480
Durham University
44,254
44,254
Edinburgh Napier University
5,544
5,544
Glasgow Caledonian University
2,520
2,520
Goldsmiths, University of London
90,762
90,762
Heriot-Watt University
28,976
28,976
Imperial College London
178,500
178,500
King's College London
296,358
296,358
Kingston University
15,140
15,140
Lancaster University
45,668
45,668
Leeds Beckett University
9,800
9,800
Liverpool John Moores University
10,600
10,600
Liverpool School of Tropical Medicine
22,840
22,840
London Business School
63,350
63,350
London Metropolitan University
10,302
10,302
London School of Economics and Political Science
511,202
511,202
London School of Hygiene and Tropical Medicine
190,648
190,648
Loughborough University
20,220
20,220
Loughborough University, London
11,660
11,660
Manchester Metropolitan University
14,900
14,900
Met Film School
3,200
3,200
Middlesex University
16,600
16,600
Newcastle University
47,880
47,880
Northumbria University
5,600
5,600
Nottingham Trent University
19,780
19,780
Oxford Brookes University
11,056
11,056
Plymouth University
5,600
5,600
Queen Margaret University
5,520
5,520
Queen Mary, University of London
322,400
322,400
Queen's University Belfast
9,420
9,420
Ravensbourne
3,000
3,000
Robert Gordon University
5,820
5,820
Roehampton University
5,786
5,786
Royal Agricultural University
7,620
7,620
Total Forecast Project Costs (£)
Name of Sponsor(s)
Cash (LC)
In-Kind (LC)
Cash (£)
In-Kind (£)
UK-Chevening Scholarship Programme
Royal Conservatoire of Scotland
3,916
3,916
Royal Holloway, University of London
37,480
37,480
Royal Veterinary College
4,770
4,770
School of Advanced Study, University of London
11,101
11,101
Schumacher College
14,972
14,972
SOAS, University of London
203,811
203,811
Swansea University
31,450
31,450
UCL Institute of Education
18,240
18,240
Ulster University
5,472
5,472
University College London
810,358
810,358
University of Aberdeen
142,000
142,000
University of Bath
30,760
30,760
University of Birmingham
118,758
118,758
University of Bradford
57,738
57,738
University of Brighton
8,748
8,748
University of Bristol
132,400
132,400
University of Buckingham
5,528
5,528
University of Cambridge
225,664
225,664
University of Central Lancashire
5,380
5,380
University of Chester
4,800
4,800
University of Dundee
43,970
43,970
University of East Anglia
57,640
57,640
University of East London
7,636
7,636
University of Edinburgh
272,680
272,680
University of Essex
32,555
32,555
University of Exeter
68,315
68,315
University of Glasgow
139,394
139,394
University of Gloucestershire
2,768
2,768
University of Greenwich
13,390
13,390
University of Hertfordshire
2,500
2,500
University of Huddersfield
5,780
5,780
University of Hull
11,300
11,300
University of Kent
64,140
64,140
University of Leeds
229,600
229,600
University of Leicester
17,697
17,697
University of Liverpool
18,510
18,510
University of Liverpool, London Campus
12,230
12,230
University of Manchester
245,100
245,100
University of Northampton
4,880
4,880
University of Nottingham
119,457
119,457
University of Oxford
268,898
268,898
University of Portsmouth
8,840
8,840
University of Reading
92,472
92,472
University of Salford
5,544
5,544
University of Sheffield
74,130
74,130
University of South Wales
7,800
7,800
University of Southampton
57,968
57,968
Total Forecast Project Costs (£)
Name of Sponsor(s)
Cash (LC)
In-Kind (LC)
Cash (£)
In-Kind (£)
UK-Chevening Scholarship Programme
University of St Andrews
20,980
20,980
University of Stirling
3,050
3,050
University of Strathclyde
33,180
33,180
University of Surrey
40,220
40,220
University of Sussex
371,010
371,010
University of the West of England
2,600
2,600
University of the West of Scotland
2,620
2,620
University of Warwick
170,078
170,078
University of West London
2,400
2,400
University of Westminster
79,900
79,900
University of York
55,666
55,666
Wimbledon College of Art
3,870
3,870
Total Forecast Project Costs (£)
Name of Sponsor(s)
Cash (LC)
In-Kind (LC)
Cash (£)
In-Kind (£)
UK - Marshall Aid Commemoration Commission (Scholarship)
5,180.00
Annenberg Foundation (Endowment)
5,180
5,180
27,880.00
Association of Marshall Scholars (AMS)
27,880
27,880
Balliol College, Oxford
23,027
23,027
34,796.00
British Schools and Universities Foundation (BSUF)
34,796
34,796
Cambridge Emmanuel
21,027
21,027
Cambridge Magdalene
51,705
51,705
Cardiff University
19,950
19,950
Exeter College, Oxford
21,732
21,732
Goldsmiths
13,190
13,190
Gonville and Caius College, Cambridge
9,699
9,699
Imperial College London
119,700
119,700
King's College London
63,230
63,230
King's College, Cambridge
18,055
18,055
London School of Economics and Political Science (LSE)
46,272
46,272
London School of Hygiene and Tropical Medicine (LSHTM
22,600
22,600
London School of Hygiene and Tropical Medicine (LSHTM)
22,600
22,600
Magdalen College, Oxford
23,027
23,027
New College, Oxford
46,054
46,054
Nuffield College, Oxford
18,685
18,685
Oxford Lincoln
25,922
25,922
Pembroke College, Cambridge
27,060
27,060
Peterhouse, Cambridge
28,575
28,575
Queen Mary, University of London
36,050
36,050
Royal Holloway, University of London
14,900
14,900
School of Oriental and African Studies (SOAS)
39,430
39,430
Somerville College, Oxford
46,054
46,054
St John's College, Cambridge
26,502
26,502
Trinity College, Oxford
10,000
10,000
University College London (UCL)
68,240
68,240
University College, Oxford
20,387
20,387
University of East Anglia
15,800
15,800
Total Forecast Project Costs (£)
Name of Sponsor(s)
Cash (LC)
In-Kind (LC)
Cash (£)
In-Kind (£)
UK - Marshall Aid Commemoration Commission (Scholarship)
University of Edinburgh
61,500
61,500
University of Manchester
18,000
18,000
University of Oxford
59,062
59,062
6,504.00
University of Sussex
6,504
6,504
University of Sussex
15,500
15,500
University of York
16,780
16,780
81,921.00
Marshall Xtra stipend
81,921
81,921
Total forecast project costs for all countries (£)
Subtotal
Subtotal
Cash (£)
In-Kind (£)
6,638,579
6,638,579
15,203,825
Total Sponsorship (£)
21,842,403
## Annex B: Core Tables (Unaudited)
The common core tables below reflect total departmental budgets including the core FCO, bodies sponsored by the FCO and expenditure on prosperty, conflict prevention and peacekeeping. The Prosperity, Conflict Prevention and Peacekeeping funds are controlled on a multidepartmental basis and are not included in budgets shown in the Department's business plan. See footnotes for further details.
## Total Departmental Spending
| 2014-15 | 2015-16 | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|------------------------------------------------------|-----------|-----------|-----------|-----------|-----------|
| Outturn | Outturn | Outturn | Outturn | Outturn | Plans |
| £M | £M | £M | £M | £M | £M |
| Resource DEL | | | | | |
| Section A: Administration and programme expend | | | | | |
| iture | | | | | |
| 1, 2 | | | | | |
| 1,031 | 853 | 904 | 901 | 1,008 | 946 |
| Section B: Programme and international organisation | | | | | |
| grants | | | | | |
| 2 | | | | | |
| 149 | 301 | 331 | 368 | 382 | 377 |
| Section C: British Council | | | | | |
| 150 | 157 | 162 | 171 | 188 | 167 |
| Section D: Net Funding for NDPBs | | | | | |
| 6 | 6 | 4 | 6 | 6 | 7 |
| Section E: Prosperity Fund Programme expenditure | | | | | |
| 3 | | | | | |
| - | - | 46 | 58 | 207 | |
| Section F: Conflict Prevention Programme | | | | | |
| expenditure | | | | | |
| 144 | 281 | 339 | 404 | 424 | 536 |
| Section G: Peacekeeping | 382 | 356 | 318 | 311 | 344 |
| Departmental Unallocated Provision | | | | | |
| - | - | - | - | - | - |
| Total Resource DEL | | | | | |
| 1,862 | 1,953 | 2,058 | 2,208 | 2,410 | 2,617 |
| Of which: | | | | | |
| -Pay | | | | | |
| 4 | | | | | |
| 475 | 403 | 439 | 448 | 503 | |
| -Net Current Procurement | | | | | |
| 4 | | | | | |
| 413 | 265 | 346 | 351 | 337 | |
| -Current grants and subsidies to the private sector | | | | | |
| and abroad | | | | | |
| 675 | 938 | 988 | 1,092 | 1,208 | 1,290 |
| -Depreciation | | | | | |
| 5 | | | | | |
| 149 | 191 | 123 | 146 | 174 | 111 |
| -Other | | | | | |
| 6 | | | | | |
| 150 | 157 | 162 | 171 | 188 | 167 |
| Resource AME | | | | | |
| Section H: AME Programme | (103) | 4 | (88) | 102 | (3) |
| Section I: Reimbursement of certain duties taxes and | | | | | |
| licence fees | | | | | |
| 33 | 35 | 35 | 40 | 34 | 35 |
| Total Resource AME | | | | | |
| 7 | | | | | |
| (70) | 39 | (53) | 142 | 31 | 100 |
| Of which: | | | | | |
| -Current grants and subsidies to the private sector | | | | | |
| and abroad | | | | | |
| 33 | 35 | 35 | 40 | 34 | 35 |
| -Take up of provisions | - | 15 | 2 | 11 | 10 |
| -Release of provisions | (10) | (8) | (7) | (6) | (11) |
| -Depreciation | | | | | |
| 5 | | | | | |
| 11 | 12 | (36) | (8) | 21 | 50 |
| -Other | | | | | |
| | | | | | |
| (104) | (15) | (47) | 105 | (23) | 15 |
| Total Resource Budget | | | | | |
| 1,792 | 1,992 | 2,005 | 2,350 | 2,441 | 2,717 |
| 2014-15 | 2015-16 | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|-----------------------------------------------------|-----------|-----------|-----------|-----------|-----------|
| Outturn | Outturn | Outturn | Outturn | Outturn | Plans |
| £M | £M | £M | £M | £M | £M |
| Of which: | | | | | |
| -Depreciation | | | | | |
| 5 | | | | | |
| 160 | 203 | 87 | 139 | 195 | 161 |
| Capital DEL | | | | | |
| Section A: Administration and programme expend | | | | | |
| iture | | | | | |
| 118 | 113 | 47 | (271) | 123 | 100 |
| Section B: Programme and international organisation | | | | | |
| grants | | | | | |
| 25 | 14 | 10 | 10 | 2 | 2 |
| Section C: British Council—Capital Grant | 5 | 5 | - | - | - |
| Section E: Prosperity Fund Programme expenditure | - | - | - | - | - |
| Section F: Conflict Prevention Programme expendi | | | | | |
| ture | | | | | |
| - | - | 3 | 9 | 17 | 10 |
| Section G: Peacekeeping | | | | | |
| 2 | | | | | |
| 10 | - | - | - | - | - |
| Total Capital DEL | 158 | 131 | 60 | (252) | 142 |
| Of which: | | | | | |
| -Purchase of assets | | | | | |
| 4 | | | | | |
| 123 | 249 | 104 | 142 | 148 | 110 |
| -Income from sales of assets | (5) | (136) | (57) | (413) | (25) |
| -Capital grants to the private sector and abroad | 35 | 14 | 13 | 19 | 19 |
| -Capital support for public corporations | 5 | 5 | - | - | - |
| Total Capital Budget | 158 | 131 | 60 | (252) | 142 |
| Total Departmental Spending | | | | | |
| 8 | | | | | |
| 1,790 | 1,921 | 1,977 | 1,959 | 2,389 | 2,668 |
| Of which: | | | | | |
| -Total DEL | 1,871 | 1,894 | 1,994 | 1,809 | 2,379 |
| -Total AME | (81) | 27 | (17) | 150 | 10 |
1All years reflect the Machinery of Government transfer of £2.797m Resource DEL to the Department for Exiting the European Union. 2Plans also reflect savings arising from pay restraint and the BBC World Service move to Licence Fee funding from 2014-15. 3The Prosperity Fund was included in Section A in 2017-18. Section E also includes the Gulf Strategy Integrated Activity Fund from 2019-20. 4The published accounts for 2014-15 have applied merger accounting rules to remove BBC World Service from the published numbers. 5Includes impairments.
6Includes grants to public corporations.
7Includes gain on forward contracts for foreign exchange of £93m in 2014-15. 8Total departmental spending is the sum of the resource budget and the capital budget less depreciation. Similarly, total DEL is the sum of the resource budget DEL and capital budget DEL less depreciation in DEL, and total AME is the sum of resource budget AME and capital budget AME less depreciation in AME.
## Administration Budget
| 2014-15 | 2015-16 | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|-----------------------------------------|-----------|-----------|-----------|-----------|-----------|
| Outturn | Outturn | Outturn | Outturn | Outturn | Plans |
| £M | £M | £M | £M | £M | £M |
| Section A: Administration and programme | | | | | |
| expenditure | | | | | |
| 178 | 111 | 116 | 176 | 129 | 183 |
| Departmental Unallocated Provision | | | | | |
| - | - | - | - | - | - |
| Total Administration Budget | | | | | |
| 1 | | | | | |
| 178 | 111 | 116 | 176 | 129 | 183 |
| Of which: | | | | | |
| -Paybill | 172 | 147 | 166 | 163 | 167 |
| -Expenditure | 103 | 69 | 146 | 219 | 216 |
| -Income | (97) | (104) | (196) | (206) | (254) |
1£114m for the costs of security staff overseas and UK located staff with representative roles were reclassified to front line programme expenditure at Spending Review 2010. Around £400m of costs associated with front-line staff were reclassified to programme in CSR07. Plans also reflect savings arising from pay restraint.
978-1-5286-1343-9 | en |
3251-pdf |
# Inclusive Learning Children With Disabilities And Difficulties In Learning
Topic Guide September 2014
Catherine Howgego, Susie Miles & Juliette Myers
## Table Of Contents
Introduction ............................................................................................................................................ 3 Section 1: Key concepts in inclusive learning ......................................................................................... 7
Section 2: Evidence on inclusive learning ............................................................................................. 18
Part A: Research methodology and its limitations............................................................................ 18 Part B: What forms of teacher education enable teachers to promote inclusive learning for girls and boys aged 3 to 12 years old? ..................................................................................................... 21 Part C: What forms of classroom practice can promote inclusion in participation and learning?
... 25
Part D: What does the move towards more inclusive learning mean for school organisation and
leadership, and what are the implications for financing, curriculum and assessment? .................. 33 Part E: What evidence is there of the importance of broader links to families, community, primary health care and early identification? ................................................................................................ 39
Section 3: Inclusive societies
................................................................................................................. 43
Section 4: Toolkits relevant to inclusive learning ................................................................................. 48 References ............................................................................................................................................ 52
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This Topic Guide was produced by The Health & Education Advice & Resource Team (HEART), which is funded by the British Government's Department for International Development (DFID).
For any further enquiry, please contact [email protected] Further HEART reports are published online at www.heart-resources.org Government's Department for International Development (DFID) and its partners in support of pro-poor programmes in education, health
Photo on front cover: Teacher helping blind student write, Sudan © Albert Gonzalez Farran / UNAMID
## Introduction
Inclusive learning is the result of effective teaching practice, an adapted learning environment and teaching approaches which ensure that all children are included, engaged and supported.
This HEART Topic Guide brings together evidence on what works in inclusive learning for children aged 3 to 12 years with disabilities1 and/or difficulties in learning2 in low and middle income countries, and explores the role of inclusive approaches in contributing to inclusive societies and ultimately inclusive growth. The Topic Guide addresses some of the contested and debated issues around terminology, labelling, and segregated, integrated and inclusive schooling; reviews the limited evidence that exists from low and middle income countries around the outcomes of inclusive learning; and identifies future research directions. The evidence underpinning inclusive learning in low and middle income countries is weak and fragmented. In the absence of systematic reviews of high quality, the body of evidence cited here includes empirical studies and conceptual research considered to be of good quality. The evidence is summarised for each section, and includes a range of sources from UN agencies, international nongovernmental organisations and academic studies. Although the primary focus of the Topic Guide is on inclusive learning for children who are at risk of failure and educational exclusion due to their disability or their difficulties in learning, the approaches and evidence discussed have the potential to benefit the learning of children from all disadvantaged or marginalised areas or groups, such as children from remote or nomadic populations, children living in conflict-affected states, malnourished children, and children from linguistic, ethnic or cultural minorities. It has often been said that by meeting the needs of children with disabilities, the needs of all children will be met.
## The Broader Context
Unprecedented progress has been made in addressing barriers to universal basic education, including the achievement of a large proportion of primary school enrolment in East Asia and North Africa and gender parity in enrolment in Latin America and the Caribbean, South Eastern and Southern Asia (UNESCO, 2013). The abolition of school fees has rapidly accelerated progress in many countries, ensuring that the number of children out of school around the world almost halved between 2000 and 2011, dropping from 102 million to 57 million. Strategies to achieve mass access to education have made schooling a reality for boys and girls from urban centres, high income households and for those fortunate enough to live in countries where supply and demand side factors have created opportunity for equitable and meaningful access to quality education (CREATE, 2008). For example, in the period 2006-2009, Lao People's Democratic Republic (PDR), Vietnam and Rwanda all reduced their out-of-school populations by 85% (UNESCO, 2014) and considerable progress was made in increasing net enrolment by more than 25% in Benin, Bhutan, Burkina Faso, Ethiopia, Guinea, Mali, Mozambique and Niger between 1999 and 2009 (UN, 2011). Such gains come as a result of the transformative momentum brought to bear by international commitment, government policies, civil society engagement and economic growth (UN, 2013b). However, factors affecting disadvantage rarely act in isolation. Gender often interacts with poverty and geographical location to create even greater disadvantage in learning opportunities within countries. In 2011, in Ethiopia, wide disparities were evident between the proportions of girls and boys who had ever been to school. In Addis Ababa, almost all children from rich households had been to school, while 43% from the pastoralist region of Afar had never done so. These disparities become amplified when comparing the situation of girls and boys from the poorest households living in Afar, where two thirds of poor girls (65%) had never been to school compared with around one half of poor boys (53%) (UNESCO, 2013: 4). Gender also interacts with disability to create disadvantage for girls with disabilities, for example, Lynch et al. (2014) reported that the number of girls with albinism attending resource centres in Malawi is significantly lower than boys.
## Progress Has Stalled
Global net enrolment increased at a slower rate than in previous years, from 87% in 2005 to 89% in 2011 (UNESCO, 2013: 1). Between 2008 and 2011, the number of out-of-school children fell by only 3 million (UN, 2013a), a rate too slow to achieve the Education for All (EFA) target of 97% enrolment by 2015. Sub-Saharan Africa is the region which is furthest behind. No progress has been made since 2011, when 22% of primary school age children were still out of school. On current rates of progress, 53 million children across the world are expected to remain out of school in 2015 (UNESCO, 2014: 52-53). This is in spite of a number of landmark reports which raised the alarm on the failure to reach marginalised girls and boys, including the Education for All Global Monitoring Report 2010 (UNESCO, 2010), the Millennium Development Goals (MDGs) progress report in the same year (UN,
2010) and the first ever World Report on Disability (WHO, 2011). Fee-free schooling has not been a panacea for the achievement of universal enrolment and many social, cultural, geographic, linguistic and economic barriers remain to be able to include all children. Of the 57 million children currently out of school, 49% will never enter school, 23% have dropped out and 28% will start late (UNESCO, 2013: 3), and at least 250 million children cannot read or count, even if they have spent 4 years in school (UNESCO, 2012). Millions of children remain untouched by the benefits of economic growth and the gains brought by progress towards the MDGs. Children living in countries affected by armed conflict make up more than half of the out-of-school population, but little is known about those who have disabilities, either prior to, or as a direct result of, the conflict. Afghanistan, the Democratic Republic of Congo, Somalia and pre-secession Sudan all have out-of-school populations over 1 million (UNESCO, 2014: 55). Girls, whose education is often considered of less value than boys', make up 54% of those out of school. That figure increases to 60% in Arab states, a proportion that has remained unchanged since 1999 (UNESCO, 2014). Faced with the prospect of social stigmatisation and schooling in a language that is not their own, children from ethnic minorities can face insurmountable barriers to education, while 'wealth based inequalities are a universal source of disadvantage' (UNESCO, 2010: 140). Access to good quality basic education drives down poverty and improves livelihoods, as well as enabling people to fulfil their potential and contribute to open, inclusive and economically vibrant societies (DFID, 2013). The costs of exclusion are high. In Bangladesh for example, foregone income due to lack of schooling and employment, both of people with disabilities and their caregivers, is estimated at US$1.2 billion annually, or 1.74% of Gross Domestic Product (GDP) (World Bank, 2008: 14). The economic costs of out-of-school children is estimated to be 'greater than the value of an entire year of GDP growth' in nine countries, namely Burkina Faso, Cote d'Ivoire, Gambia, Lesotho, Liberia, Mali, Nigeria, Senegal and Yemen (Thomas and Burnett, 2013: 38). Even for large middle income countries with low out-of-school populations, such as Brazil and Indonesia, the costs of having children out of school outweigh the additional public spending required to enrol them, making it an equitable and cost effective investment (Thomas and Burnett, 2013). Recognising the continuing scale of the challenge, the Report of the High Level Panel of Eminent Persons recommended that the post-2015 development agenda 'leaves no one behind' by ensuring that the new goals are designed to reach the excluded, incorporating social protection measures and tracking progress at all income levels (UN, 2013b). By building on the renewed global focus on learning, this Topic Guide responds to growing concerns about the estimated 250 million children who are unable to read and count after 4 years of schooling (UNESCO, 2012), many of whom are likely to have disabilities and/or difficulties in learning which could be addressed through inclusive learning. It also highlights the importance of ensuring that global strategies prioritise the diverse learning needs of the most marginalised children, many of whom have disabilities and/or experience difficulties in learning.
## The Most Marginalised
Disability continues to be one of the primary causes of educational disadvantage and exclusion, creating the largest single group of girls and boys who remain out of school. Even in those countries close to achieving universal primary enrolment, children with disabilities continue to miss out on education and opportunities to access meaningful employment and sustainable routes out of poverty. The lack of political will and commitment needed to drive improvements in data availability and management to date has been insufficient (UNICEF, 2014), and this has limited the ability of governments, donors and others to assess, monitor and address the situation of children with disabilities (UNESCO, 2010). The Topic Guide outlines new survey tools, guidelines, toolkits and capacity building programmes, led by the Washington Group and UNICEF. A lack of evidence of learning outcomes in low income settings more broadly, as well as for girls and boys with disabilities and difficulties in learning in particular, presents a further challenge to our understanding of how school systems can better respond to children's individual learning needs. In acknowledging the tensions and complexities in the global discourse on inclusive learning, this Topic Guide has sought to bring greater conceptual clarity to inform policy and practice. Systemic challenges, such as divided ministerial responsibility for children with disabilities - across education, health and social protection - have shifted the focus on to social welfare and 'special'
treatment, rather than inclusion and equity (WHO, 2011). The absence, or inadequacy, of legislation, strategies and targets prevents the inclusion of children with disabilities in education, along with school-level barriers including physical access, inflexible and inappropriate curricula and pedagogy, inadequate teacher training, labelling and discriminatory attitudes that reinforce marginalisation (WHO, 2011). The complexities in addressing the specific needs of children who have disabilities and/or difficulties in learning have challenged policymakers, as their needs tend not to be met by interventions designed for other marginalised groups, such as those living in slums or remote rural areas. Extending education opportunity to all children needs more than the general expansion of education provision and the improvement of average learning achievement (UNESCO, 2010). Policies and other system-wide interventions that directly target children with disabilities and the underlying causes of disadvantage require political support and leadership to be effective. However, one size does not fit all. All countries face their own specific constraints, challenges and opportunities. Action to ensure the inclusion of children with disabilities and/or difficulties in learning works best when it is tailored to local and individual circumstances. Most of the literature focuses on concepts and definitions of 'inclusive education', access to basic education, policy recommendations, and on teacher attitudes, but evidence on implementation and on learning outcomes is scattered and inconclusive. The Topic Guide provides illustrative examples from the limited evidence that exists which highlight the urgent need for further research - for example, teachers' difficulties in adapting their classroom practice and differentiating curricula without adequate human resources to support their ongoing capacity development (Johnstone and Chapman, 2009). Provision of even the most low-cost and relatively straightforward assistive devices, such as spectacles, is often inadequate or unaffordable, especially in rural areas, and, when made available in Gansu, China, social stigma had a negative impact on their uptake (Glewwe et al., 2012). Peer-topeer approaches have assisted learning and built self-esteem and friendship networks in some contexts (Grimes, 2009), but little is known about their impact on learning outcomes. Similarly, there is evidence to suggest that parent engagement in learning and community-based support services, can promote engagement in learning (Deng and Holdsworth, 2007). The evidence gaps in inclusive learning highlighted in this Topic Guide are considerable, and high quality research is urgently needed to inform future developments. The Topic Guide begins by discussing key concepts associated with inclusion and inclusive learning, terminology related to disability, and the difficulties faced in collecting appropriate data (Section 1). Section 1 also addresses some of the dilemmas of the twin-track approach, which involves providing specialist support for children with disabilities, while at the same time promoting generic inclusive strategies. The main body of evidence on inclusive learning is presented in Section 2, and is divided into four broad areas: classroom practice; teacher education; school leadership; and community engagement. Finally, Section 3 explores the relationship between inclusive learning and the development of inclusive societies and inclusive growth.
## Section 1: Key Concepts In Inclusive Learning
Inclusive learning is a relatively new concept which draws attention to the need for more flexible approaches to support the learning of girls and boys who have traditionally been excluded from formal learning, and those whose individual learning needs are currently not being met in formal education. Although this Topic Guide focuses on the diverse educational needs of children with a disability, and those with difficulties in learning, it raises issues of broader relevance to improving the quality of teaching and learning for all. Research on disability, inclusion and education has been neglected in developing country contexts, and the evidence base is both scattered and scarce. This is arguably due to the predominance of a rights agenda, and a strong focus on advocacy. The little research that has taken place has tended to be small scale, and has focused on teacher attitudes, rather than classroom practice and learning outcomes. However this is beginning to change, and there are signs of a shift taking place to including children in a developing country context who have a disability or difficulties in learning. This section of the Topic Guide summarises the following: definitions of key terms, concepts and debates related to inclusive learning; current efforts to strengthen the collection of statistics on the number of learners who experience difficulties in learning, and on learners with a disability; the various forms of specialist provision, including special schools, and resource rooms; and a review of the 'twin-track' approach which ensures both specialist and mainstream provision. In acknowledging the tensions in global debates about inclusion, this section seeks to bring greater conceptual clarity to these complex debates in order to inform policy and practice.
## The Concept Of Inclusive Learning
Inclusive learning3 focuses on the capacity of educational institutions to understand and respond to an individual learner's educational requirements and entitlements, and girls and boys are seen as individuals who learn in different ways. In this way, the labelling and stigmatising of learners is avoided, and instead, priority is given to the creation of appropriate and responsive educational environments. Diversity in education is simply a reflection of diversity in society. The aim of inclusive learning is to move beyond simply focusing on 'access', to understanding ways of increasing active participation and engagement in learning. Achieving the optimum level of participation of all girls and boys, and introducing gender-sensitive and learner-centred approaches to suit diverse learning styles, has implications for the way schools are organised, such as: curriculum change; teaching, learning and assessment adjustments; and a shift in emphasis of school leadership. Inclusive learning moves beyond providing individuals with support to fundamental changes being made to the way teaching and learning is organised. Inclusive learning can be seen as 'a principled approach to education' (Ainscow and Miles, 2008: 5) which involves:
the process of increasing the participation of students in, and reducing their exclusion from, the curricula, cultures and communities of local schools
restructuring the cultures, policies and practices in schools so that they respond to the
diversity of students in their locality
the presence, participation and achievement of all students vulnerable to exclusionary pressures, not only those with impairments or those who are categorised as 'having special educational needs' (Ainscow and Miles, 2008: 5).
The Salamanca Statement and Framework for Action (UNESCO, 1994) called for a broad approach to the inclusion of all marginalised groups of children in education, and claimed that inclusive learning is the most effective means of tackling discrimination, building inclusive societies, achieving education for all, and improving the efficiency and cost effectiveness of the entire education system. It put forward three justifications for inclusive learning:
Educational: It is a way of producing higher quality schools.
Social: Inclusive learning is the basis of a just and non-discriminatory society.
Economic: It is less costly to establish and maintain schools which educate all girls and boys, rather than funding a complex system of different types of schools.
Salamanca also called for 'a major reform of the ordinary school' (UNESCO, 1994: iii-iv), arguing that inclusive learning, 'has to form part of an overall educational strategy and, indeed, of new social and economic policies'. In summary, inclusive learning is concerned with a significant proportion of learners who experience educational difficulties and who subsequently fail and drop out of school. In developed countries, the percentage of children in mainstream schools who have, at some point, been identified as having difficulties in learning (often referred to as 'special educational needs'), including those who have a disability, is estimated to be between 15% and 20% (WHO, 2011: 209). It seems likely that a similar proportion of children will experience difficulties in learning at some stage in their school career in low and middle-income countries.
## A Focus On Disability
Disability is one of the most neglected causes of educational disadvantage and children with disabilities are disproportionately represented among those excluded from schooling (UN, 2010). In Malawi and the United Republic of Tanzania, having a disability doubles the probability of never having attended school and in Burkina Faso, it increases the risk of children being out of school by two and a half times (UNESCO, 2010). Children with disabilities represent the majority of those who are excluded in countries close to achieving universal primary education. Net enrolment ratios for children aged 7 to 15 years old were over 90% in Romania and Bulgaria in 2002, but only 58% for children with disabilities (UN, 2010: 58). Disability also makes it less likely for children to complete their schooling. People with disabilities of working age in 14 out of 15 low and middle income countries surveyed were one third less likely to have completed primary school (UNESCO, 2014). Although reliable, comparable data is difficult to obtain, an estimated 15% of the global population, or more than 1 billion people, are currently living with a disability and prevalence rates are set to rise (WHO, 2011). Of these 1 billion, around 93 million children under the age of 14 years old have a severe or moderate disability, and 4 out of every 5 children with disabilities live in developing countries, with the highest levels of moderate and severe disabilities being found in sub-Saharan Africa (UNESCO, 2010). Poverty, undernutrition, poor health and an unsafe, or insanitary, home environment may increase a child's cognitive, motor and social and emotional development, putting them at greater risk of disability and educational exclusion (WHO, 2011). Just as there are greater challenges in ensuring that all girls complete a full course of primary education, there are additional challenges associated with ensuring that all girls identified as having a disability attend school. In Vietnam, for example, Nguyen and Mitchell (2014: 10) found that, 'girls with disabilities have been much more disadvantaged than boys with disabilities and more disadvantaged than girls without disabilities in terms of opportunities and access to education'. While both girls and boys with albinism are 'at risk of violence on the way to school' (Nguyen and Mitchell (2014: 8), girls with disabilities face the increased risk of sexual abuse.
Progress in stepping up efforts to support enrolment, learning and progression has been slow, in spite of a number of internationally-agreed conventions and statements relevant to inclusive learning, which are summarised in Box 1.
## Milestones And Momentum For Inclusive Learning: Conventions, Statements And Major Reports
1989: UN Convention on the Rights of the Child expresses the right of all children to quality education (Article 28) and the responsibility of all governments to ensure children with disabilities also enjoy that right (Article 23). 1994: **Salamanca World Conference on Special Needs Education 1994** was attended by 92 governments and 25 organisations who endorsed the Salamanca Statement and Framework for Action. The Framework for Action contains guidance on the development of inclusive schools which is still relevant today. It argues for changes to be made to school structures, classroom practice, school leadership and national education systems which make schools more effective and raise teachers' expectations for all children. Governments were called upon to give the highest legislative, policy and budgetary priority to improve education systems to ensure inclusive enrolment.
2000: World Declaration on Education For All states that, in addition to active commitment to other marginalised groups, the learning needs of children with disabilities 'demand special attention' and specific steps must be taken to 'provide equal access to education to every category of disabled persons as an integral part of the education system.' 2006: **UN Convention on the Rights of Persons with Disabilities (UNCRPD)** calls on States Parties to ensure inclusive education systems at all levels and lifelong learning, the right of persons with disabilities to a free, inclusive, quality primary education and the provision of 'reasonable accommodation of the individual's requirements' and effective individualised support (Article 24). The UNCRPD stresses the importance of international cooperation 'in support of national efforts' and measures aimed at ensuring accessibility of development programmes, facilitating capacity building, research, and technical and economic assistance (Article 32). 2010: UNESCO **EFA Global Monitoring Report** highlights how failure to put inclusion at the heart of the Education for All agenda is holding back progress and singles out disability as 'one of the least visible but most potent factors in educational marginalisation.' The Millennium Development Goal Report (2010) notes that even in countries that are close to achieving universal primary education, children with disabilities 'are the majority of those excluded.'
2011: First ever **World Report on Disability** focuses on systemic and institutional changes needed to remove barriers to the participation of disabled learners. 2013: UN **High Level Meeting** on Disability and Development considers a disability inclusive development agenda towards 2015 and beyond.
## Box 1: Milestones Towards Inclusive Learning. Data Challenges
The World Report on Disability (WHO, 2011) highlights the substantial variations between prevalence rates of children with disabilities, due to differences in definition and measurement of disability. The report provides in-depth insights into the difficulty of generating data on disability, given the lack of international consensus on definitions, and the difficulty of generating comparable data sets.
'The number of children aged 0–14 years experiencing "moderate or severe disability" [is] 93 million (5.1%), with 13 million (0.7%) children experiencing severe difficulties. In 2005, the United Nations Children's Fund (UNICEF) estimated the number of children with disabilities under age 18 at 150 million. A recent review of the literature in low- and middle-income countries reports child disability prevalence from 0.4% to 12.7% depending on the study and assessment tool,' (WHO, 2011: 36).
One of the challenges faced in collecting reliable and comparable data is the changing nature of this population, due to the continued disabling impact of preventable childhood diseases; the consequences of armed conflict, disasters and emergencies; and advances in medical science.4 This is coupled with social, cultural and economic developments, leading to greater recognition of educational difficulties. Children who are malnourished are not only likely to be stunted in their physical growth, but are highly likely to experience cognitive difficulties and delays in learning. In countries affected by conflict, boys face distinct risks, as they are more involved in outdoor activities such as herding livestock, gathering wood and food or collecting scrap metal. They are more likely than girls to come across mines or explosive remnants of war, placing them at increased risk of injury. A lack of disaggregated data, by sex and by type of disability and level of functioning, makes educational planning for inclusive learning extremely difficult. Furthermore, evidence on the number of children identified as having a disability which affects their learning, and those who may have an unidentified difficulty in learning leading to poor outcomes, is scarce. The difficulties associated with the lack of consensus on definitions have slowed progress, but this is starting to change. Mont (2014) has been influential in arguing for the development of data collection tools that help countries to better understand how children with different types of impairment interact with their school environment. Some of the problems with current survey instruments for collecting data on disability and education are as follows:
asking if a child has a disability - only identifies children with the most severe impairments
asking if a child is receiving special support - problematic because the answer relates to both the function of the child's disability, the policy and how the policy is implemented
asking about diagnoses - problematic because many children do not have a diagnosis; children can have very different abilities and needs, yet have the same diagnosis; the list of diagnoses is never complete (Mont, 2014).
Mont (2014) has also recommended that information is collected about the school environment, not just about the children in schools. This includes:
physical accessibility (school grounds, entrance, classrooms, toilets, etc.)
human resources (e.g. teacher training)
materials (e.g. aids and appliances, such as magnifying glasses, wheelchairs)
services (e.g. physiotherapy, orthopaedic support, speech therapy).
These recommendations have been acted upon by UNICEF (2014: 1) with positive results for more reliable data collection in the future:
'UNICEF and the Washington Group are developing a new survey module to measure the school environment and children's participation in education. The module will measure the barriers and facilitators to education by children with/without disabilities. This module will complement the module on child functioning and disability. Together, they will provide a comprehensive measurement of disability - assessing activity limitations, as well as children's interactions within their environment. The module will cover: attitudes, accessibility, getting to school, and affordability. Once finalized, the module will undergo cognitive testing and field testing. It is expected to be ready for actual data collection and use by countries in early 2015'.
This represents a major step forward in providing governments with a useful tool to establish the particular difficulties facing both individual learners, and the education system. The tool will be relevant regardless of the stage of development in a particular country, and will impact upon children with a disability as well as those who experience difficulties in learning. However, improvements in data collection will only lead to improved policy and practice if there is a greater understanding of the principles of inclusive learning. Croft (2013: 240) has argued for a 'bottom-up', 'service-based' approach to the ethical collection of quantitative data which would simultaneously deepen the understanding of educational practitioners and planners of 'the kind of information that is needed to improve education for disabled children.' Learning lessons in this way from existing educational, Croft (2013: 240) argues, could help, 'inform broader analysis of national needs so that education can play a positive role in breaking the link between disability and poverty'. Collecting data about disability prevalence in contexts where learners with disabilities are already enrolled in schools, would provide a higher quality of data on the barriers experienced (as proposed by Mont, 2014), than in contexts where children with disabilities have been excluded from education (Croft, 2013).
## Approaches To Educating Children Who Have A Disability
Children tend to be either seen as 'normal', with common characteristics, and so educated in a mainstream school; or 'special' because of their particular individual or group characteristics, and educated in a special school, or in a specialist unit attached to a mainstream school (see EENET, 2006: 27, for an illustration of these different forms of provision). Alternatively, all learners are seen as having a common educational aim, and so the quality of teaching and learning is regarded as the main priority, with additional support being provided, where necessary, as part of an inclusive learning approach. The inter-relationship between common, individual and group characteristics is illustrated in a diagram entitled Inclusive Pedagogy (see Figure 3). The arguments about the most appropriate location for the education of children with disabilities are influenced by culturally defined and evolving concepts and by the availability of educational options, but in many countries there is only one option - that of attending the local school. Alternative options include special, residential or day schools, resource rooms or special units, specialist support from a visiting itinerant teacher, and home-based education (sometimes in preparation for formal education), supported by community-based rehabilitation (CBR) workers, where available.
## Special Schools
Special schools can be a source of specialist expertise and facilities, and provide education for those with profound and complex disabilities. When they are well managed and resourced, they are an efficient way of concentrating resources in one location. No statistics are available on special school attendance in developing countries, but in the European context 2.3% of learners are educated in segregated settings, either in separate classes in mainstream schools, or in a special school (WHO, 2011: 210). The number of special schools has increased in India, in line with the development of inclusive education (Singal, 2008), but they tend to be urban-based, and so this does not necessarily involve separation from families and communities, as would be the case with attendance of a residential special school.
Special schools for deaf learners provide a focus for the development of sign language. The employment of deaf teachers and support staff further strengthens such specialist provision. This is difficult to achieve in a resource room or unit attached to a mainstream school (due to the smaller number of learners with just one specially trained teacher), and much more difficult to achieve in an inclusive setting with limited resources. Similar arguments are posed from the perspective of specialisms, such as autism, deaf-blindness and profound and complex disability. Indeed, in some countries, those with severe impairments are often considered to be 'ineducable', and so are excluded from both mainstream and special school settings. Special schools tend to be perceived to provide a superior form of education for girls and boys with disabilities. Disabled people's organisations and parents' groups in Uganda reported that their preference was for special school provision, partly because of the overcrowding and poor resourcing of mainstream schools, together with their conviction that special schools provide a higher quality of education, leading to employment (Lang and Murangira, 2009). Similarly, parents of girls and boys with albinism in Malawi expressed a strong preference for education to take place in a specialist resource unit because they believed that the quality of learning and support far exceeded that to be found in a mainstream school (Lynch and Lund, 2011). Both deaf students and those with intellectual impairments have argued that mainstreaming is not always a positive experience, due to the low quality of specialist provision (WHO, 2011: 211). Yet there is also evidence of poor quality specialist provision in a study of special schools in Uganda, where some of the teachers had little or no specialist expertise, and specialist equipment was not available (Kristensen et al., 2006). Singal et al. (2011) report the experience of 30 Indian young people with disabilities (from communities with few resources, whose parents had little education) in attending both special and mainstream schools. The young people benefited from attending special schools, particularly in the early years, as they were able to learn basic life skills; access appropriate specialist equipment; have exposure to positive role models, such as blind teachers; and develop friendships in a safe space. They appreciated the opportunity in later years to broaden their educational opportunities by attending mainstream schools, but some experienced high levels of frustration due to the lack of appropriate resources, a narrow and irrelevant curriculum, teachers' inability to engage them and their lack of friendships. Residential settings not only separate children from formal learning, but also separate them from opportunities for social learning in their families and communities. Children with disabilities are vulnerable to physical and sexual abuse in all settings (and girls are more vulnerable than boys), but residential special schools can be particularly unsafe in this respect. These arguments and examples highlight the difficulties involved in comparing special school provision with mainstream settings. Poor quality education is bad for all children, not just those with a disability. The challenge is to raise standards of teaching and learning for all children in all schools and this involves ensuring that all schools are effective and promote quality education, regardless of the location.
## Resource Rooms
Resource rooms are sometimes referred to as 'special units', and as 'transitory classes' in French speaking countries. They enable the provision of specialist support within a mainstream educational setting, ideally as close to learners' homes as possible. However, they can either reinforce the principles of inclusive learning, or they can be exclusionary - as is the case with any form, or location, of educational provision. Usually, a resource room is staffed by one specially trained teacher, who manages the learning of a multi-grade classroom of approximately 8 to 10 learners with sensory and/or intellectual disabilities. The initial purpose of locating a resource room adjacent to a mainstream school was to enable opportunities for inclusive learning and/or socialising, and to support team teaching and whole school approaches to inclusive learning for the benefit of all children. However there is a tendency for resource rooms to become small special schools, and for there to be few links with the host school. For examples of the use of resource rooms, see Section 2 and Stubbs (2008: 104-105).
## The Shift From Segregated To Inclusive Learning
There are discernible patterns of development in all country contexts in the way school systems across the world have responded to children who have disabilities and/or experience difficulties in learning. This has involved a gradual move from exclusion and segregation, to an emphasis on integration, through to inclusion, but the pace of change varies enormously. The cartoon in Figure 1 reflects two contrasting approaches: a school making theoretical preparations for including children with disabilities; and a school willing to learn from experience.
Evidence of the impact of attending special or mainstream schools for learners who have a disability is not conclusive, even in developed countries, due to inconsistencies in the methodologies used to study both the settings, and the type and intensity of specialist services provided (WHO, 2011: 211- 212). The little research that has been conducted in low and middle income country contexts tends to focus on the most visible impairments, such as physical and sensory impairments, for which there are straightforward technical solutions, while relatively little attention is paid to learners who experience difficulties in learning, but have no visible disability (Section 2). In high income countries, by contrast, advances in medical science have led to a rise in the numbers, and complexity, of learners who require high levels of specialist knowledge and support, as reflected in the literature which is dominated by studies of girls and boys with autism and with severe intellectual impairments in a range of educational settings (Bakhshi et al., 2013). Even where research exists, drawing the appropriate conclusions is challenging. A review of studies on inclusion (pre-1995) found that there were slightly better academic outcomes for students with learning disabilities in special education settings, and higher numbers of learners with emotional difficulties dropping out of mainstream schools (WHO, 2011: 211). Similarly, there is some evidence that the acquisition of communication, social and behavioural skills is superior in inclusive classes or schools, and that the inclusion of students with disabilities is generally not considered to have a negative impact on those without disabilities (WHO, 2011: 212). Again, these results cannot be used to draw conclusions about location and type of provision, where the mainstream schools in question have not made a conscious effort to promote inclusive learning - in terms of presence, practice, achievement and participation. 'Global inclusionism', Le Fanu (2014) argues, has led to the withdrawal of support for, and ultimate closure of, special schools by some large international non-governmental organisations , without first investing in the development of support systems for inclusive learning. The closure of specialist facilities has had a devastating impact on the lives of people with disabilities, especially those children with complex educational needs, as alternative forms of educational support and social protection have not been provided by national governments (Le Fanu, 2014).
## The Twin-Track Approach
The twin-track approach advocates removing the environmental, attitudinal and institutional barriers to addressing inequalities in education, while recognising that girls and boys with disabilities have *additional* individual needs which need to be addressed (see Figure 2). Bines and Lei (2011) suggest that the continuation of some specialised provision through the twintrack approach is advisable in developing country contexts until more inclusive practice has been developed. They also argue that since special schools in developing countries tend to be located in urban areas, different models may need to be developed in remote rural areas, and suggest that the twin-track approach could support rural schools in developing specialist expertise.
'In Southern countries, special provision is very limited, and the policy choice centres on whether to develop inclusive regular schooling and/or provide some interim specialist provision, as a twin-track approach' (Bines and Lei, 2011: 422).
In India, twin-track approaches are commonplace, with the number of special schools having doubled between 1992 and 2002 at the same time as financial incentives being made available for the inclusion of girls and boys with disabilities into mainstream schools (Singal, 2008). Individualised education plans are used widely in developed country contexts, and to a limited extent in developing countries (WHO, 2011: 218), with varying degrees of success to support learning in a range of settings. The aim of an individualised education plan is to ensure that learning needs are understood by all professionals involved, and that changing learning needs are constantly reviewed. They have been reported to be useful for those who need individualised learning support, but more research is needed on the implementation of individualised education plans in promoting inclusive learning in countries with few resources and limited teacher education.
As with all the concepts discussed here, the twin-track approach can be misrepresented and misunderstood unless it pays attention to the underlying principles, practices and ethos of inclusive learning. It can lead to an increased reliance on specialist support, which, in turn, can undermine teacher confidence and capacity. However, it has great potential to promote fully resourced and supported inclusive learning.
## Conclusion
This section has discussed the concept of 'inclusive learning' developed for the writing of this Topic Guide. It has also discussed the difficulties faced in generating accurate and comparable data (disaggregated by sex and by type of impairment or difficulty), rather than simply collecting quantitative data on prevalence of disability and of school attendance and the potential for collecting service-based data at the same time as deepening teachers' understanding of difficulties in learning. The provision of specialist facilities and the widely recommended twin-track approach for ensuring that the educational needs of specific groups of learners are met alongside efforts to promote an inclusive learning environment have been discussed in this section. In Section 2, evidence is presented of the practical difficulties involved in developing 'grounded' and contextually specific approaches to inclusive learning.
## Section 2: Evidence On Inclusive Learning
#
This section brings together the available evidence on inclusive learning in low and middle income countries, with a particular focus on children with disabilities and those who experience difficulties in learning, for the first time. It seeks to identify practices and approaches from low and middle income countries that have made efforts to include all girls and boys in learning. The research methodology is outlined, along with its limitations. Thematic research questions are addressed across four key areas: teacher education; classroom practice; management and administration of educational leadership; and beyond school factors. The section highlights the key challenges, identifies knowledge gaps and suggests agendas for future research on equitable and inclusive learning.
## Part A: Research Methodology And Its Limitations Summary Of The Limitations Of The Evidence
The evidence base on inclusive learning for children with disabilities and difficulties in learning focuses largely on high income countries, particularly the US and UK, and there are challenges in identifying good quality evidence from low and middle income countries. These include:
There is a lack of reliable data on prevalence of disability and difficulties in learning in school-age populations.
There is a lack of reliable data on attendance at pre- and primary schools.
Evidence focuses on concepts and definitions of 'inclusive education', access to basic education and policy recommendations but evidence on implementation and on learning outcomes is patchy.
The most substantial body of literature focuses on teacher attitudes towards
disability, but findings are varied and inconclusive.
Much of the available evidence has been generated by international nongovernmental organisations, but this often lacks academic rigour and sample sizes are small.
Little evidence is available on inclusive learning in early childhood education.
The evidence summarised here on inclusive learning in low and middle income countries was identified through a rigorous review of literature from five education databases linked to ProQuest,5 using a set of relevant search terms.6 A total of 60 journal articles were identified through this process, 23 of which
focused on teacher attitudes. Only eight articles were deemed to be of direct relevance to the practice of inclusive learning, and so included in this review. Further searches were conducted of literature recommended by key stakeholders in the international non-governmental organisation (NGO) and UK-
based research community. Only three systematic literature reviews have been included: access to education for children with disabilities (Bakhshi et al., 2013); teacher attitudes (de Boer et al., 2011); the economic costs of exclusion and gains of inclusion (Morgon Banks and Polack, 2014). The majority of the literature is drawn from small-scale studies conducted by international agencies and academics based in the North.
The issues of teacher attitudes and self-efficacy in relation to inclusive education are overrepresented in the literature identified for the review (23 out of 60 articles identified in the initial review of the literature). There is a clear gap in the literature in relation to inclusive learning processes, strategies and outcomes at both teacher education and classroom level. The preoccupation with the barriers created by negative attitudes towards inclusion has arguably led to a lack of resourcing of research into classroom-based inclusive learning strategies. It is also indicative of the current phase of global advocacy around inclusive education. There has been a predominance of policy advocacy in the grey literature which has been primarily concerned with developing and delivering key messages from the inclusive education discourse to influence decision makers and mobilise popular campaigns. However, this has not translated into investment in research and the absence of evidence on learning outcomes for learners with disabilities reflects the dearth of evidence on the topic in general. Further reviews of literature generated in developing country contexts highlighted gaps in the knowledge base. Such reviews tend not to be included in international databases. However they are likely to be identifiable through consultation with practitioners and academics in those contexts, but this approach requires additional resources. For example, as part of the consultation with UK-based academics, a national achievement survey was identified that had been conducted on the learning outcomes of students in Class 5 (around age 10) of Indian elementary schools, including learners with physical difficulties (National Council of Educational Research and Training, 2012). This more complex process of literature searching was beyond the scope of this review.
The first systematic review of the literature which focused on the accessibility of education for people with disabilities in both developed and developing countries found that:
'there have been virtually no studies in the academic literature that have looked at the impact of an intervention to improve accessibility of children with disabilities to formal school settings in low- and middle-income countries in the past decade' (Bakhshi et al., 2013: 28).
They also found that the literature from low and middle-income countries on the issue of education of children with disabilities consists primarily of 'commentaries, discussion papers, opinion pieces or reviews', and that there is an absence of evaluations of effectiveness (Bakhshi et al., 2013: 28). Most of the studies identified by Bakhshi et al. focused on learning disabilities and autism (reflecting research trends in the US and UK) and there was a notable lack of attention to blindness, visual impairment or physical disabilities, which are 'very prevalent impairments in low-income countries'
(Bakhshi et al., 2013: 28). Of those studies identified, the implications for policy and programming lacked substance:
'…although these studies present a picture of what and how well children with various disabilities can do within classrooms, these measures alone do not provide the required information for making recommendations in terms of policy and programming; in other words although most studies might hold scientific validity, their external validity is not very strong' (Bakhshi et al., 2013: 24).
The implications of the Bakhshi et al. (2013) review are that:
'…some of the questions about education for children with disabilities in middle- and lowincome countries are still unanswered;' (Bakhshi et al., 2013: 29).
They conclude that 'it is not possible to draw any formal conclusions about the most effective approaches (in terms of impact or indeed cost) to increase the accessibility of education for children with disabilities' in developed or developing countries (Bakhshi et al., 2013: 34). A rigorous literature study was conducted in 2012 to identify projects in low and middle income countries in the preceding 10 year period which aimed to make education more inclusive, and to identify the effects of these projects (Srivastava et al., 2013). Of the 157 references identified in 30 databases and from international organisations, 11 studies and 4 reports were selected for review, and only 2 projects reported positive effects in terms of increased attendance of children with disabilities; these were: Deng and Holdsworth (2007) and Villa et al. (2003), studies identified for review in the process of writing the Topic Guide. Much of the evidence on inclusive learning in low and middle income countries which was reviewed for this Topic Guide focuses on girls and boys who have more prominent, often physical, impairments and who are already attending school. The findings presented in this section reflect the conclusions of the Bakhshi et al. (2013) and Srivastava et al. (2013) reviews, and further expose the limited evidence available on the effectiveness of inclusive learning for children with disabilities, and for those who experience difficulties in learning. There is an emerging body of literature focused on the education of learners with visual impairments, including those with albinism. Many girls and boys who experience difficulties in learning and who would benefit from more inclusive forms of education, tend to go unrecognised in developing country contexts (Villa et al., 2003). This reflects the ways in which impairments, disability and difficulties in learning are defined in particular contexts, as discussed in Section 1. The research questions addressed in this section of the Guide focus on some of the limited evidence that does exist, and its practical implications.
## Part B: What Forms Of Teacher Education Enable Teachers To Promote Inclusive Learning For Girls And Boys Aged 3 To 12 Years Old? Summary Of Evidence Teacher Attitudes And Confidence
Numerous studies have focused on teacher attitudes in both pre-service and in-service teacher education. Findings are varied and include:
Teacher attitudes are important to the reduction of stigma and discrimination and the active participation of learners with disabilities and difficulties in learning
Teachers who perceive their school to be supportive of inclusive learning, and teachers
who have had contact with students with disabilities, tend to have more positive attitudes than those who have had little contact.
Teachers with the least experience of teaching have more positive attitudes than those who have been teaching for a longer period of time.
Teacher confidence can be low among the newly qualified who tend to feel they do not have the requisite skills and experience to teach inclusively.
## Approaches To Teacher Education
In-service teacher education plays a key role in tackling stigma, reducing discrimination and raising teachers' expectations of learners with disabilities and those with difficulties in learning.
Inadequate human resources at ministry level to support the ongoing development of teacher capacity is one of the major reasons for teachers' difficulty in differentiating their teaching.
An extensive range of generic toolkits and manuals have been produced to prepare teachers for, and promote, inclusive education.
##
Teacher attitudes, confidence, knowledge and expectations, in relation to teaching girls and boys with diverse learning needs, are inextricably linked and can be affected, both positively and negatively, by pre-service and in-service training, by teaching experience, and by social and cultural values. In the absence of national policies, strategies or statutory teacher education on inclusive learning, much of the training available in low and middle income countries is fragmented and inconsistent. Many of the examples cited here involve sustained efforts to provide in-service teacher education. However, there are challenges in sustaining such efforts due to a shortage of experienced advisory level staff, as well as leadership commitment. Yet, teacher education is one of the most urgent priorities and most sustainable investments, given expectations placed on teachers to deliver inclusive learning.
## Teacher Attitudes
The negative attitudes and behaviour of teachers towards children with disabilities and those who experience difficulties in learning can inhibit academic progress. Numerous studies have focused on teachers' attitudes towards inclusion, and on the impact of attitudes on the effectiveness of inclusive teaching practices, and the findings are varied. When universal primary education was first introduced in Uganda, initiating a large influx of previously excluded groups, schools were overwhelmed. They reported problems with discipline, performance and drop-out rates, and teachers who were opposed to inclusion made little or no effort to support students with impairments (Arbeiter and Hartley, 2002). A systematic literature review covering a range of countries, including China, India, Iran, Palestine and Zimbabwe, found that 'teachers with the least general teaching experience had more positive attitudes than those with longer service' (de Boer et al., 2011). Teachers who are better educated or have personal experience of people with disabilities tend, unsurprisingly perhaps, to take a more supportive approach to inclusion (Parasuram, 2006).
A study of 738 teachers working in 293 government primary schools in Bangladesh found that 'perceived school support for inclusive teaching practices' and a range of demographic variables including successful contact and experience of teaching students with disabilities were associated with more positive attitudes of the teachers towards inclusive education more generally (Ahmmed et al., 2012). Similarly, in Lao PDR, teacher attitudes were found to be fundamental in developing innovative and inclusive practice. In particular:
'… where teachers engage with the idea of changing lessons so that all children are participating and achieving, then their attitudes begin to change. As well as enjoying their teaching more and becoming increasingly motivated, they are also enabled to understand how children with disabilities and special needs can be included in ordinary lessons in mainstream schools.' (Grimes, 2009: 139).
## Approaches To In-Service Teacher Education
International and national NGOs have a long history of working in parallel and in partnership with government initiatives to provide teacher training for inclusive learning, through differentiated approaches to teaching style and content. These programmes can be small scale and unsustainable (Le Fanu, 2014) due to high transaction costs and short-term project financing from donors. This fragmented approach makes it harder to introduce, consolidate and sustain more inclusive approaches to learning at classroom level and, while it can provide scalable, contextualised models of practice, is thus not sustainable on a national basis in the longer term. In Rwanda, 19 of the 25 NGOs working with children with disabilities have developed their own inclusive teacher training for both mainstream and special schools (Karangwa, 2013). This training is not recognised by the Ministry of Education because it 'does not follow the nationally recognised accreditation and qualification frameworks' (Karangwa, 2013: 4) and is therefore not rewarded with increases in salaries or promotion. This can disincentivise teachers from engaging in these development programmes. Karangwa suggests that many such courses tend to be 'specialist' by design, inadvertently discouraging teachers from taking responsibility for the learning of all children. In order to address the problems arising from this fragmentation in Rwanda, Handicap International has supported the development of a government recognised Diploma programme on inclusive education, developed by the 'Task Force for the Development of Inclusive Education in Rwanda.' This programme is now working with a range of education stakeholders including 40 model schools, 8 district education offices, education inspectors, the Rwanda Education Board, the Ministry of Education and Kigali Institute of Education (Handicap International, no date). In Lao PDR, in-service training was prioritised by teachers and policymakers as a central pillar of the national inclusive education programme that began in 1993 with initial support from Save the Children Fund UK. However, it was found to be ineffective as a stand-alone initiative and failed to improve classroom practice (Grimes, 2009). A subsequent phase of in-service teacher training, which took place for 60 days over a 2 year period, was introduced in combination with ongoing advice and guidance at school level, an approach that proved to be more effective. This advice and guidance was provided through a range of initiatives, designed to support teachers: resource centres; cluster schools; itinerant teachers; support for leadership; inclusive school development; governance programmes; mentoring; peer-to-peer support for pupils and staff; and continuing professional development training and events. A national in-service teacher education programme was initiated in 1991 in Lesotho, with support from Save the Children Fund UK and UNICEF. It prioritised the in-service training of all 77 teachers in 10 pilot schools across 8 districts, led by Ministry of Education staff (Khatleli et al., 1995). The training of all teachers was a deliberate strategy to avoid the difficulties that can arise when one teacher is perceived as the 'specialist' in disability issues. The training was conducted in the school holidays by a wide range of education stakeholders, all based in Lesotho, including disabled people's organisations, parents' organisations, specially trained teachers from the special schools, and rehabilitation professionals. Follow-up visits were made on a regular basis to support the teachers in pilot schools, which subsequently became a regional resource for neighbouring schools. In 2005, a doctoral study analysed the impact of this national teacher education programme in Lesotho. The study was conducted in 21 of the 82 primary schools (Johnstone and Chapman, 2009: 139), some of which had been involved in the training described by Khateli et al. (1995). It found that, 'Many of Lesotho's teachers can adequately (informally) screen student academic and sensory functioning, and do care deeply for students with disabilities'. As a result, many teachers are able to adequately, though informally, screen students' academic and sensory functioning. However, the training had not prepared them to differentiate or accommodate the educational needs of a diverse range of learners in the context of large classes. Inadequate Ministry capacity to provide sustained support to ongoing teacher development was identified as one of the major barriers to the development of teachers' skills in differentiation. Deluca et al. (2014) present evidence from a school-based survey in four districts in the north of Zimbabwe of knowledge, attitudes and beliefs, barriers, concerns and daily practices related to disability and inclusive education. Their findings demonstrate the need for further specific training on inclusive approaches for teachers and head teachers in order to improve the quality of teaching and learning outcomes for girls and boys with disabilities. Although attitudes and beliefs were generally positive, the long distances between home and school, a lack of assistive devices and lack of adequate transport continued to be major barriers to school attendance, as were the direct and indirect costs of schooling, suggesting the need for a variety of support mechanisms to make inclusive learning a reality. Large class sizes and poor sanitation arrangements were additional barriers. Five strategies for training, recruiting and supporting inclusive teachers have been identified by the International Disability and Development Consortium (2013), and these include: ensuring that all teachers receive training on inclusion in their initial teacher training; balancing theoretical understandings of inclusive learning with practical experience; ensuring that teacher trainers have a good grasp of inclusive principles; involving people with disabilities in teacher education processes; recruiting a diverse range of people as teachers.
## Teacher Expectations
Raising teacher expectations and challenging negative attitudes through high quality in-service teacher development programmes are critical for inclusive learning to succeed. In Vietnam two pilot projects were set up in 1995, one in an urban and the other in a rural district. Within 4 years, 1,000 of the 1,078 girls and boys with disabilities identified in their homes with mild, moderate and severe disabilities had gained access to their local schools (Villa et al., 2003). The evidence reviewed only provides details of the process of identifying the girls and boys, and supporting their access to school, it does not provide information about the nature of their engagement, or their learning outcomes. 'Prior to the project there had been minimal in-service training of any sort' (Villa et al., 2003: 27), but through the process of in-service education, teachers' expectations of learners' abilities were raised.
## Research Directions
The evidence reviewed indicates the following gaps in the literature, which are worthy of attention in future research:
the content and impact of pre-service training on inclusive learning
the knowledge and skills that teachers need to support, develop and sustain inclusive learning
learning needs of teachers at different stages of their career about teaching inclusively and managing the diverse learning needs of children
the role of inclusive learning in early childhood education in preparing children for formal schooling and in preventing future difficulties in learning
training needs of educational leaders, including at ministry and local government level.
## Part C: What Forms Of Classroom Practice Can Promote Inclusion In Participation And Learning? Summary Of Evidence
The economic benefits of providing girls and boys with eye glasses outweigh the costs while also improving test scores, but social stigma and lack of access and affordability can impact negatively on uptake.
Teachers' positive attitudes and ability to screen for disabilities and diverse learning needs does not necessarily translate into adapted classroom practice or an ability to provide differentiated curricula and learning opportunities.
Peer-to-peer approaches have assisted learning and built self-esteem and friendship
networks in some contexts, but little is known about their impact on learning outcomes.
Multi-grade teaching has potential benefits in promoting inclusive pedagogy and teacher
awareness of learner diversity.
##
Effective teaching practice is important for inclusive learning. This includes differentiation and accessibility of lessons. Adaptations need to be made to the learning environment and to the pedagogy, according to the variable needs of the learners. Sometimes learners require individual assistive devices to support their learning and ensure that they can access the curriculum. Effective teaching ensures that all girls and boys are included, engaged in learning and supported to achieve their potential. Similarly, gender-sensitive teaching approaches can help to ensure that the learning outcomes of girls and boys with disabilities are not adversely affected by gender-prescribed roles and expectations.
## Inclusive Classroom Practice
In Lao PDR, girls and boys with mild to moderate disabilities were successfully included in classrooms by teachers who actively supported them using skills they had learnt in their training, which included:
actively providing additional classroom support to help children with specific skills and comprehension
enabling peer-to-peer support, which not only assisted learning but built self-esteem and friendship networks
using locally-produced resources (e.g. stones/chopsticks for maths, flashcards for literacy), often produced by community members
actively engaging parents to support children's learning at home (Grimes, 2009: 106-107).
Similarly, the DFID supported Gansu Basic Education Project (GBEP) in China introduced 'measures to ensure good learning opportunities for children with special educational needs' (Deng and Holdsworth, 2007: 507). Baseline data revealed that, prior to GBEP's launch, approximately 30% of children with mild physical or sensory disabilities had been accepted for enrolment in schools 'out of sympathy,' but were 'found in the corners of the classrooms' and received no extra help, effectively being excluded in an 'inclusive' setting. Parents reported fears of sending their children to school due to bullying and doubts about the value of their education. Within 2 years of the project's inception, enrolment of girls and boys with disabilities and difficulties in learning had risen to about 60% as a result of improved parent and community awareness. A study of teachers in Lesotho observed that there was a lack of emphasis on differentiation or accommodation of learners' needs in large group settings, in spite of in-service training provided by the Special Education Unit at the Ministry of Education. This highlights inadequacies in teacher education, discussed above, which leave teachers ill-equipped to teach girls and boys with specific learning needs in an inclusive classroom. At the same time, the Lesotho study found that teachers had positive attitudes, and some offered lessons in their spare time to girls and boys with disabilities and those who experienced difficulty in learning (Johnstone and Chapman, 2009).
## Peer-To-Peer Learning And Child-Friendly Approaches
Encouraging cooperation between students through peer-to-peer learning (also referred to as childto-child approaches), has the potential to maximise participation as well as achieve high learning standards for all. A study in India found that:
'A common practice adopted by all teachers was to involve other children in helping the child with disabilities. This was done primarily through making changes to the classroom seating arrangement. Teachers made the child with disabilities sit with a 'good' student, who was then instructed to help her/his partner' (Singal, 2008: 1523).
However, concerns were raised by teachers that a great deal was expected of the most able students, who sometimes became proxy teaching assistants. As with any inclusive learning strategy, the quality of the intervention varies considerably and a great deal depends on the quality of the teachers involved. In Pakistan, a 2007 pilot programme to introduce inclusive schools in Balochistan found that childfriendly teaching and learning methodologies improved average academic performance of all children, including those with disabilities (Acedo et al., 2011). This pilot led to the Islamabad Commitment on Inclusive and Child-Friendly Education and the establishment of 3,000 child-friendly schools targeting 700,000 children with disabilities. The Commitment is supported by the Ministry of Education and UNICEF. In contrast to this confidence in the child-friendly approach, a recent survey of 12,576 government schools in rural India found that child-friendly approaches, though 'well intentioned' and designed to increase inclusion in learning environments, had insignificant effects on test scores (Das, 2014: 1). The study was the first quantitative evidence of the impact of child-friendly approaches in India and looked at pedagogical practices through high quality classroom observations. Das (2014) found that the popularity of child-friendly approaches in policy discourse was disproportionate to their actual impact on learning outcomes, thus highlighting potentially substantial flaws in the available evidence base on child-friendly approaches. However children with disabilities and/or with identified difficulties in learning were not included in this study.
## Specialist Support To Mainstream Schools
This section reviews a range of specialist interventions including the deployment of itinerant teachers, resource rooms, sometimes referred to as special units, and the provision of assistive devices and learning materials.
## Itinerant Teachers
In Kenya, Uganda and Malawi specialist support is provided to children with visual impairments and their teachers in mainstream classrooms through the employment of 'itinerant' teachers. This model was first introduced in Kenya by Sightsavers in the 1980s, and more recently has been introduced to support children with hearing and intellectual impairments in Malawi.
In Malawi, itinerant teachers work full-time in their role as specialist itinerant teachers, whereas in Kenya and Uganda they are employed as mainstream class teachers with permission to conduct itinerant teacher duties. Kenya has the most well-developed and successful system of itinerant teachers. Evidence of the progress of itinerant teacher programmes has been studied by researchers based at the Visual Impairment Centre for Teaching and Research (VICTAR), established in 2001 at Birmingham University, (see for example, Lynch et al., 2011). Trained in inclusive or special education, itinerant teachers aim to ensure that assistive devices are working, provide advice, support and resources to children, families and teachers about the importance of education for children with disabilities (this includes attending church services and village elders' meetings to raise awareness in Uganda; Lynch et al., 2011), and liaise with teachers to strengthen inclusive classroom learning and practice. Itinerant teachers are considered to have a key role to play in supporting participation and learning in the classroom. They may provide technical one-to-one support (e.g. teaching numeracy with an abacus, teaching sign language, transcribing tests into Braille), support transitions from home to mainstream classrooms and enable girls and boys with disabilities to engage with the curriculum. They may also provide regular advice and guidance to mainstream teachers on inclusion issues and challenges, such as best placement of pupils within the classroom, basic adaptations of learning materials and so on. One of the limitations of the itinerant teacher approach is that caseloads tend to be very large and distances too great, preventing teachers from making regular school visits and meaning that coverage can be patchy. The difficulty of balancing regular teaching responsibilities with the demands of the itinerant teacher caseload is another limitation (Lynch et al., 2011).
## Resource Rooms
Resource rooms (sometimes referred to as 'special units', 'support rooms', or 'transitory classes' can facilitate the inclusion of girls and boys with disabilities in mainstream schools by providing additional specialist services, with a view to supporting transition into a mainstream class, although children often remain in the resource room setting. In Rwanda, resource rooms have been developed and equipped with locally-made educational resources in over 27 schools in order to ensure access to, and support for, the education of students with disabilities, including those who are deaf. Parents work with teachers on a rota basis in the resource rooms to develop educational materials (Karangwa, 2013).
Mainstream primary schools in El Salvador similarly have 'support rooms' which provide assessments of needs, individual or small group instruction, support for regular teachers, speech and language therapy, and work closely with parents, receiving a budget from the Ministry of Education.
By 2005, 10% of all primary schools had such support rooms (WHO, 2011: 221). In Uganda, a total of 123 deaf children are supported by 14 units attached to primary schools in Bushenyi District - this amounts to around 8% of the deaf school-age population in the district being registered as attending school, compared to only 2% nationally (Miles et al., 2011). Prior to these units, early identification of children with disabilities and formal education was provided by Danidafunded resource centres (1984-2000, after when external funding ceased). The later, less resource intensive initiative, focusing on deaf children, was supported by Deaf Child Worldwide and VSO and paid particular attention to teaching parents, teachers and pupils Ugandan Sign Language, and on addressing the negative attitudes in the community to the inclusion of deaf girls and boys in primary schools. The first cohort of teachers to receive training was exposed to good practice, learned sign language, and went on to teach a second cohort of teachers using a cascade model. An evaluation found that the language competency of this second cohort was weak and as a result children's own language acquisition and development was constrained (Wapling, 2010). The evaluation recommended that opportunities be created for deaf girls and boys to meet with deaf adults or students with advanced sign language competence to enhance their language development. While there are clear benefits to enhancing access and inclusion of disabled learners in mainstream settings, the establishment of resource units and rooms in low and middle income countries is fraught with challenges. Stubbs (2008) does not recommend resource units as a strategy for inclusive learning, and has identified the following barriers to implementation:
Substantial additional funding for resource rooms can lead to resentment among teachers who have under-resourced classrooms and large class sizes.
Teachers with additional qualifications in special education tend to receive higher salaries, which can also fuel resentment.
Teachers who do not have specialist qualifications often struggle to teach 'problem'
children, and so label them as having 'special needs' in order to shift responsibility for them to the resource room teachers.
Children with a wide range of impairments tend to be grouped together according to their characteristics, rather than their learning needs.
Stigma and separation are perpetuated, as some girls and boys remain in the resource rooms on a permanent basis.
Children and teachers in regular classrooms do not receive adequate support (Stubbs, 2008: 44-45).
## Assistive Devices And Learning Materials
Recognising the diversity of educationally significant impairments and providing assistive devices, where possible, is a critical component of support for inclusive learning. Ensuring the provision of the right assistive devices (spectacles, magnifying glasses, telescopes, hearing aids, mobility aids) and adapted materials (Braille textbooks, large print materials) is an essential part of well-supported inclusive learning. There can, however, be considerable logistical challenges in providing such additional resources, especially in rural and low income settings. Limited finance, lack of collaboration between ministries of health, education and social welfare, social stigma, and the need to train and deploy professionals to monitor, maintain and evaluate these devices (Lynch and Lund, 2011) are some of the key barriers. Eye glasses are one of the most straightforward and least expensive assistive devices and in China's Gansu province the economic benefits of giving glasses to children has been shown to outweigh the costs, as well as to improve test scores:
'A randomized control trial was implemented in 25 townships of two counties in Gansu, which included about 19,000 children in 165 schools, of whom about 12% had poor vision. The results indicate that offering eyeglasses to children with poor vision increases their test scores (averaged over three subjects) by between 0.11 to 0.16 standard deviations of the distribution of those test scores, depending on the estimation method used' (Glewwe et al., 2012: 34-35).
In spite of these results, around one third of children or household heads refused the glasses because of social stigma associated with having an impairment, and a larger number of boys (74%) than girls (66%) accepted the prescription of eyeglasses (Glewwe et al., 2012). The Gansu province experience helps explain why so many disability-focused organisations prioritise awareness raising and the addressing of negative attitudes, and why there is so little evidence on the impact of inclusive learning initiatives in developing countries. Programmes in southern Africa which address the particular needs of children with albinism routinely address extreme stigma, alongside delivering practical help to address poor eye sight and reduce the risk of skin cancer. In Malawi, it is reported that:
'The most effective, cheapest and most accepted form of 'aid' is a wide brimmed hat and dark glasses. If children with albinism are allowed to wear a hat both inside and outside the classroom, this will help protect their very sensitive eyes from bright light and improve their vision. Hand held magnifiers are also useful, but compliance may be low. Prescription spectacles will correct some visual problems such as astigmatism, which will improve visual performance, but these are relatively expensive, may get broken and require regular check-ups at optometrists' [italics added] (Lynch and Lund, 2011: 38).
Lynch et al. (2011) found that itinerant teachers in Kenya were making effective use of local materials to support the learning of children with low vision. However, high pupil-to-textbook ratios were found to be problematic, when students had to share texts and those with visual impairments struggled to access the materials. As a result some itinerant teachers transcribed textbooks by hand into large print during the holidays, but this is clearly neither an efficient use of their time, nor a sustainable approach (Lynch et al., 2011). Girls and boys with severe visual impairments also need specialised assistance: brailling of textbooks is essential and these books must be made durable; video magnifiers (also known as closed circuit television systems, or CCTVs) have been made available in some Nairobi resource centres but are impractical in rural primary schools which do not have electricity supplies, and so are rare outside of urban contexts (Lynch et al., 2011). In a study of the barriers to full educational access for learners with albinism in central and southern Malawi, Lynch et al. (2014) reported that, 'Although albinism affects both genders equally, the number of girls attending resource centres is significantly lower than boys', and that one of the possible explanations is parental concerns about girls attending centres managed primarily by male staff. This observation is indicative of many other studies reviewed here, where occasional observations are made about gender inequality, but gender analysis was not built into the study design. This indicates a need for a greater awareness of intersectionality and more gender-sensitive approaches to research and development work, as UNICEF (2013) suggests, 'Integrating age, gender and diversity awareness, including paying special attention to the multiple discrimination faced by women and girls with disabilities is critical for disability-inclusive programming'.
## Regular Breaks
Inclusive classroom practice recognises the importance of play and breaks during lessons. Play fosters critical skills, such as problem solving, planning, turn taking and sharing. Wapling (2010) argues that children with disabilities have often not been given the freedom to play and socialise because they may have been rejected by their peers or kept at home by overprotective parents. Breaks between activities are particularly helpful for all girls and boys, but particularly those with hearing impairments who can find transitioning between lessons and subjects a challenge, and need time to prepare for a new topic or activity. Deaf children find learning tiring, due to the level of concentration required, and so benefit from short breaks in between lessons, with opportunities to play and interact with their peers. This can help them concentrate better, develop essential social and linguistic skills and maximise their time in class (Wapling, 2010).
## Pedagogy
In many classrooms, teaching and learning is aimed at the majority, who are perceived to have common characteristics and common learning needs. The concept of 'inclusive pedagogy' is relatively new in high income contexts, and virtually non-existent in low and middle income countries. There are ongoing debates about the extent to which learners with disabilities require a specific, adapted 'special' pedagogy, sensitive to the needs of sub-groups (such as visually-impaired learners) while other scholars argue that it is sufficient to promote the development of pedagogies that treat all children as individuals (Croft, 2013). See Figure 3 for an illustration of inclusive pedagogy: as a dynamic relationship between responding to learners as having common characteristics; as sharing the characteristics of a sub-group; and as a way of understanding individuals. Most children have a complex mixture of individual, group and common characteristics, and inclusive pedagogy aims to address the diverse educational needs arising from children's characteristics and their personal circumstances (e.g. orphaned, displaced).
The way teachers understand and conceptualise 'difference' in broad terms (gender, disability, ethnicity, culture) is integral to inclusive pedagogy, as are the repertoires, or range of techniques that teachers use to respond to those differences, and in particular to those who experience difficulties in learning.
'Inclusive pedagogy … accepts that learners have individual differences but sees pedagogically significant differences as located in the interaction between the learner and the school and therefore within the teacher's influence and responsibility' (Croft 2010: 28).
Pedagogical practice that labels girls and boys 'special' or 'slow' can lead to stigmatisation, exclusion and low expectations of learners by their teachers. In Mpika, Zambia, 'Most of the teachers believed that inclusive education was not their responsibility. They saw it as a specialist issue associated with 'special needs' and disabilities' (Miles, 2009: 616). Teachers in Mpika collaborated in a process of problem-based learning, involving reflective writing and regular after-school discussions led by an inservice teacher educator, and they began to realise that they already had significant skills in managing large inclusive classes, and in responding to children with diverse needs such as those who were poor attenders, orphans and teenage mothers (Miles, 2009). Engaging in this process helped the teachers to appreciate their existing skills, grow in confidence, and take risks in developing greater competence as inclusive teachers.
## Multi-Grade Teaching
Multi-grade teaching is challenging even for the most committed and well trained teachers, though it has often been presented as the only viable approach for governments wishing to expand access and deliver Education for All (Croft, 2006). Where teachers and schools have successfully adapted to multi-grade teaching this has been recognised as potentially beneficial in promoting greater teacher awareness of learner diversity, an appreciation of the importance of differentiating learning. It also has a wider impact on progression through grades, transition from primary to secondary and better learning outcomes (Croft, 2006). Multi-grade teaching approaches can help teachers better understand that 'difference' is not something that only applies to learners with disabilities or with obvious physical impairments.
However, this understanding also needs to include recognition of diversity within sub-groups of learners. Many specialised resource units attached to mainstream schools cater to girls and boys of different ages and grade levels. In a study of units catering to deaf Ugandan girls and boys, Wapling (2010: 11) found that 'whilst staff were generally very good at differentiating work according to assumed primary grade level there was much less attention being paid to the children's varying abilities within those grades'. This had particular consequence for language acquisition and demonstrates the complexity of the challenges faced by teachers in their classrooms day to day.
## Research Directions
The evidence reviewed indicates the following gaps in the literature, which are worthy of attention in future research:
the impact of low-cost aids and appliances on learning outcomes (wide-brimmed hats, dark glasses, regular eye glasses, magnifiers, mobility aids, adapted furniture, accessible toilets)
the role of technology in supporting inclusive learning (personalised computer-based learning for learners with visual difficulties and cognitive impairments, hearing aids)
resource modelling for assistive devices, including education workforce development and
deployment
the impact of education offered in resource rooms on learning outcomes, and on progression to secondary education, and employment
effectiveness of peer support strategies in promoting inclusive learning and improving learning outcomes
differentiated teaching strategies and flexible classroom practices for responding to children with diverse learning needs
studies of inclusive learning disaggregated by gender and type of disability and difficulty in learning.
## Part D: What Does The Move Towards More Inclusive Learning Mean For School Organisation And Leadership, And What Are The Implications For Financing, Curriculum And Assessment? Summary Of Evidence
Accountability mechanisms can play a potentially useful role in identifying challenges to inclusive learning.
Various models exist for the financing of inclusive learning.
Leadership teams can play a role in sustaining inclusive learning.
Building physically accessible schools is more cost effective than making subsequent
adaptations.
This section summarises the limited evidence available on some of the practical school management considerations in the implementation of inclusive learning approaches. This includes the physical accessibility of the learning environment; the adaptation of curricula and assessment structures; and financing and investment for inclusion.
## School Leadership And Organisation
The World Report on Disability underlines the importance, and 'cost-neutral' nature, of 'strong and continuous leadership at the national and school levels' of an inclusive education system (WHO, 2011: 216). Experience from China shows that commitment from local leadership and working groups made up of representatives from county, prefecture and province, can underpin and ensure successful implementation of inclusive learning approaches. Ten 'outstanding' individuals were identified from the Gansu Basic Education Project to become members of a team tasked with developing locally relevant special education training materials (Deng and Holdsworth, 2007).
Supported by international and national consultants, they became 'local experts in special education' and played a leadership role in cascade training, consultation and mobilisation. The Special Education Needs Division of the Ghana Education Service has recently developed a monitoring tool to enable mainstream schools to self-assess their progress on the inclusion and learning of girls and boys with disabilities. Supported by UNICEF, this was implemented across 12 districts in the 2013/14 academic year and there are plans to expand nationally. The Inclusive Education Management Tool enables the collection of data on access, participation and academic success, and consists of:
a checklist of 25 indicators plus a comment box
a list of 15 statistical items on children with disabilities, data disaggregated by impairment/needs
a guide for monitoring process (scoring, weighting, frequency, school visits, etc.).
While it is too early for a detailed assessment of the tool's effectiveness, initial testing suggests that it successfully highlights challenges to inclusion, such as teacher shortages, absenteeism and poor teaching methodologies (Otaah et al., 2013).
Based on their review of education sector planning and provision in 28 low and middle income countries, Bines and Lei (2011: 423) suggest that it is important to identify a 'local service delivery unit which can then be developed as a locus for both resources allocation and capacity development in relation to inclusion'. At school level they recommend the development of whole school policies, with the employment of 'at least one trained specialist teacher per school' (Bines and Lei, 2011: 423). A focus on school management, and greater links between leadership and improving the quality of education for all learners, led to positive educational outcomes (such as grade passing, primary retention and completion rates) in inclusive schools in Lao PDR (Grimes, 2009). Teachers became more actively engaged, motivated and positively committed to their work, as a result of these improvements.
Figure 4 is an example of a tool which can be used in a relatively straightforward way by teachers and educational administrators to analyse in a systematic way the reforms that are needed in a given context to develop a more flexible, responsive and inclusive education system.
| | Level of education system |
|---------------|-----------------------------|
| | |
| International | National |
| Type of | |
| access | |
| | Teacher |
| Region | District |
| (in larger | |
| schools) | |
| Individuals | |
| or groups | |
| | |
| bureaucratic | |
| access to | |
| school, | |
| within the | |
| school, | |
| within the | |
| classroom | |
| | |
| teaching, | |
| learning and | |
| assessment | |
* Relevant curriculum and materials, motivation and emotional security, teaching and learning in a comprehensible language, participation in constructing and applying knowledge, fair assessment for pedagogic and social purposes
## Financing Inclusive Learning - What Works?
The World Report on Disability summarises three ways of financing inclusive learning (WHO, 2011: 218):
i.
national: through sector budgets
ii.
institutional: through materials, teaching aids, operational support
iii.
individual: through support to specific needs of learners.
Many countries use a blend of financing methods. The WHO report (2011: 219) concludes that whichever approach is taken, funding models should be easily comprehensible, flexible as well as predictable, provide adequate resource, be 'cost-based and allow for cost control,' embed special education within general education provision and 'be neutral in identification and placement'. Furthermore:
'While the costs of special schools and inclusive schools are difficult to determine it is generally agreed that inclusive settings are more cost-effective. Inclusion has the best chance of success when school funding is decentralized, budgets are delegated to the local level, and funds are based on total enrolment and other indicators' (WHO, 2011: 220).
This is reflected in findings from a study in Vietnam which found that the, 'per pupil cost … has averaged US$58 per year, as compared with the US$400 average for services in segregated schools and the US$20 average for general education students' (Villa et al., 2003: 25-26). While this clearly shows that the cost of including a disabled child within the mainstream classroom is higher than that of 'general education students,' inclusion is not only cost effective but less costly than segregated forms of education, and exclusion. This finding is mirrored at the macro-economic level, and is illustrated in Section 3 (Thomas and Burnett, 2013). Common approaches to the financing of inclusive services are highlighted by Bines and Lei (2011) in their review of education sector plans submitted to the Fast Track Initiative (now Global Partnership for Education). The following three approaches are indicative of the recent trend to decentralise education systems:
funding tied to individual pupils identified as having a disability or special educational need and distributed through a mediating local authority or directly to the school/institution
funding based on services provided, for example providing additional resources to schools which include children with disabilities. This resource-based approach can incentivise inclusion. In Uganda, schools are being provided with direct grants to enhance inclusion without 'much increase in transaction costs' by supporting accessible infrastructure,
curricula and teaching methodologies.
output-based models which provide funding on the basis of student attainment and outcomes exist, but are unpopular and 'difficult to implement fairly'.
The Bushenyi District Education Office in Uganda built units for deaf children in response to demands from parents (Miles et al., 2011). The financing is built into the general education planning and budgeting system. Increased demand for services has put pressure on the government to provide more specially trained teachers through the main education budget. Demand has risen steadily, providing educational administrators with numbers of children needing more specialist provision.
## Curriculum
An inclusive curriculum which accommodates all learners' needs requires structure with flexibility. It must have the capacity to accommodate a range of learning styles, to emphasise the acquisition of relevant knowledge and skills, and be structured around varying levels of entry skills to enable assessment of progress in ways that allow all learners to experience success (Acedo et al., 2011).
In India, the National Curriculum Framework for School Education made recommendations for modifications to the content, presentation and transaction strategies to enable children with special needs to enter inclusive schools. This included preparing teachers and developing learning-friendly evaluation procedures. However, these have not yet been addressed in any sustained way (Singal, 2009: 28). Teachers in Lao PDR found the provision of differentiated curriculum activities for children with disabilities a significant challenge, as was developing more complex classroom management strategies to maintain the engagement of children in their work. Teachers struggled to develop the skills needed to deliver a differentiated curriculum in maths and science in particular. Older students with visual impairments reported loss of motivation because of the challenges of accessing the curriculum at Upper Secondary Level (Grimes, 2009: 99).
Malaysia's Curriculum Development Centre produced an alternative 'Integrative Curriculum' in 2008 that focused more on the 'life skills' thought appropriate for children with disabilities (Acedo et al., 2011). Achieving a balance between high teacher expectations in relation to children's learning, and the development of relevant and meaningful curricula suitable for children with diverse learning needs, is a major challenge to developing inclusive learning. Evidence from developing countries suggests that blind children may present particular challenges for teachers and curricula in mainstream settings as these learners require an expanded core curriculum that includes the development of orientation and mobility skills, self-help and independence skills, Braille literacy, and listening skills (Lynch et al., 2011). Extra-curricular activities, including after-school and holiday clubs, have been found to be useful in supporting the learning and skills acquisition of children with disabilities, particularly in their preschool years, and in the early stages of their enrolment in formal education. Wapling (2010) recommends the introduction of extra-curricular activities for deaf children's language development in Uganda to enable children to become fluent enough in a first language (oral or sign) before they are placed into the first grade to enable their access to the mainstream syllabus. Lynch and McCall
(2007) suggest that 'Braille schools' could be provided during the holidays for teachers and children, to enable the development and refinement of Braille skills, and exposure to additional reading materials. Curriculum changes to promote inclusion were introduced in Papua New Guinea with the support of the Australian Aid Programme. Designed to respond to the diverse needs of students, the curriculum has been critiqued for being shaped by Western educational ideology, rooted in pedagogical ideals which conflict with local or school level understandings of education, and inappropriate for the national context. As a result, the 'stakeholders were unable and unwilling to adopt many of the precepts of the new curriculum' (Le Fanu, 2013: 139). These findings have led Le Fanu (2013) to emphasise the importance of contextualising the concept of inclusive learning, to critique 'global inclusionism', as promoted by UNESCO, and argue instead for 'grounded inclusionism', rooted in, and sensitive to, local realities.
## Assessment: Recognising And Addressing Individual Differences
There is debate about how best to assess and measure learning outcomes for girls and boys who experience difficulties in learning, or who need adaptations to be made to the assessment process.
Learner-centred approaches recognise individual differences and ways of learning and therefore curricula, teaching methods and materials, assessment and examination systems, and classroom management need to respond to this. There is still a long way to go: a 2008 survey in Tanzania found that children with disabilities who attended primary school progressed to higher levels of education at only half the rate of children without disabilities (UNICEF, 2013). The World Report on Disability (WHO, 2011) suggested that assessment practices can facilitate or hinder inclusion. Streaming by ability and focusing on academic attainment promotes exclusion, while mixed ability and multi-grade teaching has the potential to be more inclusive. The WHO Report suggests that:
Assessment procedures should promote learning for all students.
All students should be entitled to be part of all assessment procedures.
The needs of students with disabilities should be considered within all general assessment policies, as well as within policies on disability-specific assessment.
The assessment procedures should complement each other.
The assessment procedures should aim to promote diversity by identifying and valuing the progress and achievements of each student.
Inclusive assessment procedures should explicitly aim to prevent segregation by avoiding - as far as possible - forms of labelling. Instead, assessments should focus on learning and teaching practices that lead to more inclusion in a mainstream setting (WHO, 2011: 220).
Evidence of the learning outcomes of children with disabilities is uncommon because they tend not to participate in assessments, and because data is not yet disaggregated in this way (UNESCO, 2014). Sample sizes are often too small to allow analysis even when they are broken down. In Uganda, literacy rates of young people with different types of impairment have been compared in a rare example of the sample size being sufficiently large:
'In 2011, around 60% of young people with no identified impairment were literate. By contrast, only 47% of young people with physical or hearing impairments were literate. Those with mental impairments were least likely to be literate: only 38% could read or write a simple sentence. Other sources confirm the scale of this disadvantage. In the United Republic of Tanzania, a survey on disability found that the literacy rate for people with a disability was 52%, compared with 75% for people without a disability' (UNESCO, 2014).
## Inclusive And Accessible Design
Building schools which are physically accessible is cost effective. Research has demonstrated that the cost of accessibility is generally less than 1% of total construction cost, but the cost of making adaptations after a building is completed is far greater (Steinfield, 2005). While the design of accessible school buildings (such as wide, wheelchair accessible doorways, ramps, large windows, and painting classroom walls white) may be beyond the control of many teachers, there are some straightforward adaptations that can be made to the physical structure and furniture of the classroom which can, in turn, make a big difference to the quality of teaching and learning for all children. See INEE (2009; 2010) for some practical examples of ways that teachers can overcome the common challenges of poor quality lighting, inadequate or inflexible furniture, and noisy, overcrowded classrooms. See Figure 5, which illustrates an inclusive (modern and well equipped) classroom environment.
## Research Directions
The evidence reviewed indicates the following gaps in the literature, which are worthy of attention in future research:
the relationship between leadership and inclusive classroom practice
measuring and assessing learning outcomes of learners with disabilities
the relationship between learning metrics and inclusive learning
flexible arrangements for children with disabilities and difficulties in learning to participate in examinations
finance models for inclusive learning
the cost of providing assistive devices to facilitate inclusive learning.
## Part E: What Evidence Is There Of The Importance Of Broader Links To Families, Community, Primary Health Care And Early Identification? Summary Of Evidence
Engagement with parents and local communities reduces stigma and discrimination and can improve enrolment, attendance and learning outcomes.
Community-based rehabilitation (CBR) services can provide important linkages between families, schools and the wider community that tackle discrimination and promote engagement in learning.
Local communities can play an active role in producing resources and promoting inclusion.
Extra-curricular activities can support inclusive learning, but are often NGO dependent
and difficult to sustain.
##
Children and young people need to feel supported within a wider network of family and community in order for inclusive learning to be effective and is an essential component of the broader process of social inclusion. Similarly, integrated planning and cooperation between health, education and social care sectors can ensure appropriate rehabilitation support is provided, and improve identification, management and prevention of disabilities.
## Community Engagement
The importance of community ownership and support for inclusive learning to be successful is recognised in the literature. Villa et al.'s (2003) study from Vietnam identifies this as a key lesson for the international community to adopt. Religious leaders, representatives from the Farmer's and Women's Unions, district education staff, the Communist Party and other stakeholders were brought together to learn about the benefits of inclusion. The group went door-to-door in each commune (made up of 5,000 to7,000 residents) to identify girls and boys with disabilities who were being left at home and encourage parents to send them to school. In addition to advocacy and awareness-raising, the group carried out practical tasks that helped to cement and sustain inclusion within the community, or as the researchers put it:
'This is the group that finds an old tricycle that a kindergartner can use as a wheelchair substitute when no resources exist to fund a wheelchair. This is the group that guts and renovates an abandoned downtown office to create an inclusive pre-school, so the commune's pre-schoolers with and without disabilities can be educated together. This is the group that can talk to the leadership down the road about their commitment, creative solution finding and success' (Villa et al., 2003: 31).
Research by the DFID-funded EdQual consortium into educational disadvantage more broadly suggests that home and community environment can be an important influence on learning outcomes, especially for those children who are most socio-economically disadvantaged (EdQual, 2010a). 'Living outside of a stable family environment, lacking basic resources, poor nutrition, and learning in a language not commonly used outside of school are all predictors of low levels of literacy and numeracy' (EdQual, 2010b). EdQual (2010b) research indicates the positive benefits of an enabling home and community environment that promotes learning needs, parental support and education; community voice and stakeholder engagement in governance; the provision of resources and a place to study at home; links between home and school; and the availability of school meals to aid concentration as well as cognitive development. Community-based rehabilitation (CBR) services include early identification and prevention, referrals of children to appropriate schools, advocacy, supporting teachers and bridging gaps between home and school (WHO, 2011: 247). Like itinerant teachers, CBR workers can advise on accessibility, galvanise community support in building low-cost ramps for wheelchair access, provide assistive devices, campaign for inclusive sanitation, arrange medical treatment, and secure training and employment as learners prepare for the transition to employment Inter-sectoral collaboration, especially between health, social care and education, is essential to ensure that rehabilitation programmes are accessible and supportive of education. It is recommended that stronger links are developed between efforts to promote inclusive early childhood education and screening and intervention services for children with disabilities (Yousafzai et al., 2014). Basic health prevention measures such as awareness of, and treatment for, middle ear disease (otitis media), for example, can be critical in preventing children from losing their hearing and so staying in school. As indicated already, parents have a key role to play in facilitating their children's learning and there are precedents in Lebanon, Panama and Zanzibar of parents actively engaging with governments through legal processes to deliver inclusive school-based learning and community-based teacher development programmes (WHO, 2011: 249). Children of parents who are involved in their education do better, offering a low-cost solution to educational exclusion (WHO, 2011: 251). Training for parents and communities is a common approach of inclusive initiatives aimed at reducing stigma and discrimination. In Afghanistan, in 2009-2011 a pilot inclusive education programme led by the Ministry of Education, UNICEF and UNESCO saw the training of 100 teachers and 350 parents in inclusive approaches (Acedo et al., 2011). In the slums of Kolkata, India, the Institute of Cerebral Palsy has trained parents (particularly mothers) and others in communities to help teach children and provide training for others using a bespoke package (Bines and Lei, 2011:
423). In this way, parents and communities have supported the capacity of education systems and schools to deliver good quality inclusive education. In Uganda, parents of deaf children overcame their initial scepticism and resistance to their children's enrolment in school through attending sign language classes (Wapling, 2010). Parents have played an important role in identifying their children's deafness and supporting their education in a wide range of countries and this has been documented by Deaf Child Worldwide (Wilson et al., 2008). In Lao PDR, Save the Children found that inclusive schools with good working relationships with local communities were more likely to be successful; they had demonstrable reductions in grade repetition and improved attendance (Grimes, 2009). Community members were, for example, drawn upon to produce resources to support classroom learning. In Mongolia, a teacher education programme developed a community outreach component for which sign language classes were provided to parents and classmates of deaf children. Sign language was subsequently used in class to support the learning of deaf children. A review by Save the Children found that such processes led to significant attitudinal shifts, reducing stigma and discrimination of children with disabilities within their communities (Save the Children, 2008). In Bangladesh, local and national networking has helped to support and promote access to and retention in local schools for children with disabilities. Blind adults belonging to self-help groups, with links to CBR programmes, have played a key role in this process (Miles et al., 2012). This complex web of networking relationships includes government departments concerned with health, education and social welfare, disability-focused NGOs, and mainstream development agencies and networks. Disabled people's organisations, though often poorly resourced, have a key role to play in promoting education, encouraging parents to send their children to school, building confidence and providing role models which address stigma and discrimination. The Southern Africa Federation of the Disabled, for example, has been running programmes for 15 years to promote the inclusion of disabled children in education (WHO, 2011). Education in humanitarian contexts can help protect children with disabilities from risks and reduce vulnerability, as well as building their resilience and empowering them to develop knowledge of health, communications technologies and politics. Failure to reach these children and their parents, however, has been shown to be the norm for a range of humanitarian interventions in conflictaffected countries and has unintentionally recreated the experience of exclusion already felt by children with disabilities and their families (Trani et al., 2011). Interventions in these circumstances have the opportunity to 'build back better' by encouraging parents of children with disabilities to engage with parent-teacher associations or school management committees to ensure they have a voice in creating an enabling environment for their children and that schools provide a channel for medical, social, nutritional and developmental resources, as well as education (Trani et al., 2011: 1200).
## Research Directions
The evidence reviewed indicates the following gaps in the literature, which are worthy of attention in future research:
links between CBR programmes and inclusive learning initiatives
parent engagement in, and support for, inclusive learning
children's experience of inclusive learning
protective benefits of inclusive learning in humanitarian emergencies
benefits of, and models for, effective inter-ministerial collaboration, including education, health, social welfare/protection, and finance.
## Conclusion
Section 2 has summarised the available evidence from low and middle income countries on the types and effectiveness of approaches to inclusive learning. It identifies clear gaps in the literature on the impact of teaching and classroom strategies on learning outcomes for children with disabilities and difficulties in learning, contrasted with an over-representation of evidence on teacher attitudes towards inclusion.
Although the evidence base does not allow for conclusive or substantive recommendations to be made on the most enabling approaches to inclusive learning, it is clear that some strategies do have a positive impact on children with disabilities and those who experience difficulties in learning.
These include enabling policy environments, targeted financing, multi-sectoral coordination, compulsory and accredited teacher development programmes which enable teachers to differentiate and adapt the classroom environment to improve accessibility, inclusive curricula and assessment and outreach to parents and communities that breaks down stigma and discrimination and strengthens relationships. Research in education, disability and inclusion now needs a clearer, more focused agenda drawing on both qualitative and quantitative approaches - including case study-based research - to establish attendance rates and learning outcomes of children with disabilities, disaggregated by sex and impairment, in low and middle income countries. This will help national governments and donors better understand how investments can deliver good quality inclusive learning for all.
## Section 3: Inclusive Societies
This section considers how educational exclusion creates poverty and impacts on GDP. It also explores the ripple effect of inclusive learning on wider communities. The evidence shows that to be more inclusive, societies must ensure that all citizens have the opportunities they need to fulfil their potential, and that of their communities. It is also critical that transitions from education to the workplace are nurtured and supported, as this can have economic and social benefits for individuals, families, communities and the state.
## Summary Of Evidence
One in five of the world's poorest men and women are thought to be living with disabilities.
Education has social and economic benefits for girls and boys with disabilities, their families and communities.
Education has a role to play in encouraging acceptance of diversity and creating more tolerant and inclusive societies.
The costs of maintaining large out-of-school populations are greater than the economic benefits to GDP of universal primary enrolment.
The economic and social costs of disability are significant but hard to quantify.
Children and young people with disabilities can benefit from early childhood education and tertiary provision - not just primary education.
Teachers with and without disabilities can influence others by modelling inclusive practice in the classroom and community.
Better educated individuals earn more, have greater job security and experience less unemployment.
Environmental and attitudinal barriers can block transitions to employment.
## Inclusive Societies And Inclusive Growth
Economic growth does not automatically lead to benefits for poor and marginalised people. Discrimination and ill health, along with low levels of formal and vocational education, prevent poor women and men from enjoying the advantages of expanded economic opportunities. Sustainable inclusive growth requires the active removal of structural barriers that prevent poor and marginalised people, including men and women with disabilities, from finding jobs and increasing their incomes (DFID, 2014). It is estimated that around one in five of the world's poorest people are living with disabilities (Elwan, 1999). Poverty is both the root cause, and result, of disability, and 'Disabled people have a higher likelihood of experiencing poverty because of the institutional, environmental and attitudinal discrimination faced, from birth or the moment of disablement onward (Yeo and Moore, 2003: 572). There is 'a worrisome vicious cycle of low schooling attainment and subsequent poverty among people with disabilities in developing countries' (Filmer, 2008: 141).
Inclusive growth is equitable, offers equality of opportunity to all as well as protection in market and employment transitions (Commission on Growth and Development, 2008). A necessary precondition for inclusive growth is a society which does not exclude or discriminate against its citizens on the basis of disability, caste, race, gender, family or community, a society which 'levels the playing field for investment' and leaves no one behind (Lanchovichina and Lundstrom, 2009: 3; UN, 2013b). In a study in Zambia of young adults who had been exposed to inclusive learning a decade previously, Serpell et al. (2011) found that their education could be attributed to civic participation, a greater appreciation of diversity, nurturing younger members, and helping those in need. Increased confidence, respect in the family and new friendships were attributed to inclusion in education in Nepal, as well as economic independence resulting from employment (Lamichhane, 2012). Although education did not always lead to economic benefits in India, young people with disabilities reported that it had boosted their social capital, enabling them to manage social relationships beyond the household (Singal et al., 2011).
## Economic Benefits Of Inclusion
According to UNESCO Institute of Statistics data, nearly 58 million children of primary school age were not enrolled in 2012 (UIS, 2014). While the cost of investments for universal primary education may be considerable, the costs of educational exclusion can be substantially higher in some countries. A study of 20 low and middle income countries found that enrolling children in primary education is a productive investment and that many economies suffer greater losses from maintaining large out-of-school populations than they would from increasing public spending to enrol those children in primary school (Thomas and Burnett, 2013). The estimated costs of exclusion vary across countries, ranging from 1% of GDP in Thailand to 10% of GDP in Gambia. In nine countries with high out-of-school populations, the economic benefits of including all children in primary education are greater than multiple years of economic growth (Thomas and Burnett, 2013: 13). This includes Nigeria and Mali where the cost of out-of-school children is estimated to be more than 'two years of average GDP growth' (Thomas and Burnett, 2013: 13). Even in countries such as Brazil and Indonesia, where there are relatively low out-ofschool populations, the economic gains of including marginalised groups in education are still greater than the public spending costs of enrolment (Thomas and Burnett, 2013). Exclusion from education - and the economic opportunities that schooling creates for individuals - pushes people into poverty. Yet educating children with disabilities reduces welfare costs and future dependence; releases other household members from caring responsibilities, allowing them to engage in employment and other productive activities; and increases children's potential productivity and wealth creation which in turn helps to alleviate poverty (Peters, 2003). Filmer (2008: 141) found that 'adults with disabilities typically live in poorer than average households: disability is associated with about a 10 percentage point probability of falling in the two poorest quintiles' and that 'each additional year of schooling is associated with about a 2 to 5 percentage point reduction in the probability of being in the two poorest quintiles' (Filmer, 2008: 150). Children with disabilities are less likely to attend school and acquire the human capital that will enable them to earn higher incomes than other children, suggesting that disability is associated with long-term poverty (Filmer, 2008).
'They are also less likely to start school, and in some countries they have lower transition rates. The school participation disability deficit is typically larger than deficits associated with characteristics such as gender, rural residence, or economic status' (Filmer, 2008: 159).
Filmer (2008) argues that, since the attainment gap between children with and without disabilities begins in Grade 1, and the disability deficit widens each year, efforts need to be made to increase enrolment and ensure retention in the early years of schooling. Research from a wide range of economic contexts indicates that better educated individuals earn more, have greater job security, stronger social networks and experience less unemployment than their less well educated counterparts (Lamichhane, 2013). Education exerts a significant influence on wages, with one study from Nepal estimating returns to education for people with disabilities ranging from 19.3% to 25.6% (Lamichhane and Sawada, 2013: 86). A similar study in the Philippines found that higher earnings among people with disabilities were associated with increased schooling, generating returns of more than 25% (Mori and Yamagata, 2009); and in China each additional year of schooling results in wage increases for people with disabilities of around 5% for rural residents and 8% for urban (Liao and Zhao, 2013). Lamichhane and Sawada (2013) found that the benefits of education to children with disabilities can be higher than those to people without disabilities, but they also found that returns diminish when learners with particular impairments (such as hearing impairments) do not receive the required support. The findings of a systematic literature review on the economic costs of exclusion (focusing on health, education and employment) provide 'a robust empirical basis to support the theorised disabilitypoverty link', as a link between poverty and disability was reported in 80% of the studies (Morgon Banks and Polack, 2014: ii). The review also suggested that promoting inclusion in education can potentially offer social as well as financial gains to individuals, families, communities and the state as well as positive impacts on health, child and maternal mortality, population growth, gender empowerment, citizenship and crime, but 'further empirical research is urgently needed to understand the extent, magnitude and scope of exclusion costs and the impact of inclusive interventions' (Morgon Banks and Polack, 2014: v). Figure 6 highlights the broad impact of being included in education upon health, wealth and employment.
It is not just primary education that can benefit children with disabilities, but also education from early childhood through to tertiary provision for young people. Portage-based interventions,7 jointly delivered by professionals and community volunteers in Zambia and in Vietnam, assisted young children with disabilities to develop motor, communication and daily living skills, and simultaneously increased the cohesion and resilience of their families (Le Fanu, 2014). Lamichhane (2012: 471) found that access to higher education influences the likelihood of people with disabilities achieving gainful and satisfying employment, and reports findings from studies conducted in Turkey and South Korea which found that higher education was a good predictor for employment success for people with visual impairments (Lamichhane, 2012: 472). Men and women with disabilities face many barriers in accessing employment, even if they have completed higher education and jobs are available due to inaccessible physical environments. A survey of 400 adults with physical, hearing, and visual impairments in Nepal conducted by Lamichhane (2012), a blind Nepali researcher, revealed that employment opportunities would remain limited due to the inaccessibility of buildings, toilets and roads.
## The Role Of Teachers In Inclusive Societies
Teachers have a powerful role to play in modelling inclusive attitudes and expectations through the classroom, influencing not only the children that they teach, but also their colleagues, leadership teams, parents and the wider community. Teachers with disabilities, as well as those who have been sensitised to inclusion, can be instrumental in tackling stigma and discrimination, 'promoting positive identities in children with disabilities and in breaking down prejudices of non-disabled children' (Mpokosa and Ndarahutse, 2008: 47). There can be challenges to the recruitment of teachers with disabilities. Young men and women with disabilities can face barriers to achieving the requisite level of education needed to train as a teacher. The University of Delhi, India, created 1,300 places for students with special educational needs but was only able to fill 300 of those places due to the limited number graduating from secondary schools (Le Fanu, 2014). Le Fanu (2014) suggests that flexible policies for entry into teacher training colleges, along with supportive resources and scholarships may offer one solution. In Bangladesh allocating ground floor hostel rooms, adapted seating and classroom assistants had promoted the inclusion of students in tertiary institutions (Ehsan, 2011: ix). Following the lobbying efforts of the organisation of people with visual impairments in 1989, the Ministry of Education in Nepal introduced 'a quota-based system, allocating a certain number of teaching jobs for people with visual impairments. At present, there are nearly 350 teachers with visual impairments' working in mainstream schools all over the country (Lamichhane, 2012: 481). An employment survey of adults with disabilities found that 43% of the visually impaired respondents worked as teachers in mainstream schools in Nepal whereas a smaller number of teachers with hearing impairments were employed in special schools for deaf students (Lamichhane, 2012). It is unusual for such a large number of teachers with disabilities to be employed in any country, and it is significant that it was a national disabled people's organisation that spearheaded this initiative.
## Conclusion
The economic and social costs of exclusion are high. Many low and middle income economies suffer greater losses from maintaining large out-of-school populations than they would from increasing public spending to achieve universal primary enrolment. It is clear that enrolling all children in basic education is a productive investment and it is a smart investment. The economic benefits of education are well established and the inclusive growth to which it can contribute is by definition grounded in societies which are open, equitable, tolerant and just. This section provided some examples of inclusive approaches to education that have contributed to inclusive societies and inclusive growth, providing social and employment opportunities for children and adults with disabilities. While there are significant attitudinal and environmental barriers to be overcome in accessing education and employment, enrolling children with disabilities in school has the potential to lift individuals and their families out of poverty.
## Section 4: Toolkits Relevant To Inclusive Learning
This section summarises a selection of available toolkits on inclusive education with a particular focus on guides to classroom practice. These toolkits have been identified through the online disability and inclusion resource centres - Enabling Education Network (EENET) and Source (Handicap International) [as well as recommendations from professionals].
## Ainscow, M. (2004). *Special Needs In The Classroom: A Teacher Education Guide.* Paris: Unesco Publishing. Http://Unesdoc.Unesco.Org/Images/0013/001351/135116E.Pdf
This is an updated version of UNESCO's training pack developed for teachers' learning about inclusivity in the early 1990s. The guide has been used in over 50 countries and adapted to different country contexts. It provides ideas for educators to improve teachers' skills in dealing with pupil diversity in mainstream schools. It offers advice on teacher education methods, including accounts of initiatives already undertaken around the world. The book emphasises the importance of teacher development, both pre-service and in-service, and demonstrates how pupil diversity in mainstream schools can be a positive influence on the life of the school. Booth, T. and Ainscow, M. (2011). Index for Inclusion: Developing Learning and Participation in Schools. Third Edition, Bristol: CSIE. http://www.csie.org.uk/resources/inclusion-indexexplained.shtml This resource is designed to support inclusive school development, offering schools a process of selfreview and development that brings in all education stakeholders and examines how barriers to learning and participation can be reduced. Although ostensibly designed for high/middle income settings, this third edition of the index has been translated and used in 39 countries and substantially revised with developing countries in mind. The index is written in an accessible style and encourages schools to ask questions of inclusion that are valuable and relevant to any context.
## Handicap International (2014, Forthcoming). *Inclusive Teacher Training Toolbox.* Lyon: Handicap International.
Developed in response to many requests for clearer guidelines within Handicap International inclusive education projects across 16 countries, this toolkit is based on an analysis of existing teacher training to improve access to quality education for children with disabilities in mainstream learning environments. The document takes the reader through the different stages necessary before, during and after training to achieve sustainable teacher training outcomes. The resource offers guidelines on how to develop teacher training programmes and manuals and provides both a coherent representation of inclusive education and advice on practical implementation.
## Inee (2009). Education In Emergencies: Including Everyone. Inee Pocket Guide To Inclusive Education. Geneva: Inter-Agency Network On Education In Emergencies (Inee). Http://Www.Eenet.Org.Uk/Resources/Docs/Ie_In_Emergencies_Inee.Pdf
This short accessible guide outlines useful principles for an inclusive education approach in emergencies and provides advice for planning, implementing, and monitoring. The guide also looks at the issue of resistance to inclusion, and highlights ways in which organisations can support their emergency staff to develop more inclusive education responses. It is available in Arabic, Bahasa Indonesia, English, French and Spanish.
## Inee (2010). *Inee Pocket Guide To Supporting Learners With Disabilities*. Geneva: The Inter-Agency Network On Education In Emergencies (Inee). Http://Www.Eenet.Org.Uk/Resources/Docs/Inee_Supporting_Learners_With_Disabilities.Pdf
This short, accessible guide offers practical ideas and suggestions for including children and young people with disabilities in education before, during or after crises. The activities are designed to strengthen teacher practice in both government and non-government contexts and are adaptable for education managers and teacher trainers to incorporate into teacher development schemes and resources. The guide outlines inclusive principles, school accessibility, recognising support needs, timetabling and classroom management, planning and assessment.
## Inee (2011). *Teachers Can Help Everyone Learn.* New York: The Inter-Agency Network On Education In Emergencies (Inee). Http://Www.Eenet.Org.Uk/Resources/Docs/Teachers_Can_Help_Everyone_Learn_Poster.Pdf
This poster provides simple messages designed to empower teachers to make their schools and classrooms more inclusive. Le Fanu, G. (2000). Inclusive Education for Children with Visual Impairments: A Guide for Non- Formal Schools. Bangladesh: Helen Keller International. http://www.hki.org/research/Inclusive%20education%20for%20CVI.pdf Developed in Bangladesh, this guide considers how children with little or no vision can be included in mainstream, non-formal classrooms. Written in an accessible style, this resource covers the causes of visual impairment, reading and writing in print and Braille, teaching mathematics, orientation and mobility, daily living skills, sports and games.
## Mendis, P. (2006). Children Who Have Disability In Early Childhood Care And Development Centres: A Resource Book For Teachers. Sri Lanka: Save The Children. Http://Www.Eenet.Org.Uk/Resources/Docs/Eccd_Disability_Manual.Pdf
Developed in Sri Lanka by the Ministry of Child Development and Women Empowerment, the Open University, the National Institute for Education, local NGOs and Save the Children, this handbook is designed to build teacher capacity to support boys and girls with disabilities in pre-school, or early childhood, settings. The resource discusses supporting children with specific impairments, working with parents, communities and referral systems. McConkey, R. (2001). Understanding and Responding to Children's Needs in Inclusive Classrooms: A Guide for Teachers. Paris: UNESCO. http://unesdoc.unesco.org/images/0012/001243/124394e.pdf Designed for teachers with and without experience of inclusion, this practical guide is to support children who have particular difficulties in learning. The guide provides key facts about various impairments and how to overcome common learning difficulties that come with them, suggests classroom adaptations, describes teaching strategies to respond to diversity, including curriculum modifications, and encourages teachers to work with families, community members, health and social care professionals and others.
## Perner, D. (2004). Changing Teaching Practices: Using Curriculum Differentiation To Respond To Students' Diversity. Paris: Unesco. Http://Unesdoc.Unesco.Org/Images/0013/001365/136583E.Pdf
This manual aims to expand and improve teacher capacities to adapt, modify and differentiate their teaching in contexts of large class sizes and poor resources. Suggestions, strategies and activities to improve inclusion through differentiation are contained in five units: curriculum differentiation and our students; environmental strategies; instructional learning strategies; assessment strategies; and putting it all together. Case studies are used to illuminate approaches and sample lesson plans are provided.
## Stubbs, S. (2008). *Inclusive Education: Where There Are Few Resources.* Oslo: Atlas Alliance. Http://Www.Eenet.Org.Uk/Resources/Docs/Ie%20Few%20Resources%202008.Pdf
This resource booklet takes a wide ranging approach to inclusion but has a practical section on putting inclusive education into practice. It provides step-by-step advice and guidance on planning and implementation tools to overcome resource barriers. Thomas, P. and Vichetra, K. (2003). Inclusive Education Training in Cambodia: In-Service Teacher Training on Disabilities and Special Needs. Manchester: EENET. http://www.eenet.org.uk/resources/docs/cambodia.php Written by the Disability Action Council and the Cambodia Ministry of Youth, Education and Sport, this popular training guide comprises six modules for primary school teachers designed to be delivered separately or intensively over five days. The training develops teacher capacity to recognise special needs and understand disabilities; raises awareness of international and national policy context and barriers to education for children with disabilities; introduces 'eight golden rules for good teaching'; describes practical teaching techniques to aid children's verbal and written communication, reading and mathematics; and takes a case study approach to offering advice on teaching children with specific impairments.
## Unesco Bangkok (2004-13). Embracing Diversity: Toolkit For Creating Inclusive Learning-Friendly Environments. Bangkok: Unesco. Http://Www.Unescobkk.Org/Education/Inclusiveeducation/Resources/Ilfe-Toolkit/
Compiled of a series of booklets, this toolkit provides practical guidance on creating inclusive, childfriendly learning environments. Designed for teachers working from pre-primary through to higher education, including those who are involved in reform processes to enhance inclusion, the guidance offers tools and activities for self-study. Booklets 3, 4 and 5 focus particularly on inclusive classrooms, classroom management, differentiation, resources and assessment.
WHO (2010). *Education Component. Community-Based Rehabilitation*. CBR Guidelines. Geneva: WHO. http://whqlibdoc.who.int/publications/2010/9789241548052_education_eng.pdf?ua=1 This is one section of a comprehensive set of guidelines for CBR practitioners on the different stages in education from early childhood provision, through to primary, secondary and tertiary education, and finally lifelong learning. The guidelines draw readers' attention to the low literacy rates among adults with disabilities, cited as being as low as 3% for males and 15% for females, and therefore the importance of engaging CBR workers in the task of education at community level.
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Miles, S. (2009). Engaging with Teachers' Knowledge: Promoting Inclusion in Zambian Schools. Disability and Society, 24(5): 611-624. http://www.tandfonline.com/doi/abs/10.1080/09687590903010990#.U9Iw0vldVps Miles, S., Beart, J. and Wapling, L. (2011). Including Deaf Children in Primary Schools in Bushenyi, Uganda: a Community-based Initiative. *Third World Quarterly*, 32(8): 1467-1477. http://www.tandfonline.com/doi/abs/10.1080/01436597.2011.604523#.U-JYsWOrauA Miles, S., Fefoame, G.O., Mulligan, D. and Haque, Z. (2012). Education for Diversity: The Role of Networking in Resisting Disabled People's Marginalisation in Bangladesh. Compare: A Journal of Comparative and International Education, 42(2): 283-302. http://www.tandfonline.com/doi/abs/10.1080/03057925.2012.650482?journalCode=ccom20 Mitra, S., Posarac, A. and Vick, B. (2013). Disability and Poverty in Developing Countries: A Multidimensional Study. *World Development*, 41: 1-18. http://www.sciencedirect.com/science/article/pii/S0305750X12001465# Mont, D. (2014). *Disability Data in Education Management Information Systems*. New York: UNICEF http://education-equity.org/wp-content/uploads/2014/01/8.2_UCL_DanMont_ENG_2.pdf Morgon Banks, L. and Polack, S., (2014). The Economic Costs of Exclusion and Gains of Inclusion of Persons with Disabilities: Evidence from Low and Middle Income Countries. International Centre for Evidence in Disability, London School of Hygiene and Tropical Medicine. http://disabilitycentre.lshtm.ac.uk/files/2014/07/Costs-of-Exclusion-and-Gains-of-Inclusion- Report.pdf Mori, S. and Yamagata, T.A. (2009). A Note on Income and Poverty of Persons with Disabilities in Metro Manila. Poverty Reduction for the Disabled in the Philippines-Livelihood Analysis from the Data of PWDs in Metro Manila IDE-JETRO. http://www.ide.go.jp/English/Publish/Download/Jrp/pdf/151_03.pdf Mpokosa, C. and Ndarahutse, S. (2008). Managing Teachers: The Centrality of Teacher Management to Quality Education. Lessons from Developing Countries. CfBT and VSO. http://www.vsointernational.org/Images/Managing_Teachers_tcm76-20998.pdf Otaah, P., Arthur, A. and Bohan-Jacquot, S. (2013). Assessing the Inclusiveness of Mainstream Schools in Ghana. *Enabling Education Review,* 2: 26. http://www.eenet.org.uk/resources/eenet_newsletter/eer2/page26.php National Council of Educational Research and Training (2012). *National Achievement Survey Class V*. Delhi, India: NCERT. http://www.ssatcfund.org/LinkClick.aspx?fileticket=TEJBnXMcOiQ%3D&tabid=2508
Nguyen, X.T. and Mitchell, C. (2014). Inclusion in Vietnam: An Intersectionality Perspective on Girls with Disabilities and Education. *Childhood*, May 2014. http://chd.sagepub.com/content/early/2014/05/07/0907568214524459.abstract Parasuram, K. (2006). Variables that Affect Teachers' Attitudes Towards Disability and Inclusive Education in Mumbai, India. *Disability & Society,* 21(3): 231-242. http://www.tandfonline.com/doi/abs/10.1080/09687590600617352?journalCode=cdso20 Peters, S. (2003). Inclusive Education: Achieving Education for All by Including those with Disabilities and Special Education Needs. Washington, DC: World Bank. http://wwwwds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2003/09/08/000160016_200309 08131732/Rendered/PDF/266900WP0English0Inclusive0Education.pdf Save the Children (2008). Making Schools Inclusive. How Change can Happen. Save the Children's Experience. London: Save the Children. http://www.eenet.org.uk/resources/docs/Making%20schools%20inclusive%20SCUK.pdf Serpell, R., Mumba, P. and Chansa-Kabali, T. (2011). Early Educational Foundations for the Development of Civic Responsibility: An African Experience. New Directions for Child and Adolescent Development, 2011(134): 77-93. http://onlinelibrary.wiley.com/doi/10.1002/cd.312/abstract Singal, N. (2008). Working Towards Inclusion: Reflections from the Classroom. Teaching and Teacher Education, 24(2008): 1516-1529. http://www.sciencedirect.com/science/article/pii/S0742051X08000176 Singal, N. (2009). *Education of Children with Disabilities in India*. Background paper prepared for the Education for All Global Monitoring Report 2010, 'Reaching the Marginalized'. Paris: UNESCO. http://wadhwani-foundation.org/wp-content/themes/wadhwani-new/img/ond/2009-Report-on- Education-among-Disabled-children.pdf Singal, N., Jeffrey, R., Aanchal, J. and Sood, N. (2011). The Enabling Role of Education in the Lives of Young People with Disabilities in India: Achieved and Desired Outcomes. International Journal of Inclusive Education, 15(10): 1205-1218. http://www.tandfonline.com/doi/abs/10.1080/13603116.2011.555076#.U-JqyGOrauA Srivastava, M., de Boer, A. and Pijl, S.J. (2013). Inclusive Education in Developing Countries: a Closer look at its Implementation in the last 10 Years. *Educational Review*. http://www.tandfonline.com/doi/abs/10.1080/00131911.2013.847061 Steinfeld, E. (2005). *Education for All: The Cost of Accessibility*. Washington DC: World Bank. https://openknowledge.worldbank.org/bitstream/handle/10986/10324/388640EdNotes1August200 5CostOfAccess12.pdf?sequence=1 Stubbs, S. (2008). *Inclusive Education: Where there are Few Resources*. Oslo: Atlas Alliance. http://www.eenet.org.uk/resources/docs/IE%20few%20resources%202008.pdf Thomas, M. and Burnett, N. (2013). Exclusion from Education: The Economic Cost of Out of School Children in 20 Countries. Washington, DC: Results for Development and Educate a Child.
http://r4d.org/sites/resultsfordevelopment.org/files/resources/Exclusion-from-Education-Final- Report.pdf Trani, J-F., Kett, M., Bakhshi, P. and Bailey, N. (2011). Disability, Vulnerability and Citizenship: to What Extent is Education a Protective Mechanism for Children with Disabilities in Countries Affected by Conflict? *International Journal of Inclusive Education*, 15(10): 1187-1203. http://www.tandfonline.com/doi/abs/10.1080/13603116.2011.555078?journalCode=tied20 UNESCO (1994). *The Salamanca Statement and Framework for Action on Special Needs Education*. Paris: UNESCO. http://www.unesco.org/education/pdf/SALAMA_E.PDF UNESCO (2010). *Reaching the Marginalized. Education for All Global Monitoring Report 2010.* Paris: UNESCO. http://www.unesco.org/new/en/education/themes/leading-the-internationalagenda/efareport/reports/2010-marginalization/ UNESCO (2012). Youth and Skills. Putting Education to Work. Education for All Global Monitoring Report *2012*. Paris: UNESCO. http://www.unesco.org/new/en/education/themes/leading-theinternational-agenda/efareport/reports/2012-skills/ UNESCO (2013). *Schooling for Millions of Children Jeopardized by Reductions in Aid.* Policy Paper 09. Paris: UNESCO Education for All Global Monitoring Report. http://unesdoc.unesco.org/images/0022/002211/221129E.pdf UNESCO (2014). *Learning for All. Education for All Global Monitoring Report 2013/14* Paris: UNESCO. http://www.unesco.org/new/en/education/themes/leading-the-internationalagenda/efareport/reports/2013/ UNESCO Institute for Statistics (2014). Progress in Getting all Children to School Stalls but Some Countries Show the Way Forward. Policy Paper 14/Fact Sheet 28. Paris: UNESCO Institute for Statistics. http://unesdoc.unesco.org/images/0022/002281/228184e.pdf UNICEF (2013). *State of the World's Children: Children with Disabilities* New York: UNICEF.
http://www.unicef.org/sowc2013/report.html UNICEF (2014). Strengthening Statistics on Children with Disabilities: UNICEF's Work and Planned Activities. New York: Data and Analytics Section, UNICEF. http://www.un.org/disabilities/documents/events/2014_summary_strengthening_statistics_shildre n_with_disabilities.pdf United Nations (2010). *The Millennium Development Goals Report 2010*. New York: UN. http://www.un.org/millenniumgoals/pdf/MDG%20Report%202010%20En%20r15%20- low%20res%2020100615%20-.pdf United Nations (2011). *The Millennium Development Goals Report 2011*. New York: UN. http://www.un.org/millenniumgoals/pdf/(2011_E)%20MDG%20Report%202011_Book%20LR.pdf United Nations (2013a). *The Millennium Development Goals Report 2013*. New York: UN. http://www.un.org/millenniumgoals/pdf/report-2013/mdg-report-2013-english.pdf United Nations (2013b). A New Global Partnership: Eradicate Poverty and Transform Economies through Sustainable Development. The Report of the High-Level Panel of Eminent Persons on the Post-2015 Development Agenda. New York: UN. http://www.post2015hlp.org/wpcontent/uploads/2013/05/UN-Report.pdf Villa, R.A., Tac, L.V., Muc, P.M., Ryan, S., Thuy, N.T.M., Weill, C. and Thousand, J.S. (2003). Inclusion in Viet Nam: More than a Decade of Implementation. Research and Practice for Persons with Severe Disabilities, 28(1): 23-32. http://rps.sagepub.com/content/28/1/23.abstract Wapling, L. (2010). *Evaluation of the Bushenyi District Inclusive Education Programme.* Deaf Child Worldwide: Uganda. Wilson, K., Miles, S. and Kaplan, I. (2008). Family Friendly! Working with Deaf Children and their Communities Worldwide. London: Deaf Child Worldwide. http://www.deafchildworldwide.info/publications_and_resources/resource_library/useful_publicati ons/family_friendly.html WHO (2011). *World Report on Disability*. Geneva: WHO. http://whqlibdoc.who.int/publications/2011/9789240685215_eng.pdf World Bank (2008). Project Appraisal Document on a Proposed Credit to the People's Republic of Bangladesh for a Disability and Children-at-risk Project. Washington DC: World Bank http://wwwwds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2008/06/16/000333037_200806 16025100/Rendered/PDF/417950PAD0P1061ly100IDAR20081021911.pdf Yeo, R. and Moore, K. (2003). Including Disabled People in Poverty Reduction Work: ''Nothing About Us, Without Us''. *World Development*, 31(3): 571–590. http://www.sciencedirect.com/science/article/pii/S0305750X02002188 Yousafzai, A.K., Lynch, P. and Gladstone, M. (2014). Moving Beyond Prevalence Studies: Screening and Interventions for Children with Disabilities in Low-income and Middle-income Countries. Global Child Health. http://adc.bmj.com/content/early/2014/03/19/archdischild-2012-302066.abstract | en |
4042-pdf |
PLANNING COMMITTEE: 30 September 2010 DIRECTORATE: Planning and Regeneration HEAD OF PLANNING: Susan Bridge N/2010/0475
Removal
of
condition
2
of
planning
permission N/2008/0502 for boat / restaurant & bar and associated access.
Midsummer Meadow, Bedford Road WARD:
St Crispins APPLICANT:
Mr Patel
AGENT:
Ron Sheffield - Architect REFERRED BY:
Head of Planning
REASON:
Borough Council land DEPARTURE:
No APPLICATION FOR DETERMINATION: 1.
RECOMMENDATION
1.1
That Condition 2 of planning permission N/2008/0502 which limits the
development to a temporary period of 5 years be deleted and replaced with a condition securing an end of life plan to remove the vessel and restore the riverbank subject to prior completion of a suitable S106 agreement as outlined below.
1.2
The end of life plan would be enacted at the end of the commercial
cycle or when the vessel no longer maintains the standards set out for independent assessment by an agreed third party within a S106 legal agreement between the developer / owner and the Council.
1.3
Delegated authority is sought from the Committee to the Head of
Planning to establish the terms of the legal agreement that will ensure the good upkeep of the vessel, thus overcoming the need to control the development by terminating planning permission five years after first operation.
2.
THE PROPOSAL 2.1
The initial proposal by the applicant involves the removal of Condition 2
of planning permission reference N/2008/0502 determined by
committee on 6th April 2008.
2.2
Condition 2 states:
The use hereby permitted shall be discontinued and the land restored to its former condition (including full removal of the vessel and mooring) on or before 5 years from first installation of the vessel hereby approved. 2.3
The reason for this condition is:
To enable the Local Planning Authority to assess the effect of the development during the said period in accordance with Policy E20 of the Northampton Local Plan. 3.
SITE DESCRIPTION 3.1
Midsummer Meadows are the flood meadows of the River Nene as it
passes east out of the centre of Northampton. Whilst the areas to the north of the proposed mooring site closest to Bedford Road are managed as public open space, the land between the Nene and the dead arm to the south of the main course of the river are wilder and semi-natural with significant ecological value. 3.2
The restaurant would be moored on the north bank of the dead arm
close to an informal Council owned car park accessed directly from Bedford Road. The site is south of the old substation on Bedford Road and not far from the Council's Cliftonville House offices. 3.3
A new footbridge, replacing a previous unsafe bridge, linking the
extensive footpaths on the north side of the river with the natural areas on Midsummer Meadows, has recently been installed directly east of the proposed mooring. 4.
PLANNING HISTORY
4.1
N/2007/0569 - Boat restaurant and bar and associated access at
Midsummer Meadow (closer to town centre on the main course of the River Nene) - Withdrawn
4.2
N/2008/0502 - Boat restaurant and bar and associated access at
Midsummer Meadow. Approved at Committee 6th April 2010.
5.
PLANNING POLICY
5.1
Development Plan Section 38(6) of the Planning and Compulsory Purchase Act 2004 requires a planning application to be determined in accordance with the
Development Plan unless material planning considerations indicate otherwise. The current Development Plan comprises of the saved policies of the Northamptonshire County Structure Plan and Northampton Local Plan 1997. 5.2
National Policies:
PPS1 - Delivering Sustainable Development
PPS4 - Planning for Sustainable Economic Growth
PPS9 - Biodiversity and Geological Conservation
PPG13 - Transport
PPS23 - Planning and Pollution Control
PPS25 - Development and Flood Risk 5.3
Northampton Borough Local Plan
E1 - Landscape and open space
E2 - Riverside landscape
E17 - Nature conservation
E18 - Sites of acknowledged nature conservation value
E20 - New Development
E40 - Crime
L1 - Existing recreational facilities
L16 - River Valley Policy Area
L17 - Use of river and canal
L29 - River valley policy area: provision of new facilities
T12 - Development requiring servicing
T22 - Provision for people with a disability 5.4
Supplementary Planning Guidance
Planning out Crime in Northamptonshire SPG 2004 6.
CONSULTATIONS/REPRESENTATIONS
6.1
NBC Public Protection - No objections.
6.2
Town Centre Manager - objects on the basis that removal of the
condition will lessen the ability of the Council to control the condition of
the vessel and protect the surrounding environment.
6.3
Northants Police - no formal objection.
6.4
NCC Highways - no observations.
6.5
Northants Wildlife Trust - no objections (comments on future
management and relationship with the Local Nature Reserve)
6.6
Environment Agency - object to the removal of the condition, but happy to see an end of life plan in place alternatively. 7.
APPRAISAL 7.1
The
previous
committee
report
of April
2010
set out
the
recommendation for including Condition 2 in paragraph 7.9:
Boats are distinct from permanent buildings in that they can significantly degrade over relatively short periods of time. End of life plans for the vessel have been raised by the Environment Agency and may be an issue for the Borough Council as adjoining landowner. In short, it is considered that for a number of reasons, including preserving the long term appearance of the river, it is pragmatic to review the boat restaurant and its physical appearance five years after first commencing operations. Therefore, a condition giving temporary consent for 5 years is recommended for this use.
7.2
These concerns are maintained. It is still considered that there are substantial reasons why the vessel is likely over time to deteriorate and have an adverse impact on the appearance and environment of the locality if left uncontrolled.
7.3
The Environment Agency and NBC Town Centre Manager have both
responded to this application with concern and objections that the 5 year control of this vessel is important in terms of the river environment and town centre regeneration. These comments should be given significant weight, in particular the objections of the Environment
Agency given their experience in managing the river environment and
knowledge of how such vessels can degrade.
7.4
The applicant states that they have struggled to secure finance for a
business that is restricted by such a short life cycle as five years. This problem is understandable and a certain amount of empathy can be offered. Given the positive benefits that this business can bring to the town, as previously explored during the April committee consideration, the case officer has sought to find a long term solution that will maintain the appearance and environment of the Nene valley, whilst not restricting the development to a shortened period of consent.
7.5
A meeting has been held with the applicant's planning consultant and a
way forward agreed.
7.6
Firstly, the existing condition should be replaced with an end of life plan
condition that will ensure that the vessel is removed and the river restored should the business conclude.
7.7
Secondly, a legal agreement is proposed that will set out a series of
standards by which the condition of the vessel can be judged. For example, the condition and sea worthiness of the hull must be inspected by an independent qualified marine surveyor to ensure the proper upkeep of the vessel on a regular basis. These standards are still in negotiation and delegated authority is sought from the Planning
Committee so that officers can first negotiate, then agree standards by which the condition of the vessel can be measured.
7.8
If the vessel is independently judged to have unduly degraded, then
measures would be recommended to remedy this. If these are not
completed in an agreed timeframe, then the end of life plan outlined above would kick in, the vessel would be removed and river restored.
8.
CONCLUSION 8.1
It is considered that replacement of Condition 2 with an end of life plan
condition is reasonable subject to a S106 agreement ensuring control is maintained.
8.2
The proposal is considered suitable for members' approval providing
delegated authority for the Head of Planning to instruct the Borough Solicitor re a legal agreement that will secure the long-term review and maintenance of the vessel, ensuring the Nene valley environment and landscape is protected. Any unresolved degradation or abandonment of the vessel and its mooring will result in the end of life plan coming into effect and the river being restored to its natural state.
9.
CONDITIONS 9.1
Replacement Condition 2:
Before the commencement of development a scheme shall be
submitted to and approved by the Local Planning Authority which specifies an end of life plan for the vessel and its mooring. The end of life plan shall be enacted in accordance with the approved details on removal of the vessel from the watercourse unless otherwise prior agreed in writing with the Local Planning Authority. 10.
LEGAL IMPLICATIONS: 10.1 None. 11.
BACKGROUND PAPERS 11.1 None. 12.
SUMMARY AND LINKS TO CORPORATE PLAN 12.1 In reaching the attached recommendations regard has been given to
securing the objectives, visions and priorities outlined in the Corporate Plan together with those of associated Frameworks and Strategies. Position:
Name/Signature:
Date:
| Author: | Richard Boyt | 14/09/2010 |
|-------------------------------------|-----------------|---------------|
| Development Control Manager Agreed: | Gareth Jones | 15/09/2010 |
| en |
1049-pdf | # Annual Report And Accounts Of The National Archives Annual Report And Accounts Of The National Archives 2019-20
Including the Annual Report of the Advisory Council on National Records and Archives 2019-20 Annual Reports presented to Parliament pursuant to section 1(3) of the Public Records Act 1958 Accounts presented to the House of Commons pursuant to section 6(4) of the Government Resources and Accounts Act 2000 Accounts presented to the House of Lords by Command of Her Majesty Ordered by the House of Commons to be printed on 21 July 2020 This is part of a series of departmental publications which, along with the Main Estimates 2020-21 and the document *Public Expenditure: Statistical Analyses 2019*, present the government's outturn for 2019-20 and planned expenditure for 2020-21.
## © Crown Copyright 2020
This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 Where we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned. This publication is available on our website at nationalarchives.gov.uk and on GOV.UK
www.gov.uk/official-documents. Any enquiries regarding this publication should be sent to us via our website. ISBN 978-1-5286-1954-7 CCS0520639394 07/20 Printed on paper containing 75% recycled fibre content minimum Printed in the UK by the APS Group on behalf of the Controller of Her Majesty's Stationery Office
## Preface
About the Annual Report and Accounts of The National Archives: This document combines performance and financial data with analysis to help readers better understand our work. It sets out how we spend taxpayers' money to fulfil our remit as the official archive and publisher for the UK Government, and for England and Wales. It covers our activities from April 2019 to March 2020 (inclusive), and is divided into three main sections. The performance report and analysis (pages 5 to 29) includes a summary of progress and key activities (the performance overview), followed by our achievements over the year against each of the business priorities, and input and impact indicators (the performance analysis). The accountability report (pages 30 to 68) includes an introductory statement from the Chair of our Board, and the Directors' report sets out our operating structure and transparency matters such as inclusion and diversity, and whistle-blowing. It also includes:
■
a statement of the Accounting Officer's responsibilities
■
a governance statement on how The National Archives manages risk
■
a remuneration and staff report setting out an open account of the pay and benefits received by the executive directors and Non-executive Board members
■
disclosures on pay and pensions policies, and details of staff numbers and costs
■
a parliamentary accountability and audit report, allowing readers to understand the department's expenditure against the money provided to it by Parliament along with the Statement of Parliamentary Supply
■
a copy of the audit certificate and report made to Parliament by the Head of the National Audit Office, setting out their opinion on the financial statements.
The financial statements (pages 69 to 93) outline our income and expenditure for the financial year, the financial position of the department as of 31 March 2020, and additional information designed to enable readers to understand these results. Annex A (pages 94 to 102) provides a detailed sustainability report, giving an overview of our activities during the financial year, our progress against Greening Government Commitments targets, and our plans for 2020-21. Annex B (pages 103 to 116) contains the Advisory Council on National Records and Archives: 17th Annual Report 2019-20, which describes its role, work actioned in year, and details of the Forum on Historical Manuscripts and Academic Research. Annex C (pages 117 to 119) contains the Annual Report of the Independent Complaints Reviewer, which sets out information on the service and standards, an overview of both the learning from complaints and customer feedback, and of complaint activity and examples.
## Contents
| 1. | Performance report |
|----------------------------------------------------------|------------------------------------------------------------------|
| 5 | |
| 1.1 | Overview |
| 6 | |
| Introduction | |
| 6 | |
| Who we are | |
| 10 | |
| Our audiences and the digital challenge | |
| 12 | |
| 1.2 | Performance analysis |
| 22 | |
| Financial management commentary | |
| 22 | |
| Performance against our business priorities | |
| 23 | |
| Performance against our input and impact indicators | |
| 26 | |
| Environment and sustainability | |
| 29 | |
| 2. | Accountability report |
| 30 | |
| 2.1 | Corporate governance report |
| 31 | |
| Statement from the Chair of The National Archives' Board | |
| 31 | |
| Directors' report | |
| 32 | |
| Governance statement | |
| 35 | |
| Statement of Accounting Officer's responsibilities | |
| 45 | |
| 2.2 | Remuneration and staff report |
| 46 | |
| 2.3 | Parliamentary accountability and audit report |
| 58 | |
| Statement of Parliamentary Supply | |
| 58 | |
| Audit certificate and report | |
| 65 | |
| 3. | Financial statements |
| 69 | |
| Notes to the Departmental Resource Accounts | |
| 74 | |
| Annex A | Sustainability accounting and reporting |
| 94 | |
| Annex B | Advisory Council on National Records and Archives: |
| 17th Annual Report 2019-20 | |
| 103 | |
| Annex C | Annual Report of the Independent Complaints Reviewer for 2019-20 |
| 117 | |
## Performance Report 1 1 . 1 Overview Introduction From Chief Executive And Keeper
To the Right Honourable Oliver Dowden CBE MP, Secretary of State for Digital, Culture, Media and Sport This year's Annual Report and Accounts for The National Archives 2019-20 marks the first year of our new strategy *Archives for Everyone*.
Launched in June 2019, the strategy sets out our plans to become the 21st century national archive for the people and communities we serve, and tasks us with engaging broader, more diverse audiences with our collections, and those of archives across the country.
Public engagement Key to becoming an *Archive for Everyone* is developing meaningful public engagement programming for our audiences on site and online. In 2019, we delivered Protect and Survive: Britain's Cold War Revealed, our largest and most ambitious exhibition to date. Our on site exhibition and supporting events attracted more than 22,000 people to Kew. During the season, we experimented with opening hours to provide new audiences with the opportunity to visit us, who would not otherwise have been able to participate. When we closed to the public in March, our latest exhibition - With Love - was suspended, as was our other on site public programming. A proposed trial to adapt our on site document ordering services has also been delayed, and when we are able to return safely to Kew, we hope to restart the construction of two new embedded learning spaces. These spaces will be augmented following a pledge of £500,000 by the Clore Duffield Foundation, to the newly established independent charity, The National Archives Trust. Launched in February 2020, the Trust aims to promote the rich archival heritage held by us, and many other archives throughout the UK by supporting world-leading community, engagement and education programmes.
Reporting on our progress comes against the background of the global COVID-19 crisis. It is a challenging time for millions across the world, including the national and international archives community. In line with the UK Government's advice, and for the first time in a generation, we closed our iconic and much loved building in Kew to the public on 17 March, and to staff on 21 March. It is inevitable that we will need to review our strategic priorities taking account of the impact of the crisis, and we cautiously approach this change with a degree of confidence due to our long-term investment in digital content. Our promise and potential are as great as ever and our ambition is undimmed, but how we realise *Archives for Everyone* will necessarily be different from how we originally envisaged it. With this in mind, this report looks at our progress in the reporting year 2019-20, while acknowledging the challenges faced in the closing days of the period, and how this will affect our work and organisation for the foreseeable future.
Throughout 2019-20, we continued to deliver our award-winning educational resources for school pupils and students, despite the suspension of our on site schools programme due to our closure. Since then, we have worked to make our online educational offer a reliable tool for home learning by developing and tailoring new and existing online resources. For as long as our Kew site remains closed to the public, we have also made our digital records freely available for everyone on our website.
public records. The funding has been used by services to sustain and develop their collections and enhance access.
Archives sector leadership The government's strategic vision for the archives sector, *Archives Unlocked*, promotes the wide-ranging information and collections that archives hold, and advocates putting them within easier reach of users. With our partners, we are taking forward a workforce development strategy to address gaps in the sector, and to develop new ways to recruit diverse talent into the archive profession.
Government information and legislation services Although transfers of public records from government departments to Kew were temporarily suspended on 18 March 2020, our fundamental statutory duties as a nonministerial department and the official archive and publisher for the UK Government, and for England and Wales, remain unchanged. Throughout 2019-20, we proactively supported the government in managing its digital information, taking a collaborative, user-focused approach with the government knowledge and information management profession and last year, we accessioned more than 72,800 government records transferred from over 36 public records bodies.
In December, we launched Plugged In, Powered Up, a comprehensive strategy of programmes, training and resources to support archives and address the gaps in vital digital skills. We delivered an 'Archives School' to train digital archivists and created a new online learning resource for practitioners in collaboration with the Digital Preservation Coalition. We also launched *Collaborate and Innovate*, our new funding strand that focuses on empowering archives to use creativity and innovation to develop ideas and solutions. The growth of digital skills and capability will be essential as archives reimagine how they will deliver their services to the public, post pandemic.
On behalf of the Secretary of State, we are leading a refresh of the Code of Practice issued under s.46 of the Freedom of Information Act 2000. The Code is a robust framework that provides for the successful management of records for business efficiency and corporate accountability. We continue to work with the Cabinet Office and our partners in the devolved nations on the Code in readiness for its eventual publication.
In our capacity as leader of the archives sector in England, we know that there is a major risk of significant loss of archival heritage arising from the economic and social impact of the pandemic. Last year, the number of services so far accredited under the Archive Service Accreditation scheme reached more than 160, and they are actively maintaining their role as a crucial part of our dynamic network of archives. We distributed £660,000 of New Burdens funding to 43 local authorities who accessioned over 1.5 kilometres of Our services for businesses, the legal sector and government departments are of crucial value to the public to be able to access the law, and to aid legal certainty. Earlier this year, we published all legislation dealing with the UK's exit from the European Union on the legislation.gov.uk website. This includes what will become retained EU legislation. The website was updated to reflect the passage of the European Union (Withdrawal Agreement) Act 2020, with a timeline showing the transition period added where relevant. We the Coronavirus Act 2020 were recorded and published in the relevant Gazette. The Gazette provides the official public record and is a reliable source of data about important events relating to the state, companies and people, including the COVID-19 crisis.
also ensured that the European Communities Act 1972, the European Union (Withdrawal) Act 2018 and the European Union (Withdrawal Agreement) Act 2020 were fully up to date ahead of exit day. While the relevant date for the Queen's Printer duty to publish retained EU legislation was moved to the Implementation Period Completion date at the end of 2020, we fulfilled the specific 'exit day' duty on the Queen's Printer in the Direct Payments to Farmers (Legislative Continuity) Act 2020.
Research and collaboration Our leading-edge research and partnership work extended across the disciplines of history, digital humanities and heritage science, and involved the original historic record, born-digital and digitised collections.
Providing free public access to up-to-date legislation makes a vital contribution to the rule of law in the UK. That is never more important than when government has to take extraordinary measures, as we have seen during the crisis. We ensured that the emergency COVID-19 legislation was published at unprecedented speed, for the first time registering and publishing a Statutory Instrument on a Saturday. We have also kept key COVID-19 regulations up to date with the latest changes to the law.
Funded by the Arts and Humanities Research Council (AHRC), we are Co-Investigator on AI
for Digilab, a UK-US network project. We are delighted to be one of the founding partners for the second phase of *Beyond 2022*, a collaboration led by Trinity College Dublin to build a Virtual Record Treasury for Irish History, funded by the Irish Government. We were also awarded funding to lead two foundational projects through the government-supported research programme Towards a National Collection: Opening UK Heritage to the World led by the AHRC.
We ensured that
the emergency
COVID-19 legislation
was published at
unprecedented speed,
for the first time
registering and
publishing a Statutory
Instrument on a
Saturday.
International work
Last year, we continued to work with our
international partners, peers and other
organisations. As members of the International
Council on Archives (ICA) and in our role in
leading the Forum of National Archivists (FAN),
we participated in archival forums and groups,
and collaborated with other institutions across
the globe on solutions to digital innovation and
preservation.
Record keeping always matters but never more so than when responding to a global pandemic. Each day we archived all key communications from the government through our web archiving capability. We also worked with the government and the devolved administrations to ensure all directions and notices under Most recently, we joined the ICA's Archives are Accessible initiative which champions why archives are vital to keeping businesses and government moving through new service delivery models and realities. Our plans to host a FAN meeting at Kew in April 2020
were postponed. Meanwhile, we are working with the ICA to promote the significant value and contribution archives can make to international records management best practice, especially in informing how decisions are documented, and how records are secured and maintained - now and after the crisis.
## The Dedication And Professionalism Of Our Staff, Our Volunteers, Friends Of The National Archives, And Partners Throughout The Reporting Period - Both Before And During The Crisis - Have Been Key To Our Achievements.
Collecting the records for future generations to understand the pandemic has been at the forefront of many discussions. The response from archives across the globe, and specifically in the UK, has been uplifting, and is testament to how the sector has evolved and adapted over the last century. Now, perhaps more than at any time in living memory, it is crucial to protect and support archives of all kinds so that they are able to fulfil their vital role in the understanding of this period of history.
The dedication and professionalism of our staff, our volunteers, Friends of The National Archives, and partners throughout the reporting period - both before and during the crisis - have been key to our achievements. Their continued support will be at the heart of what comes next, and I want to take this opportunity to thank everyone for what they have done to date, and what they will do over the coming weeks and months.
The enthusiasm and spirit of everyone who works for archives, and those who use our services, is essential to our navigating this unprecedented time, when our personal and professional lives will be transformed.
Jeff James, Chief Executive and Keeper,
16 July 2020
## Who We Are
The National Archives is a non-ministerial department and the official archive and publisher for the UK Government, and for England and Wales. We work to bring together and secure the future of the public record, both digital and physical, for future generations. Our collection is accessible to anyone all over the world.
the better. As the living, growing home of our national stories, our obligation is to connect with the biggest and most diverse audience possible, in the most innovative ways we can. To honour this obligation we must become a new kind of cultural and heritage institution. Our strategic vision, *Archives for Everyone*, describes the 21st century national archive: inclusive, entrepreneurial and disruptive.
We are many things to many audiences:
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For government, we are the custodian of the public record and trusted experts in managing, preserving, using and re-using information.
The inclusive archive builds trust and tears down barriers to access, participation and understanding. It harnesses talent from diverse backgrounds. It is bold, active and outward-looking - encountered by people and communities in unexpected places and at vital moments.
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For the public, we provide access to more than 1,000 years of the nation's histories and connect people and communities with the millions of stories contained in our collection.
The entrepreneurial archive creates and realises value at home and across the globe. Operating flexibly and fearlessly, it is adept at finding and exploiting commercial, research and philanthropic funding opportunities - opening out and promoting its collection.
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For the archives sector, we provide leadership and support, helping archives to build the skills and capacity needed to sustain the nation's archival heritage.
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For the academic community and others engaged in scholarly research, we offer opportunities for working together across a broad range of disciplines - to provide solutions to our key challenges, and to open up greater access to our collection.
The disruptive archive changes everything. Constantly adapting, it rethinks and reshapes its practice to meet its contemporary and future challenges. Developing new skills and exploiting emerging technology, the disruptive archive reaffirms and transforms its historic mission for the digital age, from creation to presentation.
We are an essential resource for our democracy, a public good and an asset for future generations. Our historic mission endures: to collect and preserve the record, to use our expertise and knowledge to connect people with their history through our unrivalled collections, and to lead, partner and support archives at home and worldwide. Our conviction is that archives are for everyone, and that archives change lives for As the inclusive, entrepreneurial and disruptive 21st century national archive, we continue to work with and for our major audiences and to meet our biggest strategic challenges. While the global pandemic does impact our operations and strategic ambitions, as a government department, we are obligated to contribute to the wider government response, while looking ahead to what might come next due to the longterm impact of the COVID-19 crisis.
Our fresh understanding of our capabilities provides us with the opportunity to innovate and make radical changes to the way we work, and the services we provide, to meet head-on the changed expectations of our audiences.
We have already started to reimagine both our ability to deliver on our statutory and non-statutory duties, and our ability to make progress towards the long-term vision set out in *Archives for Everyone*.
## Our Audiences And The Digital Challenge For Government, We Provide Expert Advice And Scrutiny, Ensuring That The Record Survives And Thrives
duties; particularly via new information platforms that are allowing for smarter and better ways of working.
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Throughout the year, we accessioned more than 72,800 government records transferred from over 36 public records bodies, including:
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Files from the Cabinet Office and the Prime Minister's Office covering events in 1995 and 1996.
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The COVID-19 crisis has impacted the physical transfer of records to The National Archives and legal places of deposit. These delays will have an adverse effect on the UK Government's policy to transition to the 20-
year rule by 2023 for central government.1
We will assess the impact and put a plan in place to address the impact in due course.
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Records of the Commonwealth Institute, including some relating to the iconic building in Kensington that is now the home of the Design Museum.
•
Foreign & Commonwealth Office Information Research Department files covering activities to counter Soviet propaganda during the Cold War.
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Items from the Ministry of Defence Art Collection.
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Original publicity artwork from the Post Office Savings Department 'Wherever You Go' series.
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In relation to nuclear information records that we hold, the Nuclear Decommissioning Authority (NDA) is working in collaboration with colleagues from the Ministry of Defence (MoD) and the Atomic Weapons Establishment (AwE) to undertake a security review. All of the related files, the AB and ES references in our online catalogue Discovery, were changed to 'access under review' status in July and November 2018 respectively. As part of the review process, a collection of records (including many relating to the early development of military and civil nuclear technology) were temporarily withdrawn from general access.
•
A review programme is in place and there has been initial progress, with the
return of more than 8,2002 records to
their original access status. This work continues; however, the impact of the COVID-19 crisis will slow progress in the short term.
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We proactively supported the UK Government's approach in managing its digital information, to ensure the ultimate survival of the digital historic public record. This includes engaging with commercial technology companies who are providing the current infrastructure for corporate government information. We are taking a collaborative, user-focused approach with the government knowledge and information management (GKIM) profession, with the aim that all civil servants can discharge their record-keeping
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We continued our work to bring primary legislation on legislation.gov.uk fully up to date, increasing the proportion of up-
1
The transition to the 20-year rule for records of local interest is 2025.
2
8,052 AB and 194 ES were returned to public access and made orderable on Discovery on 2 May 2020.
to-date Acts to 99.5% by applying 63,288 amendments to the texts during the year.
Our Head of Legislation Services was shortlisted for the Civil Service Awards in the 'Project Delivery Excellence' category, for our EU Exit work.
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On a daily basis, we archived all key communications from the government about the Coronavirus as part of the public record, through our web archiving capability. This includes GOV.UK, NHS.UK and government communications on social media.
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One of our key milestones was in aiding legal certainty for the UK's departure from the European Union on 31 January 2020, by
undertaking a wide range of activities.3
We published all the legislation that Parliament enacted and that the government made for departure on legislation.gov.uk. We also updated key Acts and Statutory Instruments, such as the European Communities Act 1972 and The European Union (Withdrawal) Act 2018.
•
Our Legislation Services provided an expanded remote service to government for registering and publishing emergency Statutory Instruments (SIs), seven days per week. We worked closely with partners across government and issued a joint communication to departments regarding the process for publishing emergency SIs. We ensured that a rapid and efficient service for updating legislation.gov.uk was in place, including the changes made by the Coronavirus Bill.
•
We published the texts of what becomes retained EU legislation at the end of the transition period, as part of an expanded legislation.gov.uk service covering all the applicable law post exit. We identified 87,500 amendments made by UK legislation for EU Exit and brought information about these changes together with the texts. A timeline was added to legislation.gov. uk, initially to show Exit Day, and later to show the transition period. We compiled an archive of European law as it stood on Exit Day, for each possible exit date, from the relevant parts of the EUR-Lex website, using our web archiving technology.
•
We regularly web archived the GOV.UK
website and other key communication channels during the EU Exit period. We also undertook extensive capturing of the government web estate as it stood immediately before the December General Election. This process went very smoothly, building on our recent experiences in 2017 and 2015.
•
We superintend *The Gazette* concession, which provides an official public record and a reliable source of data about important events relating to the state, companies and people. There were new requirements to place notices in The Gazette, including the serious and imminent threat declaration under The Health Protection (Coronavirus) Regulations 2020. Since 1 January, we started to manage a new concessionary contract for *The Gazette*. The new contract sees various service developments and an improved return for the taxpayer.
## For The Public, We Work To Inspire New Ways For People To Use And Experience Our Diverse Collection.
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Separately, working with our partners - the Houses of Parliament, Scottish Parliament, and the drafting offices for UK and Scottish legislation - we developed the first working version of a browser-based Legislation Drafting, Amending and Publishing tool. This was used to draft, amend and publish the UEFA European Championship (Scotland) Act 2020.
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Our Protect and Survive: Britain's Cold War Revealed season and exhibition attracted more than 22,000 visitors to our site. The season featured events for all age groups, including our Time Travel Club Family programme digital trail, and participation in 'The Big Draw' where a replica of the Berlin Wall was the canvas for creativity and messages of wellbeing and hope. We also welcomed guest speakers such as Sir Michael Palin and Dame Stella Rimington.
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On behalf of the Secretary of State, we are leading a refresh of the Code of Practice
issued under s.46 of the Freedom of Information Act 2000 (FOIA). The Code provides an effective framework for the successful management of records for business efficiency and corporate accountability. The Code is wide ranging and its provisions apply to all authorities subject to FOIA and not just public record bodies.
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At Christmas, we explored a period of time when centuries-old traditions were forced to go underground. Our 1657: Rebel Christmas exhibition offered an immersive experience with a recreated apothecary shop, and sights and smells of an underground workshop. On Valentine's Day, we opened our *With Love* exhibition which explored the diversity of love to be found in letters and wills in 500 years of our records.
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We experimented with increased opening hours to appeal to new audiences, providing visitors the opportunity to see our exhibitions and take part in activities designed for all the family. In all, we attracted more than 21,000 first-time visitors.
•
In line with the Secretary of State's statutory responsibility under the Act, we consulted with the Cabinet Office, Information Commissioner's Office and the relevant Northern Ireland Minister in drafting a new Code. Beyond that, we have been working with the information management community across Whitehall, as well as the wider public sector, academia and law enforcement to harness their expertise. We will ask that a public consultation takes place from the Secretary of State. The unprecedented impact of the COVID-19 pandemic means this is likely to be postponed to later in the year.
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Our sell-out repository tours took more than 600 people behind the scenes. Groups this year included the Jewish Deaf Association, the Rainbow Club, a supplementary school run by Action for Refugees in Lewisham and a group of Blue Badge Tourist Guides.
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We increased the reach of our public engagement activities with presence on BBC Radio 4's *Front Row* programme, and
several filming events including a feature on Domesday, and our participation in nationwide activities including 'Ask a Conservator Day' and 'Volunteers' Week'.
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For the first time, we hosted a government inquiry on site in a dedicated secure reading room area. Approximately 10,448 documents for the inquiry were viewed.
•
In April 2020, we welcomed children, parents and teachers from The Rainbow Club, a supplementary school, part of Action for Refugees in Lewisham (AFRIL) that works with children aged between 4 and 11 years from refugee and asylum seeker backgrounds. AFRIL works to support these children with their English and Maths and promote a broader curiosity for learning. The children took part in workshops, exploring themes of fun and food in the files.
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We have been working with the Young Historians Project (YHP), a non-profit organisation that encourages the development of young historians of African and Caribbean heritage in Britain, facilitating their research into African women and the health service. Among their project outputs, the YHP plan to contribute to our blog on our website.
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We continue to showcase our collection through our loans programme, including to exhibitions in the UK, Europe, the US and Singapore, enabling access to our collections to more than 1.25 million visitors.
•
We partnered with Anstee Bridge, an alternative learning and support programme for young people aged from 14 to 16 years who are facing emotional struggles. Via a National Lottery Heritage Fund partnership, the young people engaged with our documents and participated in creative activities inspired by their research into the creation of the NHS. Their work was showcased at an on site event on the evening of the 71st anniversary of the NHS. 'Beyond the Glitter' was an evening of celebration, featuring a drama performance 'SCAR' and an exhibition of the young people's work.
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Our education services continue to grow and strengthen. Last year we taught approximately 11,160 students (430
groups).4 We also hosted a welcoming and
well-informed SEND (Special Educational Needs and Disabilities) programme.
•
We developed new targeted online resources: *Significant People* for key stages 1 and 2; Crime and Victorian railways, and a lesson on Walter Tull,
the first black officer (and professional footballer player) to lead a regiment during the First World War. The latter included questions devised by children from Crane Park Primary School.
•
Our fourth stop motion animation project 'Mental Health on Record' used a range of records from our collection to inspire a group of 16 to 19 yearolds as they learned about attitudes to mental health in the past. The project was supported by funding from The Friends of The National Archives, and we worked with partners Richmond Borough Mind and Mental Health First Aid England. The film premiered during an event at Kew.
and concerns from readers. The trial has now been delayed due to the impact of the COVID-19 pandemic. When it goes live, it will be evaluated throughout before any final decisions are made.
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For the first time, we ran a creative careers event, which offered school students an opportunity to better understand the work of an archive. Students were provided with a wide range of archival career opportunities, including events and exhibitions, customer services, collection care and digital preservation.
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We celebrated key milestones of two longstanding volunteer projects HO 17 (Home Office: Criminal Petitions Series 1) and ADM 106 (The Navy Board Project). The work of committed volunteers spanning decades has been significant in opening up these records for researchers.
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Kids took over the archive in November when we participated in the nationwide Kids in Museums event. Dozens of
children worked alongside staff - and pleasantly surprised our users - as their recorded messages were heard across the building. The students brought their teachers, parents and carers back for an open evening where they displayed their own boxes of archives to showcase 'why archives matter'.
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Our volunteers led on cataloguing the series WO 416, which involved opening up individuals named in the British and Allied Prisoners of War record cards who were captured in occupied German territory during the Second World War. By the end of the (financial) year more than 120,000 records were catalogued (97,000 of them open) from an estimated total of 195,000. In this year alone, over 55,000 records were catalogued, twice as much as any other record series. The project is on target to finish in 2022.
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We launched a new brand and visual identity aligned to our new strategy that is adaptable for a digital age and our ambitions to engage with a broader and diverse audience. The new branding, designed by Hemingway Design, is gradually being adopted and is the first time we have rebranded since 2003.
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We are reaching almost 249,000 subscribers through our mailing list and
more than 252,000 followers across a variety of social media channels and feeds.
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In October, we were privileged to be selected as the first archive to host the annual London Heritage Volunteer awards. The evening held on site was a vibrant celebration of the importance and contribution of volunteers right across the heritage sector, including our own volunteers.
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In March, we planned to start a sixmonth trial of new document ordering arrangements. The trial would have seen us test a service that builds on our advance and bulk order services. The proposal would allow researchers to order a total of up to 24 documents a day; 12 orders in advance and 12 on demand, and introducing dedicated ordering slots. The announcement prompted some questions
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The Friends of The National Archives continued to support us in a variety of ways, from volunteering, events and through funding innovative public programmes. We would like to thank the Friends, and all of our on site and online volunteers, for helping us to achieve our goals.
year, the first cohort of eight trainees completed the programme; a further eight are currently under way.
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We continue to maintain world-class environmental stewardship of our site and grounds. During 2019-20, we reduced the environmental impact of our operations, and achieved a 74% reduction in carbon emissions compared with the baseline year of 2009-10 against the government target of a 32% reduction. Read more in the environment and sustainability section of this report (page 29), and in Annex A - Sustainability accounting and reporting (page 94).
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As part of delivering *Archives Unlocked*, the UK Government's strategic vision for archives across England, we continue to deliver against our workforce development strategy. We are well under way with the Institute for Apprenticeships and Technical Education's process for the creation of a new Level 7 Apprenticeship for Archivist and Records Manager to open up new routes of entry into the profession. We have recruited an Inclusion and Change Manager to support our work in addressing the lack of diversity in the profession and archives audiences.
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A review of our complaints handling performance found that we 'deliver a gold standard complaints service'. This saw a reduction in the number of complaints received by almost half. While a reduction in complaints cannot on its own be equated to an improvement in service, it occurred alongside an increase in compliments. Read the Annual Report of the Independent Complaints Reviewer, Annex C, on pages 117 to 119 for the full report.
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In December, we launched our new Digital Capacity Building programme for the sector, *Plugged In, Powered Up*. The wellreceived strategy sets out an ambitious plan of programmes, training and resources to support archives to meet their digital ambitions and address the gaps in vital skills. It sets out a plan for three business years of work and will be delivered from 2019 to 2022. We delivered an Archives School programme for digital archivists and we are collaborating with the Digital Preservation Coalition on the creation of a new online learning resource for practitioners.
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In February, the National Archives Trust (registered charity no. 1187839) was launched. The Trust aims to support world-leading education and engagement programmes inspired by the collections held at Kew and by many other archives throughout the country. The Trust is an independent body and we intend to work closely with them in the coming months.
## For The Archives Sector, We Are An Effective Leader And Collaborator, And Support Archives Of All Kinds To Sustain And Develop Their Services
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Bridging the Digital Gap is our training
programme funded by National Lottery Heritage Fund to create 24 paid technical trainees in archives around the UK. Bringing new and relevant skills into the sector, the programme is in its second
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Manage Your Collections (MYC) is a service that allows archive services to add, edit, delete and store information about their own collections in our online catalogue, Discovery. We currently have 202 archives using the service and there were 1,213 collections added to Discovery by UK archives using MYC in the period April to March 2020. We held four MYC workshops delivering training on the tool to more than 65 people.
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Archive Service Accreditation has passed another significant milestone, with some archive services who received the first ever awards in November 2013 completing the cycle and submitting their second applications, to retain the award after six years. More than 160 services are now
accredited.5 The programme's governing
committee has been refreshed, with many original members reaching the end of their terms. We were delighted at the level of applications for vacancies on the committee, showing the accreditation scheme's high profile across the archive sector.
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Archives Revealed is a partnership programme between The National Archives and the Pilgrim Trust. The programme is generously supported by the Wolfson Foundation and '29th May 1961 Charitable Trust'.
•
Cataloguing Grants are for archives
to create catalogues of important archival collections. This year, £300,000 in cataloguing grants were awarded to nine organisations.
•
Scoping Grants are micro-grants that provide funding for organisations who hold archives and wish to assess the potential importance of a collection, alongside developing plans to address key issues relating to access, conservation and future public engagement. This year, £36,000 in scoping grants were awarded to
12 organisations.6
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We launched *Collaborate and Innovate*,
our new funding which will empower
5
As at 31 March 2020.
6 1) Doncaster Deaf Trust, 2) Govanhill Baths Community Trust, 3) Scouts Scotland, 4) International Institute for Conservation of Historic and Artistic Works (IIC), 5) Harvey's Foundry Trust, 6) The Royal Life Saving Society, 7) The New Vic Theatre, 8) EMI Archive Trust, 9) Salford Community Leisure, 10) New Contemporaries, 11) Union Chapel, 12) Museum of London Docklands: Port of London Authority Archive.
archives to develop creative ideas and collaborative approaches, as well as network development, leading to outcomes that will make a real difference to archives in the UK.
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We distributed £660,000 of New Burdens funding to 43 local authority places of deposit, who accessioned over 1.5 kilometres of public records. The funding supported a number of projects and other improvements. See the Appendix on page 119 for a full list of local places of deposit who received New Burdens Funding during 2019-20.
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We celebrated the 150th anniversary of the Historical Manuscripts Commission (HMC) with a programme of visits and events. In June, we hosted an event in Parliament to celebrate the successes of the HMC, and in October, a symposium on the legacy and future of the HMC, and a seminar on mitigating and understanding risks. The Chief Executive in his capacity as Historical Manuscripts Commissioner also visited a broad range of archives across and the UK. The breadth and depth of archives has been reflected in the visits, which ranged from local record offices to charities, religious archives, university special collections and business archives. A special HMC anniversary edition of the British Records and Archives journal *Archives* will
be published in due course.
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Our international work and relationships across the global archival communities continue to develop. As members of the International Council on Archives (ICA) and
in leading the Forum of National Archivists (FAN), we participated in archival forums and groups, and worked in partnership with other institutions across the globe on solutions to digital innovation and preservation. We took part in the ICA's annual conference in Adelaide. Its theme 'Designing the Archive' focused on putting people at the centre of what archives do.
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Our plans to host the next FAN meeting on site were postponed due to the COVID-19 crisis. However, working with the ICA, we are promoting the significant value and contribution archives can make to international records management best practice, especially in informing how decisions are documented, and how records are secured and maintained. With archives across the world, we have joined the Archives are Accessible initiative which sets out why archives are vital to keeping businesses and government moving through new service delivery models and realities.
## For Academic And Researchers, We Lead, Enable And Inspire Pioneering Research Through Fostering Community, Collaborative Engagement, And Inclusive Practice. We Work To Generate New Knowledge And Drive Progress For Archives, The Wider Community And Society As A Whole
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We focused on strengthening our research profile and building on our status as an Independent Research Organisation. We are Co-Investigator on an Arts and Humanities Research Council (AHRC) funded project, AI for *Digilab* - a UK-US
network project with Nottingham Trent University, The National Gallery (UK), the Getty Conservation Institute, Yale Institute for the Preservation of Cultural Heritage, and the University of Southern Maine. For this research, our map collection will be used as one of the case studies. The
project gives us access to a wealth of analytical instruments, and in particular, scanning analysis. The data created will be fed through a proposed online machine learning-enabled analysis platform (part of the UK/E-RIHS Digilab initiative) and led by the National Gallery.
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Building on the success of recent years, we have further invested in our analytical infrastructure by purchasing a Fibre Optic Reflectance Spectrometer to enhance our capability of analysing organic materials.
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We joined Linked Conservation Data as a partner organisation, another AHRC funded UK-US network project under the lead of the University of Arts London. This project will enable accessibility of conservation records and has been granted a funded extension.
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We partnered in the ArcHives: Unlocking the ancient beeswax record project, funded by the Carlsberg Foundation. The aim of ArcHives is to use wax as a biomolecular archive to inform the geographic origin of beeswax (and bees), the changing diversity of the hive microbiome in modern and historical beeswax; and the DNA of individuals associated with the production of the legal documents trapped in kneaded wax.
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We are due to begin our involvement in the second phase of *Beyond 2022*, the
rebuilding of an open-access, virtual reconstruction of the Irish Treasury destroyed in 1922. This project is an allisland and international collaboration between our Core Partners: The National Archives (Ireland); the Public Record Office of Northern Ireland (Belfast); the Irish Manuscripts Commission & the Library, Trinity College Dublin; and a growing list of Participating Institutions in Ireland, the
United Kingdom and the United States.
the Digital Shift' brought together delegates from across the archive, library, museum and academic communities.
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We enjoyed success with two foundational projects funded through Towards a National Collection: Opening UK Heritage to the World, supported by the government-backed Strategic Priorities Fund, led by the Arts and Humanities Research Council:
■
Three new collaborative PhD students started this year, funded through the AHRC's Collaborative Doctoral Partnership and Doctoral Training Partnership programmes. We work with colleagues to enhance research skills across The National Archives, including through our Researcher Development Programme and Machine Learning courses.
•
£250,000 for Deep Discoveries, a collaboration with the University of Surrey's Centre for Vision Speech and Signal Processing, V&A and Royal Botanic Garden Edinburgh, that aims to create a computer vision search platform that can identify and match images across digitised collections on a national scale.
■
We share knowledge and best practice across the library and archive sectors through our popular RLUK-The National Archives Professional Development Fellowships programme. Disseminating our research is an important part of our role, and colleagues regularly publish in academic journals and speak at conferences in disciplines including history, social science, heritage science, computer science, information and archival science.
Over the last few years, we have made
important changes to the ways we think
and work in order to become a digital
archive by instinct and design
•
£274,000 for Engaging Crowds: citizen research and heritage data at scale,
with partners at the University of Oxford's Zooniverse, Royal Botanic Garden Edinburgh, and Royal Museums Greenwich. *Engaging Crowds* seeks to harness the capabilities of people-powered research to enrich understanding of cultural heritage collections through digitally enabled participation.
■
In April 2019, Dr Safiya Umoja Noble delivered our annual digital lecture where
she discussed her book Algorithms of Oppression and shed light on the impact of marginalization and misrepresentation in commercial information platforms. The lecture scheduled for April 2020 was postponed due to the COVID-19 pandemic.
■
Working closely with a supplier, we delivered Project Alpha, a working
prototype for a new website. Too few people encounter us directly when using the web, and first-time users (in particular) have told us that they are confused by the experience. To meet our users' high and rising expectations, we are making some significant changes to our website, to better engage our audiences and remain relevant. Project Alpha has helped move us towards a more generous interface design that can help and support users explore our collection.
■
The seventh annual Discovering Collections, Discovering Communities conference, delivered jointly with Research Libraries UK (RLUK) and new partners Jisc, took place at the Birmingham Conference and Events Centre. The conference theme, 'Navigating
■
We developed our capability as a digital
archive and created an alpha version of a new Transfer Digital Records service for government departments. We also reduced risks to our digital holdings by migrating more than 90 million digital images of records from perishable media to reliable storage.7
developed a Theory of Technological Change for the digital archive, sharing this with other archives through the DLM
Forum.8 We also started to develop a digital preservation risk model using Bayesian Network, winning £93k of funding from the National Lottery Heritage Fund to develop the model collaboratively, working with experts from the Applied Statistics and Risk Unit at the University of Warwick.
■
We reinforced our commitment to PRONOM, our register of file format signatures, running the first PRONOM Week, to galvanise community efforts to create new signatures.
■
We are an active and contributing member of the Digital Preservation Coalition, the DLM Forum and the Open Preservation Foundation, as well as continuing to participate in the Archives Portal Europe Foundation.
■
Our digital records were exposed to a new source of risk, as we discovered a key supplier was planning to cease support for a crucial piece of software required to operate the digital tape library where we store digital records. We explored various options and introduced an alternative software solution to mitigate this risk. We learned that the economics of the storage industry means that supplier solutions are not closely aligned with our longerterm archival needs and this is likely to be an ongoing source of risk to the digital collection that we will need to mitigate.
■
A technical paper about the Archangel research project, which investigated using blockchain for trusted archives, won the best paper award at the prestigious CVPR 2019 Blockchain conference. The paper describes the fusion of AI and Blockchain technology to create the world's first international blockchain for digital preservation. The project was a collaboration between the University of Surrey, the Open Data Institute and The National Archives.
■
To better understand and manage the impact of changes in technology, we
8 The DLM Forum is a membership community of public archives and parties interested in archives, records and information management throughout Europe.
## 1 .2 Performance Analysis Financial Management Commentary
The National Archives' continues to manage its resources effectively, with sound financial control frameworks and a strong organisational engagement with its fiduciary duties. Our net resource and capital outturn was £38.8m compared to a budget allocation of £40.8m. Total expenditure was 4.9% below our allocation. The outturn was affected by certain projects not being completed as planned, owing to supply chain constraints arising from the COVID-19 pandemic. The depreciation charge was also impacted as the indices used to revalue the properties fell towards the end of the year resulting in a lower depreciation charge than anticipated. Expenditure The total costs of delivering our remit as the official archive and publisher for the UK Government, and for England and Wales, was £49.5m, which is below our original budget of £50.7m. This variance is primarily due to the lower than anticipated depreciation charge on our buildings. Staff costs were £24.5m compared to £23.2m in the previous year, due largely to the increase in pension costs during the year. Further information can be found in the staff report on page 46. Operating expenditure excluding staff costs and depreciation was £18.7m (2018- 19: £15.1m). This increase is mainly due to recognition of expenditure in accordance with IFRS 15 on a software development contract that was completed in the financial year.
Income Operating income for the financial year was £13.5m (2018-19: £10.3m). The increase relates primarily to the aforementioned software development contract that was completed in the year. Net operating expenditure As a result of the above, net operating expenditure shown on the Statement of Comprehensive Expenditure for the year was £36.0m. Capital The total capital expenditure of £2.8m in the financial year (2018-19: £2.8m) was £0.4m below the budgeted amount of £3.2m. The outturn was affected by our closure and supply chain challenges arising from the COVID-19 crisis. Financial position Assets and liabilities are shown in the Statement of Financial Position on page 71 Assets less liabilities totalled £190.2m as at 31 March 2020 (2018-19: £190.5m). Total assets as at 31 March 2020 were £196.9m (2018-19: £199.0m). Property, plant and equipment and intangible assets represented 98% of the asset value (2018-19: 97%). COVID-19 has impacted property markets with market activity being affected in many sectors, resulting in less certainty attaching to the land and buildings valuation than would otherwise be the case. Total current assets as at 31 March 2020 were £4.7m (2018-19: £6.1m). Trade and other receivables reduced from £3.4m to £1.2m, principally due to the receipt of income on the software development contract. Total liabilities were £6.7m as at 31 March 2020 (2018-19: £8.5m). Contract liabilities reduced from £1.3m to £0.2m due to the level of works performed for revenue generating contracts, and revenue recognised in the current year in accordance with IFRS 15. Trade and other payables reduced from £2.0m to £1.0m, due to the lower level of activity in the final quarter of the year. Financial outlook Uncertainties arising from the COVID-19 crisis have necessitated, and will continue to
## Performance Against Our Business Priorities
| Goal | How we were to achieve this | Status |
|---------------------------------|-------------------------------|----------|
| Change the culture and | | |
| approach of The National | | |
| Archives so that in all we | | |
| do we better reflect and | | |
| represent the society we | | |
| serve. | | |
| We will improve representation | | |
| of both staff and users by | | |
| compiling and publishing our | | |
| corporate equality, diversity | | |
| and inclusion action plan and | | |
| introducing targeted Positive | | |
| Action in our recruitment | | |
| campaigns. | | |
| We will roll out our new visual | | |
| identity, a fresh tone of voice | | |
| and visual language across | | |
| multiple platforms. | | |
| We will launch and deliver our | | |
| Cold War programme, opening | | |
| our exhibition | Protect & Survive | |
| and delivering high-profile | | |
| events on site and on digital | | |
| platforms. | | |
| Curate unique national | | |
| moments of public | | |
| inspiration and participation, | | |
| including through the launch | | |
| of the 1921 Census - the UK's | | |
| largest ever online release of | | |
| historical records. | | |
require, more frequent and agile forecasting. Current assumptions are that we will be able to absorb an expected drop in site based income by off-setting site-based expenditure savings and recruitment delays. The majority of our commercial income is derived from digital exploitation of our intangible assets rather than a reliance on the Kew estate and hence less susceptible to being impacted by the COVID-19 crisis. Furthermore, the outcome from the forthcoming Spending Review will be pivotal in determining the pace at which we can continue to deliver the strategic objectives outlined in *Archives for Everyone*.
Not achieved. Although progress was made, we have not yet published our action plan. Following Executive Team and Board diversity and inclusion workshops, we have redefined our approach to delivering this goal in 2020-21. Achieved. Achieved.
We will work in partnership with The National Archives Trust and deliver a phased programme for transforming our public spaces to provide a more welcoming experience to visitors.
Create new, inclusive and exciting spaces, physical and virtual, in which people can encounter our collection afresh - partnering with The National Archives Trust to widen the public experience and understanding of archives and our history.
We will experiment with new ways of attracting non-research visitors, and develop our onsite offer to ensure that they have a good experience and end their visit feeling that The National Archives is for them.
Lead the archives sector to
fulfil the vision set out in
Archives Unlocked, promoting
our shared values of trust,
enrichment and openness.
We will implement the
Archives Unlocked Workforce
Development strategy to
create a more diverse and
inclusive sector.
| We will develop the | Archives |
|-------------------------------|------------------|
| Unlocked | Digital Capacity |
| strategy, and establish | |
| ourselves as a 'Teaching | |
| Archive' where archivists can | |
| gain hands-on experience | |
| managing digital records, | |
| delivering a pilot course. | |
Partially achieved. The technical design and tender stages were more complicated and lengthier than allowed for in the original schedule. Completion of the new learning spaces has therefore extended into 2020- 21 with handover due in June/ July 2020.
Achieved. Achieved. Achieved.
Generate from our collection and expertise the cuttingedge research opportunities and commercial offers that will realise value and open out more of our collection.
We will transform our culture, explore commercial opportunities and seek freedoms to deliver the revenue and contribution growth envisaged in our Commercial Strategy.
We will enhance our research capability, work with partners to develop funded research bids and deliver academic events that address our research priorities.
Secure the future of the
government record as an
essential resource for public
servants and the people -
providing legal certainty
through legislation.gov.uk
and historical perspective
through our collection.
We will lead work to revise the statutory Code of Practice on the management of records and create a new digital service for government departments to transfer records to The National Archives, with at least one transfer made using a working prototype of the new service. We will aid legal certainty as the UK exits the European Union by developing legislation.gov.uk and the Web Archive, extending the scope of the revised legislation on legislation.gov.uk and qualitatively improving the user experience of both services.
Achieved. Achieved. Partially achieved. Final clearances, consultation and publication delayed owing to COVID-19-related service disruption. A prototype transfer of a digital records service was completed. Achieved.
We will research, develop and publish new practices for managing preservation risk over time, including a theory of technological change for the digital archive.
## Lead The World In Reimagining Archival Practice For The 21St Century, Pioneering New And Ethical Approaches To Appraisal And Selection, Description, Digital Preservation And Access.
Partially achieved. We researched and developed new practices including a first version of a digital preservation risk model. We presented a theory of technological change to other archives but final publication was delayed due to the impact of the COVID-19 pandemic. Not achieved. Submission of a funding bid was postponed owing to the impact of COVID-19 on funders' priorities.
We will seek to win funding to develop an ultra-low cost, bare bones digital preservation solution that could be deployed by archives worldwide.
## Performance Against Our Input And Impact Indicators
To ensure we can be held accountable as we move forward in delivering our strategic priorities, underpinned by the government's Transparency agenda, we also publish a number of discretionary (non-financial) indicators on our website, which include staff engagement and diversity.
Our input and impact indicators demonstrate our overall performance as an organisation, our commitment to quality, and illustrate evidence of the effectiveness of the priorities set out in our business plan. They are presented as year-on-year comparisons so that we can track our progress within any given year.
Our input and impact indicators demonstrate our overall
performance as an organisation, our commitment to quality,
and illustrate evidence of the effectiveness of the
priorities set out in our business plan.
## Performance Against Our Input Indicators
| Input indicator | 2019-20 Outcome | 2018-19 Outcome |
|-------------------------------|-------------------|-------------------|
| Original records delivered to | | |
| on site users | | |
| 508,284 | | |
| 9 | | |
| | 518,593 | |
| Electronic records delivered | | |
| to online users | | |
| 371,728,677 | 274,332,549 | |
| Staff diversity: | | |
| Women | 52.6% (average) | 50.5% (average) |
| Top management women | 52.9% (average) | 50.0% (average) |
| Black and Minority Ethnic | 17.8% (average) | 18.8% (average) |
| Disabled | 5.8% (average) | 9.9% (average) |
| Staff engagement (as | | |
| reported by the Civil Service | | |
| People Survey) | | |
| 71% | 67% | |
| 93% of documents delivered to | | |
| users within one hour | | |
| 95% of documents delivered to | | |
| users within one hour | | |
| Time taken to deliver | | |
| original records to on site | | |
| users | | |
| 91% of enquiries responded | | |
| to within statutory deadlines | | |
| 95% of enquiries responded to | | |
| within statutory deadlines | | |
| Time taken to respond to | | |
| Freedom of Information, and | | |
| Environmental Information | | |
| Regulation requests | | |
| Total departmental spend | £32.6 million | £30.8 million |
| Input indicator | 2019-20 Outcome | 2018-19 Outcome |
| Staff sick absence | | |
| 6.1 days per member of staff | | |
| (average) | | |
| 5.1 days per member of staff | | |
| (average) | | |
| Outstanding effects on | | |
| legislation.gov.uk | | |
| 63,288 amendments applied | | |
| to primary legislation on | | |
| legislation.gov.uk | | |
| 62,129 amendments applied | | |
| to primary legislation on | | |
| legislation.gov.uk | | |
| Number of physical records | | |
| accessioned | | |
| 72,899 pieces | | |
| 2,018 metres | | |
| 69,974 pieces | | |
| 1,343 metres | | |
## Performance Against Our Impact Indicators
| Input indicator | 2019-20 Outcome |
|------------------------------|------------------------|
| Web continuity | |
| 10 | |
| | Web Archive Services - |
| Sessions | |
| Total: 3.8 million | |
| Web Archive Services - Users | |
| Total: 3 million | |
| 87% | |
| 53% | |
| 79% | |
| Customer satisfaction % | |
| On site users | |
| Online users | |
| legislation.gov.uk users | |
| 11 | |
| | |
| 2 Information Management | |
| Assessments completed | |
| Records and information | |
| management services used | |
| across government | |
| 12 | |
| | |
| 2 Information Management | |
| Assessment reports published | |
| 1 action plan published | |
| 1 annual review report | |
| published | |
| 3 formal review meetings | |
| undertaken | |
Further details of how we measure our performance can be found on our website under the section Our role which includes our long-term strategic plans and our transparency reporting.13
10
What was previously referred to as UK Government Web Archive 'visits' are now termed 'sessions'; what formerly was 'visitors' is now termed 'users'. This is to be consistent and clear with respect to our analytics data, which now uses Google Analytics. The effect of this is to reduce the headline figure in comparison to server log analysis, which was our previous method. Furthermore, we are now reporting usage metrics for two web archive services: the UK Government Web Archive (http://www.nationalarchives.gov.uk/webarchive/) and the EU Exit Web Archive (https://
webarchive.nationalarchives.gov.uk/eu-exit/).
11
The online users' satisfaction survey results are down this year as we were not able to get responses from the full range of people due to the COVID-19 crisis.
12
The Information Management Assessment (IMA) programme is currently being evaluated. This means that these figures will not be included the next annual report for 2020-21. The assessment criteria will be updated, and we will also aim to widen the number of public record bodies who can benefit from it. A publication model for this new iteration of the programme is to be decided. As a result, assessment numbers and publication figures will not be included in the annual report until the new assessment programme has been developed, trialled and implemented. Please see: nationalarchives.gov.uk/information-management/manage-information/ima/ima-reports-action-plans/ for all previously published reports and action plans. Progress on a refreshed programme will be communicated in due course.
13
nationalarchives.gov.uk/our-role
Visits to the UK Government Web Archive: Total 5 million Visitors to the UK Government Web Archive: Total 3.9 million
92% 64% N/A
2 Information Management Assessments completed 1 Information Management Assessment report published 1 action plan published 1 annual review report published 2 formal review meetings undertaken
## Environment And Sustainability
to the flood defences of the local area, supporting the Environment Agency and the Port of London Authority's Thames flood defence maintenance work.
During 2019-20, we continued to reduce the environmental impact of our operations. We achieved a 74% reduction in carbon emissions compared with the baseline year of 2009-10, and against the government target of a 32% reduction.
■
Communicated regularly with our neighbours and local residents regarding planned maintenance and project works.
We have worked to meet and exceed our obligations under the Greening Government Commitments14 sending no waste to landfill and reducing the overall waste we produced by 51% compared with the baseline year of 2010-11, against a target of a 30% reduction.
■
Hosted quarterly Police Liaison Group meetings with the Metropolitan Police Service Safer Neighbourhood Team, local neighbourhood watch representatives, residents of the Kew ward, and local councillors.
We also continued to reduce our use of domestic flights and our paper consumption.
■
Provided meeting space for local societies and resident groups' community-focused activities.
In 2019-20, we used 30% less water compared with the 2009-10 baseline year, which represents a 6% decrease compared with the previous year.
■
Continued membership and participation with the Richmond Chamber of Commerce and key employers across the borough.
For further information, please see Sustainability accounting and reporting (Annex A) on page 94. We continued to support the local community in the following ways:
■
Liaised with the Swan Sanctuary for monitoring the wellbeing of resident wildfowl on our grounds.
■
Supported the London Borough of Richmond upon Thames' environmental initiatives.
Jeff James,
■
Maintained our grounds and ornamental ponds in accordance with our biodiversity plan, as a local amenity for our staff, visitors and local residents to enjoy. The grounds are open to the public from dawn until dusk, 364 days of the year and remained open during the COVID-19 crisis, subject to social distancing requirements.
Chief Executive and Keeper,
16 July 2020
■
Maintained our surface water drainage arrangements to meet our obligations
## Accountability Report 2 2. 1 Corporate Governance Report Statement From Lesley Cowley Obe, Chair Of The National Archives' Board
This year has been the first year of Archives for Everyone, The National Archives' new four-year strategy which sets out how the organisation will become a 21st century national archive that can best serve the nation, and bring archival collections to life for more audiences.
continues to review its own practices and effectiveness. As part of this work, I am pleased that we have agreed proposals to recruit a fifth Non-executive Board member to assist our thinking on inclusion. We hope to attract an individual that can bring a fresh and varied professional perspective from their experiences. We will also undertake an action plan for making the Inclusive Archive a reality.
Throughout the year, the Board was pleased to oversee progress and completion in several significant areas of this strategy. Highlights included the launch of The National Archives Trust in February, and a new brand and visual identity for the organisation, which is aligned to our aim to engage broader and diverse audiences, designed to be adaptable for the digital age.
At the time of writing, the impact of the COVID-19 pandemic poses many challenges for the next stages of *Archives for Everyone*.
For the first time in a generation, The National Archives closed its doors to visitors and we therefore decided to provide our digital downloads for free during the closure. The first part of 2020 has been a truly challenging time for everyone and for many organisations. Like many others, we have had to undergo rapid and often wholescale adjustments in how we operate. Throughout this difficult period, I have been hugely impressed by the dedication of our people. In addition, the care and compassion for others that I have seen from staff and colleagues has been both humbling and inspiring. I would like to thank everyone who works with and for The National Archives, and my fellow Board members for their commitment, energy and support during the year.
With *Archives for Everyone* comes the call to work in partnership with other organisations in championing why archives matter. The potential for current and emerging new technologies to make this happen has never been more important. Work is under way to update and refresh The National Archives' digital strategy and marrying it to the key principles in *Archives for Everyone*: Inclusive, Entrepreneurial and Disruptive. Throughout its lifecycle, the digital strategy has been well-received by peers across the UK and internationally. Realising its aims remains a significant challenge, but it is important to take the necessary steps to establish best practice and standards in digital preservation, together with greater access to records.
Lesley Cowley OBE, Chair of The National Archives' Board, The National Archives is serious about fulfilling its obligations to develop new opportunities in making archives inclusive, relevant and accessible. With this in mind, the Board
## Directors' Report
About The National Archives Our remit is summarised on pages 10 to 21 of this report.
| Directorate/Function |
|-----------------------------|
| Chief Executive and |
| Keeper |
| Jeff James, Chief Executive |
| and Keeper |
| Public Engagement |
| Caroline Ottaway-Searle, |
| Director of Public |
| Engagement |
| Operations |
| Paul Davies, |
| Operations Director |
| Research and |
| Collections |
| Valerie Johnson, |
| Director of Research and |
| Collections |
## Management And Structure
During the year under review, our duties were carried out by the following directorates and functions.
Our future direction and current performance, and is accountable to ministers for both. As Keeper of Public Records and Historical Manuscripts Commissioner, they hold the offices of Queen's Printer of Acts of Parliament (responsible for publishing all UK legislation, and the official newspapers of record, *The Gazette*); Queen's Printer for Scotland and Controller of Her Majesty's Stationery Office; and the office of Government Printer for Northern Ireland. Our public engagement strategy, and developing on site, online, and remote learning and engagement programmes for the public and wider educational audiences. Our business-critical functions, including the estates and facilities, security, IT operations, corporate and strategic planning, and human resources. Our research, academic engagement and conservation programmes using our collections to enhance access. Our active support for the archives sector to secure the best possible long-term future for their collections and services.
Digital
John Sheridan, Digital Director
Finance and Commercial
Neil Curtis, Finance and Commercial Director
Lucy Fletcher, Director for Government and Information Rights
Government and
Information Rights15
Further information about the organisation and directorate functions can be found on our website on the Our Staff web pages at: nationalarchives.gov.uk/about/our-role/transparency/our-staff
Our digital services, enabling us to fulfil our ambition to become a digital archive by instinct and design. To provide strategic direction, transform our digital offer, and to shape and drive forward our cataloguing and web-based services. Our financial and procurement functions, and driving the development of our commercial capacities in new and innovative ways.
Our offer to government, providing expert advice and guidance to government departments and public bodies, driving strategic compliance with statutory obligations including the transition to the 20-year rule; and enabling the growth of digital capability for the future preservation of born-digital government records.
responsibilities. For further details on related party transactions, see page 93.
The National Archives' Board16
The National Archives' Board is the main governance body of the organisation. It consists of the Chief Executive, six Executive Directors, Chair of the Board and three Nonexecutive Board members, who are:
## Lesley Cowley Obe Chair Of The The National Archives' Board
Audit The financial statements have been audited by the National Audit Office on behalf of the Comptroller and Auditor General. The audit fee was £75,000 (see Note 3 to the accounts). The National Audit Office did not provide any nonaudit services during the year.
Dr Claire Feehily Non-executive Board member, Chair of the Audit and Risk Committee
## Baroness (Ros) Scott Of Needham Market, Non-Executive Board Member Mark Richards Non-Executive Board Member
As far as the Accounting Officer is aware, there is no relevant audit information of which the National Audit Office is unaware. The Accounting Officer has taken all steps necessary to keep themselves informed of any relevant audit information and to establish that the entity's auditors are notified of that information.
Read more about our Executive Team: nationalarchives.gov.uk/about/our-role/ executive-team and Board members: nationalarchives.gov.uk/about/our-role/ management-board on our website.
Public sector information The National Archives has complied with the cost allocation and charging requirements set out by HM Treasury. We are one of the public sector bodies now brought fully within the scope of the Re-use of Public Sector Information Regulations 2015 and we have taken steps to ensure that we comply with those Regulations, including publishing a statement of our public task.17
## Company Directorships And Other Significant Interests Held By Board Members No Company Directorships Or Other Significant Interests Are Held By Current Members Of The Board That May Conflict With Their Management Governance Statement
■
uphold the values of the organisation as well as those expressed in the Seven Principles of Public Life.19
The National Archives' Board is the main governance body of the organisation. It consists of the Chief Executive, six Executive Directors, Chair of the Board and three Non-executive Board members. The Board is attended by the Head of Strategy and Chief Executive's Office and the Head of Governance.18 Formal Board meetings take place ten times a year; in addition, the Board typically has one or two strategy days. Supporting and informing the work of the Board are the Audit and Risk Committee and the Nominations and Governance Committee.
The Board has a rolling agenda. Fixed agenda items include monthly financial reporting, quarterly business and performance reporting and corporate risk register review. The Board also reviews budget and strategic priorities and scrutinises major procurement and policy decisions affecting our future strategic direction. Summaries of the discussions at Board meetings are available at: nationalarchives.gov.uk/about/our-role/ management-board/meeting-summaries/
The National Archives' Board is responsible for ensuring that the leadership of The National Archives:
■
sets the strategic direction and makes strategic choices
The Board is content that the data with which it is provided is adequate, timely and comprehensive, and there are robust arrangements for reviewing and checking data.
■
provides leadership in the delivery of statutory, corporate and business responsibilities
■
makes key investment, procurement and project decisions that withstand scrutiny
■
identifies and manages risks effectively
All Board members meet formally and informally with other senior managers and may be members of specific high-profile project and programme boards as required. We have an active group of Non-executive Board members who also engage closely with the business to give strong assurance and governance.
■
encourages improvements in performance across the organisation
■
takes corporate responsibility for its decisions and their implementation.
## The Role Of Board Members Is To:
The Board undertakes an annual review of its effectiveness, using a survey of its members to inform in-depth discussion. This year, the Board again concluded that it was working well, but could increase its focus on strategic items and horizon scanning.
■
provide effective challenge through open debate on Board matters
Challenge on performance of the Board is provided by the Non-executive Board members and other Board members. In this, the Board is informed by findings of the
■
ensure the right information and evidence is available to make decisions, measure performance and provide assurance
19
https://www.gov.uk/government/publications/the-7-principles-of-public-life
latest internal audit of The National Archives' governance structures.
invited to attend and may ask any question about the running of the organisation or current concerns. Any questions may be submitted anonymously in order to encourage openness.
The Executive Team The Executive Team is the decision-making body of the organisation. It consists of the Chief Executive and Keeper and Executive Directors. The Head of Strategy and Chief Executive's Office and/or a Deputy also attend Executive Team meetings which were typically held weekly during 2019-20. The role of the Executive Team is to:
The Audit and Risk Committee The Audit and Risk Committee is a subcommittee of the Board to support the Accounting Officer and Board members in their responsibilities for issues of risk, internal control and governance, and associated assurance by:
■
fulfil The National Archives' statutory responsibilities and deliver its strategic and business priorities
■
reviewing the effectiveness of the assurance framework in meeting the Board/Accounting Officer's assurance needs
■
drive and manage improvements in business and financial performance
■
reviewing the reliability and integrity of these assurances
■
drive innovation, transparency and efficiencies that support delivery of strategic objectives and give value for money
■
identify high-level risks, ensuring their effective mitigation and business continuity
■
providing an opinion on how well the Board and the Accounting Officer are supported in decision-taking and in discharging their accountability obligations (particularly in respect of Financial Reporting).
■
review and agree corporate policies
■
direct and support managers to deliver key investments and major projects
■
lead strategic staff management and resourcing.
The business of the Executive Team is managed in a way that is inclusive, regularly inviting business updates from the staff members responsible for delivery. The Executive Directors are responsible for cascading summaries of Executive Team business to the rest of the organisation.
The Audit and Risk Committee meets quarterly and is the main oversight committee for the organisation. Membership comprises of the Chair of the Audit and Risk Committee, another Non-executive Board member and an appointed independent member. Additional Non-executive Board members may be coopted when needed. Other attendees at each meeting are the Chief Executive and Keeper and Accounting Officer, the Finance and Commercial Director, the Operations Director, representatives from our external auditors from the National Audit Office, representatives from the Internal Auditors (BDO UK LLP) and the Corporate Performance and Transparency Manager (Secretary). Traditionally, other Nonexecutives, Executive Directors and senior staff Informal challenge encourages staff to bring real issues to the Executive Team's attention. In addition, Directors attend 'question and answer' sessions. All members of staff are members may be invited to attend particular meetings for discussion of individual agenda items.
to the Committee. For the reporting year, the internal annual opinion was that there is an adequate and effective system of governance, risk management and internal control in place throughout The National Archives.
In November 2019, the Committee undertook a review of its effectiveness using a selfassessment checklist enabling qualitative and quantitative results. The summary report was presented to the December 2019 Committee meeting and concluded that the results had been broadly positive, with a small number of recommendations. These included papers presented providing greater analysis and evidence of lessons learned particularly in relation to larger projects; the Chair of the Committee reviewing opportunities to involve the Executive Team more widely on Audit and Risk Committee matters (outside of Committee meetings); and the Head of Governance ensuring that committee members are kept up to date on any relevant regulatory and legal developments.
This very positive opinion was formed following an upward trend in the direction of travel regarding internal control at The National Archives, demonstrated by a significant increase in the number of green audit ratings, and a decrease in amber audit ratings for individual reviews over the last two years. Ultimately, this was combined with a very proactive and thorough response by management, to ensure almost all of internal audit recommendations were fully implemented by their agreed completion dates. The Board and management will continue to seek out the areas of potential weakness in the control framework and take remedial action where necessary. The Committee maintains a list of risk assurance processes and items to be reported to each meeting to structure its agenda. The list encompasses a number of regular updates during the year. This year these included:
■
Recommendations from internal audits and progress on the implementation of recommendations: the Committee received assurance that management was taking appropriate action to fully implement Internal Audit recommendations, or provided business justification if implementation deadlines (which are set by the owner as part of their management response to each recommendation) were not met.
Proposed areas for internal audit focus are informed by discussions with the Committee and the Executive Team, together with the internal auditors' understanding of our control environment, the Corporate Risk Register, and results of previous work performed. Reports from the internal auditors are copied to Committee members as soon as they are finalised. The Committee monitors the implementation of recommendations made by the internal auditors, taking reports and evidence of progress as a standing agenda item. Any overdue recommendations are reported to the Executive Team in advance of each Committee meeting, and Executive Directors may be called to appear before the Committee to account for slippage on implementation dates.
■
Fraud risk assessment: this gave the Committee further assurance we have a good culture of fraud awareness and mitigation and highlighted any new areas
The internal auditors also conduct an annual review to follow up their recommendations, which provides further independent assurance for potential fraud.
■
Accountability Statements: this annual update provided the Committee with assurance that business as usual risks were being managed effectively throughout the organisation.
■
Security (including information assurance, cyber security risks, and data handling): the Committee noted that there were no significant breaches of security. It was also given assurance that our performance against HMG Minimum Security Standards was assessed via the Departmental Security Health Check return to the Cabinet Office.
In addition, the Committee received regular updates and progress reports on other issues of particular interest. This year these included assurance regarding plans for the setting up of The National Archives Trust, details of the Digital Archiving Core Trust Seal and a progress report on the first phase of the Arabian Gulf Digital Archive Project.
■
Health and safety: this gave the Committee assurance that we remain a safe working environment for staff, visitors and contractors, and comply with legal requirements.
■
Environment and sustainability: this gave the Committee assurance that we are on track to meet Greening Government Commitments.
The Nominations and Governance Committee The Nominations and Governance Committee is a key forum for discussion of leadership development and succession planning, and the decision-making body for the pay and bonuses of all our senior civil service staff except for the Chief Executive and Keeper.
■
HR Governance: this gave the Committee understanding of the current human resource risks, and provided assurance that avenues for confidential reporting within our organisation were understood and had been tested.
■
Safeguarding Report: this report gave the Committee assurance that we are fulfilling our statutory responsibilities.
■
Procurement Report: this bi-annual update gave assurance to the Committee that there is excellent oversight and management of any potential risks and opportunities associated with our procurement and commercial activities.
The Nominations and Governance Committee meets a minimum of twice a year. Pay increases are in line with guidance provided by the Cabinet Office, which hears the outcome of the Review Body on Senior Salaries, and sets the pay policy for senior salaries across the civil service. The Committee ensures that there are satisfactory systems for identifying and developing staff with high potential. It is chaired by the Chair of The National Archives' Board and membership consists of all Nonexecutive Board members, the Chief Executive and Keeper in an advisory capacity, and the Head of Human Resources and Organisational Development provides secretarial support.
■
Risk Management Policy and Risk Appetite: the Committee received assurance that our appetite and tolerance for risk management control within various areas of the business were adequate and effective.
The Corporate Governance Code As a non-ministerial department, we adopt and adhere to HM Treasury's Corporate Governance in Central Government: Code of Good Practice 2017 to the extent that it is practical, appropriate and not incompatible with any statutory or other authoritative requirements. We periodically review the Board's effectiveness and corporate governance to ensure that it aligns with good practice elsewhere across government - taking into account its unique role and responsibilities, and the statutory and non-statutory roles fulfilled by its senior officials. The current structure enables the Non-executive Board members to challenge the Chief Executive and Keeper and Executive Team, to clearly position it as an advisory body, and to shape the Board agenda.
| Name | Role | Board |
|--------------------|------------------|---------|
| Audit and Risk | | |
| Committee | | |
| Jeff James | | |
| Chief Executive | | |
| and Keeper | | |
| 10 of 10 | 3 of 4 | 2 of 2 |
| Neil Curtis | | |
| Finance and | | |
| Commercial | | |
| Director | | |
| 9 of 10 | 4 of 4 | N/A |
| Paul Davies | | |
| Operations | | |
| Director | | |
| 9 of 10 | 3 of 4 | N/A |
| Lucy Fletcher | | |
| 10 of 10 | N/A | N/A |
| Director for | | |
| Government | | |
| and Information | | |
| Rights | | |
| Dr Valerie | | |
| Johnson | | |
| Director of | | |
| Research and | | |
| Collections | | |
| 8 of 10 | N/A | N/A |
| Caroline | | |
| Ottaway-Searle | | |
| Director of Public | | |
| Engagement | | |
| 9 of 10 | N/A | N/A |
| John Sheridan | Digital Director | 9 of 10 |
| Lesley Cowley | | |
| OBE | | |
| Chair of the | | |
| Board | | |
| 9 of 10 | N/A | 2 of 2 |
Attendance at Board meetings and the Audit and Risk Committee for the Chief Executive, Executive Directors and Nonexecutive Board members Formal Board meetings take place ten times a year. In addition, the Board typically has one to two strategy days. The Chief Executive and Keeper, Executive Directors, and Nonexecutive Board members attended the following numbers of Board and Committee meetings (for which they were eligible to attend) during the year:
Nominations and Governance Committee
Dr Claire Feehily
Non-executive Board member
9 of 10
4 of 4
2 of 2
Robert Milburn
N/A
4 of 4
N/A
Independent member of the Audit and Risk Committee
Mark Richards
Non-executive Board member
10 of 10
4 of 4
2 of 2
Non-executive Board member
10 of 10
N/A
2 of 2
Baroness (Ros) Scott of Needham Market
score, remedial action is taken where possible to reduce either likelihood or impact, where it is cost-effective to do so.
Managing our risks We have a well-established approach to the management of risk at all levels. It encourages risk management as an enabling tool to balance risk and innovation across the organisation. In 2019-20, our risks fell under the following categories:
■
Financial
■
Operational
■
Reputational: general
The Executive Team has identified a set of corporate risks, linked to our business priorities and informed by internal developments, external influences and longer-term commitments. These risks, if not managed, would compromise our ability to provide our statutory services or diminish these services to a degree unacceptable to our users. Each corporate risk is owned by a member of the Executive Team and they are regularly reviewed by the Executive Team, the Board, and the Audit and Risk Committee.
■
Reputational: ministers, MPs and government
■
Compliance: legal, regulatory and data.20
Our most significant risks in terms of residual risk scores are outlined as follows:
The degree of risk is measured by considering likelihood and impact. To describe our appetite for each category of risk, the Executive Team sets maximum 'residual risk' scores based on the risk categories described above, and the Board expects that risks at all levels across the organisation will be managed within these scores. Where a risk exceeds its residual risk COVID-19: there is a risk that a) our response to the COVID-19 pandemic, i.e. the closure to public and staff of our building and the transition to a largely 'virtual' home-working organisation for an as yet unknown period, and b) the impact of the virus itself, may impact on our ability to deliver our statutory duties and other obligations.
Overview of controls in place:
the digital transfer processes
■
following all government COVID-19 related instructions and guidance
■
growth of the Digital Archiving teams through recruitment and apprenticeships
■
The National Archives' Pandemic plan reviewed, updated and implemented
■
skills development though learning days and training
■
active collaboration with other archives nationally and internationally
■
closure of Kew site to staff and public, with minimal essential ongoing on site presence, enabled by enhancements to our capability to work off site
■
completion of this year's business priorities and continued recruitment to the Digital Archiving team resulted in this risk being brought into appetite in February 2020.
■
regular communication to staff, stakeholders (including DCMS) and the public
Threat to archive services: there is a risk that financial constraints lead to pressure on archives. Overview of controls in place during the year:
■
identification of business critical functions and their 'on site' dependency, with ongoing monitoring via the Major Incident Management Team of our capacity to deliver in business critical areas
■
legal confirmation of our statutory obligations in terms of Places of Deposit has been obtained
■
Major Incident Management Team meeting regularly to plan the re-occupation of our building and restoration of services
■
dedicated COVID-19 risk register created.
■
ongoing advocacy and support by The National Archives to reinforce the role of Places of Deposit and the importance of retaining records locally
■
intelligence gathering enables early preventative intervention by The National Archives
Failure to meet the challenges of digital: there is a risk that we fail to address the challenges of being a digital archive, for example, not developing suitably scalable systems, not growing and developing our expertise, not moving quickly enough to respond to technological change. Overview of controls in place during the year:
■
working with Business Archives Council-led Crisis Management Team to save and find a home for business records at risk and building relationships with liquidators to support this work.
## Other Strategic Risks Considered And Mitigated Include:
■
the Board's review of the Digital Strategy 2017-19 recorded significant progress to date, commissioning an updated digital strategy for 2020-24 aligned to Archives for
Everyone
■
prioritising mitigating preservation risk, through measurement and experimentation, as well as streamlining
■
Transition to the 20-year rule: there is a risk that we fail to provide sufficient support, resources and/or expertise to government departments regarding the transition to the 20-year rule.
■
The UK's Exit from the European Union: there is a risk that we fail to prepare sufficiently for the end of the transition period the UK has agreed with the EU, for example in relation to our legislation services and the duty in the EU (Withdrawal) Act 2018.
We expect that, over time, most directorate risks will be managed as 'business as usual'; exceptionally, directorate risks may be escalated to the corporate risk register. At operational level, risks are managed on a day-to-day basis. The Executive Directors receive assurance on operational risks through six-monthly accountability statements from their direct reports. These statements are reviewed by the Directors and approved by the Chief Executive and Keeper. Any significant governance or performance issues highlighted are raised with the Audit and Risk Committee.
■
Failure to exploit and benefit from commercial opportunities: there is a risk arising from us not currently enjoying the commercial freedoms of museums and galleries, together with an organisational lack of a commercial culture and limited commercial expertise.
Authors of accountability statements assess the maturity of risk management in their areas of responsibility and provide evidence for their assessment. Authors are also required to provide assurance that their staff comply with key corporate policies, including the:
■
Staff, leadership and culture: there is a risk that leadership and management do not deliver the required shift in organisational culture that results in an effective and engaged, diverse and inclusive workforce.
■
fraud policy
■
anti-bribery policy
■
conflict of interest policy
■
routes for confidential reporting ('whistleblowing')
■
Civil Service Code.
Identifying and managing risk is not a barrier to efficiency, effectiveness or innovation, and managing our corporate risks has a minimal effect on our activities unless additional controls need to be introduced. As far as possible, we incorporate risk mitigations into our business-as-usual activities, reinforcing the message that risk management is the responsibility of all staff.
Short and medium-term additional governance structures are introduced for high-value projects and programmes as appropriate.
Risks below corporate level are managed, reviewed and updated at least quarterly by the Executive Directors and their management teams. A directorate's risk register captures what are considered exceptional risks. These will normally:
■
be finite
We are satisfied that we manage and mitigate risks, and where necessary, that we take action to contain the impact of risk. We are confident that our risk management approach is comprehensive, allowing the Executive Team to identify early, and respond to, any possible threats to the achievement of our objectives.
■
require new or enhanced risk mitigation or control
■
be clearly linked with an organisation or service priority.
At a corporate level, our risks are aligned with our strategic priorities set out in Archives for Everyone our business plan for 2019- 2023, which focuses on the organisation's goals of becoming the Inclusive Archive, the Entrepreneurial Archive and the Disruptive Archive.
Our Health and Safety Committee and Employee Forums seek feedback from stakeholders on individual pieces of work (e.g. volunteers or workers in specific risk groups) and ensure that information is cascaded at all levels. By focusing our attention on culture, we have ensured that our values and behaviours are inclusive of health, safety and wellbeing and that these are embedded within our learning and development programme and policies.
Health and safety We are committed to high standards of health and safety management and welfare. The Chief Executive and Keeper remains committed to enabling a positive safety culture and we are aware that this can only become a reality if everyone in the workplace understands and acts on their individual and collective responsibilities. Today, more than ever, our staff are working collaboratively with their colleagues, to embed this change and create a safe work culture. However, we all have a personal responsibility for observing safety policies, rules and procedures.
We continue to influence and encourage safety behaviour through assessments and direct interventions including inspections and investigations with stakeholders, to create and share knowledge and awareness of health and safety risks. We will continue to raise and maintain awareness through guidelines, internal communications, department health and safety audits, staff training, and to ensure these are available to internal and external parties through our intranet and website.
Effective health and safety management improves safety performance and reduces work related injuries and ill health. Part of our objectives are to avoid accidents, injuries and ill-health to our staff, and visitors and to prevent damage to property and to conserve the environment. To achieve this, we are committed to the following principles:
■
establishing arrangements for effective organisational planning, monitoring and reviewing of health and safety policies and procedures
In response to the COVID-19 pandemic and in accordance with government guidance, we closed our building on 17 March 2020 and the majority of staff are currently working from home. We continue to provide health and safety support, including equipment and furniture to those who require it.
■
setting ourselves challenging targets and objectives to ensure continual improvement in standards of health and safety management
■
communicating to all managers, staff and contractors through regular updates and discussions
■
complying with relevant health and safety legislation and other requirements
Confidential reporting (whistle-blowing) Staff and contractors have access to our Confidential Reporting (Whistle-blowing) policy. This provides access to the Chair of the Audit and Risk Committee, or to the Chief Executive and Keeper, who support the individual in raising their concerns. Staff and contractors are reminded of the policy during the year, including how to raise concerns. During the year, one concern was raised and dealt with under these policy arrangements.
■
encouraging the use of industry best practices.
General Data Protection Regulations There were no personal data-related incidents in the reporting period.
Information risk We continue to work hard to demonstrate that we are an exemplar in the field of information risk within UK Government.
## Statement Of Accounting Officer'S Responsibilities
for the annual report and accounts and the judgements required for determining that it is fair, balanced and understandable
■
prepare the accounts on the going concern basis.
Under the Government Resources and Accounts Act 2000, HM Treasury has directed The National Archives to prepare, for each financial year, resource accounts detailing the resources acquired, held, or disposed of during the year and the use of resources by The National Archives during the year.
HM Treasury has appointed Jeff James, Chief Executive and Keeper, as Accounting Officer of The National Archives with responsibility for preparing The National Archives' accounts and for transmitting them to the Comptroller and Auditor General.
The accounts are prepared on an accruals basis and must give a true and fair view of the state of affairs of The National Archives and of its net resource outturn, application of resources, changes in taxpayers' equity and cash flows for the financial year. In preparing the accounts, the Accounting Officer complies with the requirements of the Government Financial Reporting Manual and in particular to:
The responsibilities of an Accounting Officer, including responsibility for the propriety and regularity of the public finances for which an Accounting Officer is answerable, for keeping proper records and for safeguarding the department's assets, are set out in Managing Public Money published by HM Treasury.
■
observe the Accounts Direction issued by HM Treasury including the relevant accounting and disclosure requirements, and apply suitable accounting policies on a consistent basis
■
make judgements and estimates on a reasonable basis
As the Accounting Officer, I have taken all the steps that I ought to have taken to make myself aware of any relevant audit information and to establish that The National Archives' auditors are aware of that information. So far as I am aware, there is no relevant audit information of which the auditors are unaware.
■
state whether applicable accounting standards, as set out in the Government Financial Reporting Manual, have been followed, and disclose and explain any material departures in the accounts
Jeff James Accounting Officer
■
confirm that the annual report and accounts as a whole are fair, balanced and understandable, and personal responsibility
## 2.2 Remuneration And Staff Report Senior Civil Service Grades
but also includes the circumstances when appointments may otherwise be made. The Recruitment Principles published by the Civil Service Commission specify the circumstances when appointments may be made otherwise.
The remuneration of senior civil servants is set by the Prime Minister following independent advice from the Review Body on Senior Salaries. In reaching its recommendations, the Review Body has regard to the following considerations:
■
the need to recruit, retain and motivate suitably able and qualified people to exercise their different responsibilities
Unless otherwise stated below, the officials covered by this report hold appointments that are open-ended. Early termination, other than for misconduct, would result in the individual receiving compensation as set out in the Civil Service Compensation Scheme.
■
regional/local variations in labour markets and their effects on the recruitment and retention of staff
■
government policies for improving public services, including the requirement on departments to meet the output targets for the delivery of departmental services
Jeff James' appointment as Chief Executive and Keeper was confirmed by the Ministry of Justice on 29 July 2014 until 28 July 2018 and was extended for a further four-year term from 29 July 2018 by the Department for Digital, Culture, Media and Sport.
■
the funds available to departments as set out in the government's departmental expenditure limits
■
government's inflation target.
Lesley Cowley OBE and Dr Claire Feehily were appointed from 1 January 2016 as Non-executive Board members on a threeyear contract. Lesley Cowley's contract was extended until the 31 December 2021 and Claire Feehily's contract was extended until the end of May 2021. Baroness (Ros) Scott of Needham Market and Mark Richards were appointed as Nonexecutive Board members from 21 May 2018 on a three-year contract.
The Review Body takes account of the evidence it receives about wider economic considerations and the affordability of its recommendations. Further information about the work of the Review Body can be found on the Office of Manpower Economics web pages on GOV.UK.21
Service contracts can also be terminated under the standard procedures of the Civil Service Management Code.
Service contracts Civil service appointments are made in accordance with the Civil Service Commissioners' Recruitment Code. The Code requires appointments to be made on merit, on the basis of fair and open competition, Further information about the work of the Civil Service Commissioners can be found at
www.civilservicecommission.org the basis of their formal appraisal and subsequent pay and bonus recommendations. This information is used by the Nominations and Governance Committee to determine pay awards, according to the Review Body on Senior Salaries' annual recommendations.
The Nominations and Governance Committee The policy on remuneration of senior civil servants, and the deliberations of the Nominations and Governance Committee, adhere to Cabinet Office policy, which follows the guidance and recommendations of the Review Body on Senior Salaries.
The monetary value of benefits in kind covers any benefits provided by the department and treated by HM Revenue and Customs as a taxable emolument. Bonuses are based on performance levels attained and are made as part of the appraisal process. Bonuses paid in a year relate to performance in the preceding year. As such, bonuses reported in 2019-2020 relate to performance in 2018-19 and the comparative bonuses reported for 2018-19 relate to performance in 2017-18.
Salary and bonuses Salary includes: gross salary, overtime, reserved rights to London weighting or London allowances, recruitment and retention allowances; and any other allowance to the extent that it is subject to UK taxation. This report is based on accrued payments made by the department and thus recorded in these accounts. Percentage salary increases, and performance bonuses, are agreed by the Nominations and Governance Committee in accordance with strict guidance and parameters set each year by the Cabinet Office.
The following sections provide details of the remuneration and pension interests of the most senior officials (i.e. Board members) of the department.
Senior staff have written objectives agreed with the Chief Executive and Keeper. Performance against these objectives, and against The National Archives' values, forms The salary, pension entitlements and the value of any taxable benefits in kind of the Chief Executive and Keeper, Associate Director and Non-executive Board members of The National Archives, were as follows (audited):22 23
2019-20
Pension
benefits
£'000
Total
£'000
Salary and
FYE (full-year,
full-time
equivalent)
£'000
Bonus
£'000
Benefit in kind
£
Jeff James Chief Executive and Keeper
120-125
-
-
48
170-175
Neil Curtis Finance and Commercial Director
95-100
10
-
38
145-150
Paul Davies Operations Director
85-90
-
-
28
115-120
Lucy Fletcher Director for Government and
Information Rights24
80-85
-
-
32
110-115
Dr Valerie Johnson Director of Research and Collections
85-90
-
-
33
120-125
Caroline Ottaway-Searle Director of Public Engagement
90-95
-
-
35
125-130
John Sheridan Digital Director
85-90
-
-
35
120-125
Lesley Cowley OBE Chair of The National Archives Board
15-20
N/A
1,700
N/A
15-20
Dr Claire Feehily Non-executive Board member
10-15
N/A
2,800
N/A
15-20
Robert Milburn Independent member of the Audit and Risk Committee
0-5
N/A
-
N/A
0-5
Peter Phippen
Non-executive Board member25
N/A
N/A
N/A
N/A
N/A
Mark Richards Non-executive Board member
10-15
N/A
500
N/A
10-15
Baroness (Ros) Scott of Needham Market Non-executive Board member
10-15
N/A
300
N/A
10-15
22
Salary and full year equivalent (FYE) are presented to the nearest £1,000. FYE is shown in brackets. Benefits in kind are presented to the nearest £100, pension benefits and total remuneration to the nearest £1,000.
23
The value of pension benefits accrued during the year is calculated as (the real increase in pension multiplied by 20) less (the contributions made by the individual). The real increases exclude increases due to inflation or any increase or decreases due to a transfer of pension rights.
24
Associate Director until 14 October 2018.
25
Until 13 January 2019.
Salary and
FYE (full-year,
full-time
equivalent)
£'000
Bonus
£'000
Benefit in kind
£
Jeff James Chief Executive and Keeper
120-125
-
-
47
165-170
Neil Curtis Finance and Commercial Director
95-100
-
-
38
135-140
Paul Davies Operations Director
85-90
-
-
21
105-110
Lucy Fletcher Director for Government and
Information Rights26
65-70
-
-
15
80-85
Dr Valerie Johnson Director of Research and Collections
80-85
-
-
40
120-125
Caroline Ottaway-Searle Director of Public Engagement
90-95
-
-
35
125-130
John Sheridan Digital Director
80-85
-
-
31
110-115
Lesley Cowley OBE Chair of The National Archives Board
15-20
N/A
2,300
N/A
15-20
Dr Claire Feehily Non-executive Board member
15-20
N/A
2,600
N/A
20-25
Robert Milburn Independent member of the Audit and Risk Committee
0-5
N/A
-
N/A
0-5
Peter Phippen Non-executive Board member27
5-10
(10-15)
N/A
300
N/A
5-10
(10-15)
Mark Richards Non-executive Board member
10-15
(10-15)
N/A
400
N/A
10-15
(10-15)
10-15
(10-15)
N/A
500
N/A
10-15
(10-15)
Baroness (Ros) Scott of Needham Market Non-executive Board member
## Pay Multiples (Audited)
| Band of highest paid Director's remuneration (£) | 120-125 | 120-125 |
|----------------------------------------------------|-----------|-----------|
| Median total remuneration (£) | 31,141 | 30,216 |
| Ratio | 3.9 | 4.1 |
Reporting bodies are required to disclose the relationship between the remuneration of the highest-paid director in their organisation and the median remuneration of the organisation's workforce.
2018-19
Pension
benefits
£'000
Total
£'000
2019-20
2018-19
The banded remuneration of the highest-paid Executive Director at The National Archives in the financial year 2019-20 was £120k-£125k (2018-19: £120k-£125k). This was 3.9 times the median remuneration of the workforce, which
£16,000-£125,000 (2018-19: £16,000-£125,000).
was £31,141. The increase in the median from the previous year is due primarily to a 2% pay increase received by staff and 1% for Senior Civil Service staff from April 2019. In both 2019-20 and 2018-19, no employees received remuneration in excess of the highestpaid director. Remuneration ranged from Total remuneration includes salary, nonconsolidated performance-related pay and benefits-in-kind (travel and subsistence). It does not include severance payments, employer pension contributions and the cash equivalent transfer of pensions.
## Pension Benefits (Audited)
Real increase
in CETV
CETV at
31/03/20
CETV at
31/03/19
Real increase
in pension
and related
lump sum at
pension age
Accrued
pension at
pension age
as at 31/03/20
and related
lump sum
£000 in bands
of £5,000
£000 in bands
of £2,500
£000 to
nearest £000
£000 to
nearest £000
£000 to
nearest £000
Jeff James Chief Executive and Keeper
15-20
2.5-5
207
163
27
Neil Curtis Finance and Commercial Director
5-10
0-2.5
86
58
18
Paul Davies Operations Director
25-30
0-2.5
562
507
28
Lucy Fletcher Director for Government and
Information Rights 28
5-10
0-2.5
85
65
11
Valerie Johnson Director of Research and Collections
25-30
0-2.5
373
330
21
Caroline Ottaway-Searle Director of Public Engagement
25-30
0-2.5
419
370
27
John Sheridan Digital Director
25-30
0-2.5
338
302
18
There were no employer contributions to partnership pension accounts in respect of any of the above.
## Civil Service Pensions
State Pension Age (or 65 if higher). From that date all newly appointed civil servants and the majority of those already in service joined **alpha**. Prior to that date, civil servants participated in the Principal Civil Service Pension Scheme (PCSPS). The PCSPS has four sections: three providing benefits on a final salary basis (classic, premium or **classic plus**)
with a normal pension age of 60; and one providing benefits on a whole career basis (**nuvos**) with a normal pension age of 65.
Pension benefits are provided through the Civil Service pension arrangements. From 1 April 2015 a new pension scheme for civil servants was introduced - the Civil Servants and Others Pension Scheme or **alpha**, which provides benefits on a career average basis with a normal pension age equal to the member's for service from October 2002 worked out as in premium. In **nuvos** a member builds up a pension based on his pensionable earnings during their period of scheme membership. At the end of the scheme year (31 March) the member's earned pension account is credited with 2.3% of their pensionable earnings in that scheme year and the accrued pension is uprated in line with Pensions Increase legislation. Benefits in **alpha** build up in a similar way to **nuvos**, except that the accrual rate in 2.32%. In all cases members may opt to give up (commute) pension for a lump sum up to the limits set by the Finance Act 2004.
These statutory arrangements are unfunded with the cost of benefits met by monies voted by Parliament each year. Pensions payable under **classic, premium, classic plus, nuvos**
and **alpha** are increased annually in line with Pensions Increase legislation. Existing members of the PCSPS who were within 10 years of their normal pension age on 1 April 2012 remained in the PCSPS after 1 April 2015. Those who were between 10 years and 13 years and 5 months from their normal pension age on 1 April 2012 will switch into alpha sometime between 1 June 2015 and 1 February 2022. All members who switch to alpha have their PCSPS benefits 'banked', with those with earlier benefits in one of the final salary sections of the PCSPS having those benefits based on their final salary when they leave **alpha** (the pension figures quoted for officials show pension earned in PCSPS or alpha - as appropriate. Where the official has benefits in both the PCSPS and **alpha** the figure quoted is the combined value of their benefits in the two schemes). Members joining from October 2002 may opt for either the appropriate defined benefit arrangement or a 'money purchase' stakeholder pension with an employer contribution (partnership pension account).
The partnership pension account is a stakeholder pension arrangement. The employer makes a basic contribution of between 8% and 14.75% (depending on the age of the member) into a stakeholder pension product chosen by the employee from the appointed provider Legal & General. The employee does not have to contribute, but where they do make contributions, the employer will match these up to a limit of 3% of pensionable salary (in addition to the employer's basic contribution). Employers also contribute a further 0.5% of pensionable salary to cover the cost of centrally-provided risk benefit cover (death in service and ill health retirement). The accrued pension quoted is the pension the member is entitled to receive when they reach pension age, or immediately on ceasing to be an active member of the scheme if they are already at or over pension age. Pension age is 60 for members of **classic, premium**
and **classic plus**, 65 for members of **nuvos**, and the higher of 65 or State Pension Age for members of **alpha**. (The pension figures quoted for officials show pension earned in PCSPS or **alpha** - as appropriate. Where the official has benefits in both the PCSPS and Employee contributions are salary-related and range between 4.6% and 8.05% for members of **classic, premium, classic plus, nuvos** and **alpha**. Benefits in classic accrue at the rate of 1/80th of final pensionable earnings for each year of service. In addition, a lump sum equivalent to three years initial pension is payable on retirement. For premium, benefits accrue at the rate of 1/60th of final pensionable earnings for each year of service. Unlike **classic**, there is no automatic lump sum. **classic plus** is essentially a hybrid with benefits for service before 1 October 2002 calculated broadly as per **classic** and benefits alpha the figure quoted is the combined value of their benefits in the two schemes, but note that part of that pension may be payable from different ages).
by the employer. It does not include the increase in accrued pension due to inflation, contributions paid by the employee (including the value of any benefits transferred from another pension scheme or arrangement) and uses common market valuation factors for the start and end of the period.
Further details about the Civil Service pension arrangements can be found at the website www.civilservicepensionscheme.org.uk Staff report For the tenth year, we participated in the civil service staff engagement survey, achieving an overall engagement score of 71% (2018-19: 67%) and retaining our status as a civil service 'high performer'. We are committed to training and developing our staff. We continue to run a comprehensive programme of learning and development, including our Corporate Management Development Programme, which aims to equip line managers with the skills needed to lead and develop staff, our Career Management Programme available to all staff, and our Stepping Up - Exploring Your Potential programme for aspiring managers.
Cash Equivalent Transfer Values A Cash Equivalent Transfer Value (CETV) is the actuarially assessed capitalised value of the pension scheme benefits accrued by a member at a particular point in time. The benefits valued are the member's accrued benefits and any contingent spouse's pension payable from the scheme. A CETV is a payment made by a pension scheme or arrangement to secure pension benefits in another pension scheme or arrangement when the member leaves a scheme and chooses to transfer the benefits accrued in their former scheme. The pension figures shown relate to the benefits that the individual has accrued as a consequence of their total membership of the pension scheme, not just their service in a senior capacity to which disclosure applies.
Our senior managers meet regularly with staff and trade union representatives in a number of ways, including the Whitley Council, Health and Safety Committee, and the Equality, Diversity and Inclusion and Staff forums. The civil service-wide recruitment restrictions announced in May 2010 are still in place, which means that we have had to look at how best to use our talent across the organisation. We also have other people and skill resource requirements on a short-term, project-specific basis.
The figures include the value of any pension benefit in another scheme or arrangement which the member has transferred to the Civil Service pension arrangements. They also include any additional pension benefit accrued to the member as a result of their buying additional pension benefits at their own cost. CETVs are worked out in accordance with The Occupational Pension Schemes (Transfer Values) (Amendment) Regulations 2008 and do not take account of any actual or potential reduction to benefits resulting from Lifetime Allowance Tax which may be due when pension benefits are taken.
Equality and diversity We are committed to equal opportunities for all. Policies are in place to guard against discrimination and to ensure that there are no unfair or illegal barriers to employment
## Real Increase In Cetv This Reflects The Increase In Cetv That Is Funded
We are a Disability Confident Level 2 employer, and we aim to make sure that there is no discrimination on the grounds of disability. We continue to encourage and support our staff, and invest in their wellbeing.
or advancement within our organisation. Suitability for employment is based on skills, qualifications and experience irrespective of race, age, gender, marital status, disability, sexual orientation, religious or political beliefs or opinions.
## Workforce Breakdown
| | | 31 March 2020 | 31 March 2019 |
|-----------------------|--------------|-----------------|-----------------|
| Staff numbers | Headcount | 527 | 507 |
| Full time equivalents | | | |
| (FTE) | | | |
| 498 | 481 | | |
| Workforce diversity | | | |
| Black and Minority | | | |
| Ethnic | | | |
| 29 | | | |
| | | | |
| 19.9% | 16.8% | | |
| Women - Director | | | |
| level | | | |
| 3 of 7 | 3 of 7 | | |
| Women | 53.8% | 50.9% | |
| Disabled | | | |
| 30 | | | |
| | 8.8% | 9.1% | |
| Temporary | | | |
| appointments | | | |
| 31 | | | |
| | | | |
| 17 | 8 | | |
| Sickness | Days per FTE | 6.1 | 5.1 |
| Civil service staff | | | |
| engagement survey | | | |
| Engagement score % | 71 | 67 | |
| Consultancy | | | |
| expenditure | | | |
| £'000s | 9 | 23 | |
## Average Full-Time Equivalent Number Of Persons Employed (Audited) The Average Number Of Full-Time Equivalent Persons Employed During The Year Was As Follows:
| 2019-20 | 2018-19 |
|----------------------------------------------------|------------|
| Permanently | |
| employed staff | |
| Other staff | |
| 32 | |
| | Total |
| Government | |
| information | |
| management | |
| 115 | 1 |
| Preservation | |
| and protection | |
| 84 | 2 |
| Public access | 294 |
| Total | 493 |
| Senior civil service (SCS) by band as at 31 March: | |
| 2019-20 | 2018-19 |
| Salary band | Number |
| £60,000 - £70,000 | - |
| £70,000 - £80,000 | - |
| £80,000 - £90,000 | 4 |
| £90,000 - £100,000 | 2 |
| £100,000 - £110,000 | - |
| £110,000 - £120,000 | - |
| £120,000 - £130,000 | 1 |
| Total | 7 |
## Staff Costs
The following section is subject to an audit:
| 2019-20 | 2018-19 |
|-----------------|------------|
| Permanently | |
| employed staff | |
| Other staff | Total |
| Wages and | |
| salaries | |
| 17,744 | 212 |
| Social security | |
| costs | |
| 33 | |
| | |
| 1,868 | - |
| Other pension | |
| costs | |
| 4,620 | - |
| Sub total | 24,232 |
| 34 | - |
| Less recoveries | |
| in respect | |
| of outward | |
| secondments | |
| Total net costs | 24,266 |
Off-payroll engagements There were no off-payroll engagements in 2019-20 (2018-19: nil).
four rates in the range 26.6% to 30.3% (2018- 19: 20.6% to 24.5%) of pensionable earnings, based on salary bands. The Scheme Actuary reviews employer contributions usually every four years following a full scheme valuation. The contribution rates reflect benefits as they are accrued, not when the costs are actually incurred, and reflect past experience of the scheme.
Staff pension arrangements The Principal Civil Service Pension Scheme (PCSPS) is an unfunded multi-employer defined benefit scheme in which The National Archives is unable to identify its share of the underlying assets and liabilities. A full actuarial valuation was carried out as at 31 March 2016. Details can be found in the resource accounts of the Cabinet Office: Civil Superannuation at www.civilservicepensionscheme.org.uk/aboutus/resource-accounts Employees can opt to open a partnership pension account, a stakeholder pension with an employer contribution. Employers' contributions of £0.07m (2018-19: £0.06m) were paid to the appointed stakeholder pension provider, Legal & General. Employer contributions are age-related and range from 8% to 14.75% of pensionable pay.
For 2019-20, employers' contributions of £4.6m were payable in Accruing Superannuation Liability Charges (2018-19: £3.4m) at one of prepaid at that date were nil (2018-19: nil).
Employers also match employee contributions up to 3% of pensionable pay. In addition, employer contributions of £0.002m (2018- 19: £0.002m) of pensionable pay, were payable to the PCSPS to cover the cost of the future provision of lump sum benefits on death in service or ill health retirement of these employees.
Reporting of civil service and other compensation schemes - exit packages (audited) Details of the compensation scheme payments, and the number of departures during the year, and the previous year, are shown in the table below. Compensation agreed for departures did not exceed the Cabinet Office's recommended cap of £95,000.
Contributions due to the partnership pension provider at the balance sheet date were £0.006m (2018-19: £0.006m). Contributions
| 2019-20 | 2018-19 |
|--------------|-----------|
| Compulsory | |
| redundancies | |
| Other | |
| departures | |
| Total | |
| Compulsory | |
| redundancies | |
| Other | |
| departures | |
| Total | |
| Exit package | |
| cost band | |
| £'000 | |
| < £10 | - |
| £10 - £25 | - |
| £25 - £50 | - |
| £50 - £100 | - |
| Total number | |
| of exit | |
| packages | |
| - | 1 |
| Total costs | |
| (£,000) | |
| £- | £10 |
Redundancy and other departure costs have been paid in accordance with the provisions of the Civil Service Compensation Scheme; a statutory scheme made under the Superannuation Act 1972. Exit costs are accounted for in full in the year of departure.
Where the department has agreed early retirements, the additional costs are met by the department and not by the Civil Service pension scheme. Ill health retirement costs are met by the pension scheme and are not included in the table.
## The Trade Union (Facility Time Publication Requirements) Regulations 2017 (Statutory Instrument 328) Report Relevant Union Officials
Number of employees who were relevant
union officials during the relevant period
Full-time equivalent employee number
17
15.67
Percentage of time spent on facility time
Percentage of time
Number of employees
0%
11
1-50%
6
51%-99%
-
100%
-
Percentage of pay bill spent on facility time
Total cost of facility time
£6,877
Total pay bill
£24,478,000
Percentage of the total pay bill spend on
facility time
0.03%
## Paid Trade Union Activities
Time spent on paid trade union activities
as a percentage of total paid facility time
0%
## 2.3 Parliamentary Accountability And Audit Report Statement Of Parliamentary Supply (Audited)
Should an entity exceed the limits set by their Supply Estimate, called control limits, their accounts will receive a qualified opinion.
In addition to the primary statements prepared under the International Financial Reporting Standards (IFRS), the Government Financial Reporting Manual (FReM) requires The National Archives to prepare a Statement of Parliamentary Supply (SoPS) and supporting notes.
The format of the SoPS mirrors the Supply Estimates, published on gov.uk, to enable comparability between what Parliament approves and the final outturn.
The SoPS and related notes are subject to audit, as detailed in the Certificate and Report of the Comptroller and Auditor General to the House of Commons.
The SoPS contain a summary table, detailing performance against the control limits that Parliament has voted on, cash spent (budgets are compiled on an accruals basis and outturn won't exactly tie to cash spend) and administration.
The SoPS is a key accountability statement that shows, in detail, how an entity has spent against their Supply Estimate. Supply is the monetary provision (for resource and capital purposes) and cash (drawn primarily from the Consolidated fund), that Parliament gives statutory authority for entities to utilise. The Estimate details supply and is voted on by Parliament at the start of the financial year.
The supporting notes detail the following: Outturn by Estimate line, providing a more detailed breakdown (note 1); a reconciliation of outturn to net operating expenditure in the SOCNE, to tie the SoPS to the financial statements (note 2); and, a reconciliation of outturn to net cash requirement (note 3).
## Summary Table, 2019-20, All Figures Presented In £000'S
Type of
spend
SoPS note
Prior Year
Outturn
Total,
2018-19
Voted
Non-Voted
Total
Voted
Non-Voted
Total
Outturn
Estimate
Voted
outturn vs
Estimate,
Savings/
(excess)
Departmental Expenditure Limit Resource
1.1
35,997
-
35,997
37,627
-
37,627
1,630
34,497
Capital
1.2
2,836
-
2,836
3,200
-
3,200
364
2,765
Total
38,833
-
38,833
40,827
-
40,827
1,994
37,262
Annually Managed Expenditure Resource
1.1
(10)
-
(10)
-
-
-
10
(16)
Capital
1.2
-
-
-
-
-
-
-
Total
(10)
-
(10)
-
-
-
10
(16)
Total Budget Resource
1.1
35,987
-
35,987
37,627
-
37,627
1,640
34,481
Capital
1.2
2,836
-
2,836
3,200
-
3,200
364
2,765
Total Budget Expenditure
38,823
-
38,823
40,827
-
40,827
2,004
37,246
manual, available on GOV.UK, for detail on the control limits voted by Parliament.
Figures in the areas outlined in thick line cover the voted control limits voted by Parliament. Refer to the Supply Estimates guidance
## Net Cash Requirement 2019-20 - All Figures Presented In £000'S
| Item | SoPS note | Outturn | Estimate |
|-------------|-------------|-----------|------------|
| Outturn vs | | | |
| Estimate, | | | |
| saving | | | |
| (excess) | | | |
| Prior Year | | | |
| outturn | | | |
| Total, | | | |
| 2018-19 | | | |
| Net Cash | | | |
| requirement | | | |
| 3 | 32,817 | 32,827 | 10 |
## Administration Costs 2019-20 - All Figures Presented In £000'S
| Item | SoPS note | Outturn | Estimate |
|----------------|-------------|-----------|------------|
| Outturn vs | | | |
| Estimate, | | | |
| saving | | | |
| (excess) | | | |
| Prior Year | | | |
| outturn | | | |
| Total, | | | |
| 2018-19 | | | |
| Administrative | | | |
| costs | | | |
| 1.1 | 9,423 | 10,230 | 807 |
Although not a separate voted limit, any breach of the administration budget will also result in an excess vote.
## Notes To The Statement Of Parliamentary Supply, 2019-20 Sops1. Outturn Detail, By Estimate Line Sops1.1 Analysis Of Net Resource Outturn - All Figures Presented In £000S
Type of
spend
(Resource)
Prior Year
Outturn
Total
2018-19
Resource outturn
Estimate
Outturn vs
Estimate,
saving
(excess)
Administration
Programme
Total
Total
Gross
Income
Net
Gross
Income
Net
Spending in Departmental Expenditure Limits Voted expenditure
9,514
(91)
9,423
39,967
(13,393)
26,574
35,997
37,627
1,630
34,497
Spending in Annually Managed Expenditure Voted expenditure
-
-
-
(10)
-
(10)
(10)
-
10
(16)
Total resource
9,514
(91)
9,423
39,957
(13,393)
26,564
35,987
37,627
1,640
34,481
The outturn was affected by the inability to complete certain projects due to the supply chain as a result of COVID-19 pandemic, and the building's closure in the latter half of March 2020. This further disrupted the programme of activities and public access. Excluding ringfenced depreciation, resource outturn was underspent against estimate by 0.9m.
At Supplementary Estimate additional depreciation funding was allocated to the sum of £1.8m; the total depreciation increasing to £7.0m. The total depreciation charge in year was £6.3m, therefore an underspend of £0.7m in the year. The depreciation charge in 2019-20 was lower than anticipated due to the revaluation indexation rate applied to the property.
The underspend is further explained by the actual depreciation charge compared to Estimate. The Spending Review allocation of depreciation was a flat amount, and each year The National Archives is required to adjust this in its Supplementary Estimate.
## Sops1.2 Analysis Of Capital Outturn - All Figures Presented In £000S
Type of spend
Outturn
Estimate
Outturn vs
Estimate,
saving
(excess) Total
Prior Year
Outturn
Total,
2018-19
Gross
Income
Total
Total
Spending in Departmental Expenditure Limit (DEL) Voted expenditure
2,836
-
2,836
3,200
364
2,765
Spending in Annually Managed Expenditure (AME) Voted expenditure
-
-
-
-
-
-
Total Capital
2,836
-
2,836
3,200
364
2,765
detail and delegates to HM Treasury). Further information on virements is provided in the Supply Estimates Manual which is available on GOV.UK.
No virements have been made by The National Archives. Virements are the reallocation of provision in the Estimates that do not require parliamentary authority (because Parliament does not vote to that level of
## Sops2. Reconciliation Of Outturn To Net Operating Expenditure - All Figures Presented In £000S
| Item | Reference | Outturn total |
|-------------------------------------------------------------|-------------|-----------------|
| Prior Year Outturn Total | | |
| 2018-19 | | |
| Total Resource outturn | SoPS1.1 | 35,987 |
| Depreciation charged to Other Comprehensive Net Expenditure | (2) | (2) |
| SOCNE | 35,985 | 34,479 |
| Net Operating Expenditure | | |
| in Consolidated Statement | | |
| of Comprehensive Net | | |
| Expenditure | | |
to the financial statements. Reconciling figures in both 2018-19 and 2019- 20 relate to depreciation on donated assets charged directly to Other Comprehensive Net Expenditure.
As noted in the introduction to the SoPS above, outturn and the Estimates are compiled against the budgeting framework, which is similar to, but different from IFRS. Therefore, the reconciliation bridges the resource outturn to net operating expenditure, linking the SoPS
## Sops3. Reconciliation Of Net Resource Outturn To Net Cash Requirement - All Figures Presented In £000S
| Item | SoPS note | Outturn total | Estimate |
|-------------------------------------------------------|-------------|-----------------|------------|
| Outturn vs Estimate, | | | |
| saving (excess) | | | |
| Total Resource | | | |
| outturn | | | |
| 1.1 | 35,987 | 37,627 | 1,640 |
| Total Capital outturn | 1.2 | 2,836 | 3,200 |
| Adjustments to remove non-cash items: | | | |
| Depreciation | (6,258) | (7,000) | (742) |
| Adjustment to previous provisions | (1) | - | 1 |
| Other non-cash items | (75) | - | 75 |
| Adjustments to reflect movements in working balances: | | | |
| Increase/(decrease) in inventories | 19 | - | (19) |
| Increase/(decrease) in receivables | (1,289) | - | 1,289 |
| Increase/(decrease) in contract assets | (161) | - | 161 |
| (Increase)/decrease in payables | 466 | (1,000) | (1,466) |
| (Increase)/decrease in contract liabilities | 1,280 | - | (1,280) |
| Use of provisions | 13 | - | (13) |
| Net cash requirement | 32,817 | 32,827 | 10 |
Therefore, this reconciliation bridges the resource and capital outturn to the net cash As noted in the introduction to the SoPS above, outturn and the Estimate are compiled against the budgeting framework, not on a cash basis.
requirement.
## Parliamentary Accountability Disclosures (Audited)
the definition of contingent liability. In the year 2019-20, there were no remote contingent liabilities to report (2018-19: nil).
Losses and special payments There were no losses or special payments on an individual or cumulative basis that require disclosure because of their size or nature during 2019-20 (2018-19: nil).
Jeff James, Accounting Officer,
16 July 2020
Remote contingent liabilities In addition to contingent liabilities within the meaning of IAS 37, we also report liabilities for which the likelihood of a transfer of economic benefit in settlement is too remote to meet
## The Certificate And Report Of The Comptroller And Auditor General To The House Of Commons
less reliable leading to an increase in uncertainty. My opinion is not modified in respect of this matter.
## Opinion On Regularity In My Opinion, In All Material Respects:
■
the Statement of Parliamentary Supply properly presents the outturn against voted Parliamentary control totals for the year ended 31 March 2020 and shows that those totals have not been exceeded; and
Opinion on financial statements I certify that I have audited the financial statements of The National Archives for the year ended 31 March 2020 under the Government Resources and Accounts Act 2000. The financial statements comprise: Statements of Comprehensive Net Expenditure, Financial Position, Cash Flows, Changes in Taxpayers' Equity; and the related notes, including the significant accounting policies. These financial statements have been prepared under the accounting policies set out within them. I have also audited the Statement of Parliamentary Supply and the related notes, and the information in the Accountability Report that is described in that report as having been audited.
■
the income and expenditure recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them.
## In My Opinion:
■
the financial statements give a true and fair view of the state of the affairs as at 31 March 2020 and of the Department's net operating expenditure for the year then ended; and
■
the financial statements have been properly prepared in accordance with the Government Resources and Accounts Act 2000 and HM Treasury directions issued thereunder.
## Emphasis Of Matter - Valuation Of Land, Buildings
■
I draw attention to the disclosures in note 5 of the financial statements highlighting the increased uncertainty in valuation of land and buildings due to the impact of COVID-19. Comparative information used as the basis of the indices used in the revaluation of these assets is considered
Basis of opinions I conducted my audit in accordance with International Standards on Auditing (ISAs) (UK) and Practice Note 10 'Audit of Financial Statements of Public Sector Entities in the United Kingdom'. My responsibilities under those standards are further described in the Auditor's responsibilities for the audit of the financial statements section of my certificate. Those standards require me and my staff to comply with the Financial Reporting Council's Revised Ethical Standard 2016. I am independent of The National Archives in accordance with the ethical requirements that are relevant to my audit and the financial statements in the UK. My staff and I have fulfilled our other ethical responsibilities in accordance with these requirements. I believe that the audit evidence I have obtained is sufficient and appropriate to provide a basis for my opinion.
## Conclusions Relating To Going Concern
I have nothing to report in respect of the following matters in relation to which the ISAs (UK) require me to report to you where:
Misstatements can arise from fraud or error and are considered material if, individually or in the aggregate, they could reasonably be expected to influence the economic decisions of users taken on the basis of these financial statements.
■
The National Archives' use of the going concern basis of accounting in the preparation of the financial statements is not appropriate; or
As part of an audit in accordance with ISAs (UK), I exercise professional judgment and maintain professional scepticism throughout the audit. I also:
■
The National Archives have not disclosed in the financial statements any identified material uncertainties that may cast significant doubt about The National Archives' ability to continue to adopt the going concern basis of accounting for a period of at least twelve months from the date when the financial statements are authorised for issue.
■
identify and assess the risks of material misstatement of the financial statements, whether due to fraud or error, design and perform audit procedures responsive to those risks, and obtain audit evidence that is sufficient and appropriate to provide a basis for my opinion. The risk of not detecting a material misstatement resulting from fraud is higher than for one resulting from error, as fraud may involve collusion, forgery, intentional omissions, misrepresentations, or the override of internal control.
Responsibilities of the Accounting Officer for the financial statements As explained more fully in the Statement of Accounting Officer's Responsibilities the Accounting Officer is responsible for the preparation of the financial statements and for being satisfied that they give a true and fair view.
■
obtain an understanding of internal control relevant to the audit in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of The National Archives' internal control.
Auditor's responsibilities for the audit of the financial statements My responsibility is to audit, certify and report on the financial statements in accordance with the Government Resources and Accounts Act 2000.
■
evaluate the appropriateness of accounting policies used and the reasonableness of accounting estimates and related disclosures made by management.
An audit involves obtaining evidence about the amounts and disclosures in the financial statements sufficient to give reasonable assurance that the financial statements are free from material misstatement, whether caused by fraud or error. Reasonable assurance is a high level of assurance, but is not a guarantee that an audit conducted in accordance with ISAs (UK) will always detect a material misstatement when it exists.
■
evaluate the overall presentation, structure and content of the financial statements, including the disclosures, and whether the consolidated financial statements represent the underlying transactions and events in a manner that achieves fair presentation.
## Other Information
Conclude on the appropriateness of The National Archives' use of the going concern basis of accounting and, based on the audit evidence obtained, whether a material uncertainty exists related to events or conditions that may cast significant doubt on The National Archives' ability to continue as a going concern. If I conclude that a material uncertainty exists, I am required to draw attention in my report to the related disclosures in the financial statements or, if such disclosures are inadequate, to modify my opinion. My conclusions are based on the audit evidence obtained up to the date of my report. However, future events or conditions may cause The National Archives to cease to continue as a going concern.
The Accounting Officer is responsible for the other information. The other information comprises information included in the annual report but does not include the parts of the Accountability Report described in that report as having been audited, the financial statements and my auditor's report thereon. My opinion on the financial statements does not cover the other information and I do not express any form of assurance conclusion thereon. In connection with my audit of the financial statements, my responsibility is to read the other information and, in doing so, consider whether the other information is materially inconsistent with the financial statements or my knowledge obtained in the audit or otherwise appears to be materially misstated. If, based on the work I have performed, I conclude that there is a material misstatement of this other information, I am required to report that fact. I have nothing to report in this regard.
I communicate with those charged with governance regarding, among other matters, the planned scope and timing of the audit and significant audit findings, including any significant deficiencies in internal control that I identify during my audit.
## Opinion On Other Matters In My Opinion:
■
the parts of the Accountability Report to be audited have been properly prepared in accordance with HM Treasury directions made under the Government Resources and Accounts Act 2000;
■
in the light of the knowledge and understanding of The National Archives and its environment obtained in the course of the audit, I have not identified any material misstatements in the Performance Report or the Accountability Report; and
I am required to obtain evidence sufficient to give reasonable assurance that the Statement of Parliamentary Supply properly presents the outturn against voted Parliamentary control totals and that those totals have not been exceeded. The voted Parliamentary control totals are Departmental Expenditure Limits (Resource and Capital), Annually Managed Expenditure (Resource and Capital), Non- Budget (Resource) and Net Cash Requirement. I am also required to obtain evidence sufficient to give reasonable assurance that the expenditure and income recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them.
■
the information given in the Performance and Accountability Reports for the financial year for which the financial statements are prepared is consistent with the financial statements.
Report I have no observations to make on these financial statements.
Matters on which I report by exception I have nothing to report in respect of the following matters which I report to you if, in my opinion:
■
adequate accounting records have not been kept or returns adequate for my audit have not been received from branches not visited by my staff; or
## Comptroller And Auditor General
■
the financial statements and the parts of the Accountability Report to be audited are not in agreement with the accounting records and returns; or
National Audit Office
157-197 Buckingham Palace Road
Victoria
London
SW1W 9SP
■
I have not received all of the information and explanations I require for my audit; or
■
the Governance Statement does not reflect compliance with HM Treasury's guidance.
## Financial Statements 3 3. Financial Statements
Statement of Comprehensive Net Expenditure for the year ended 31 March 2020
2019-20
2018-19
Note
£000
£000
Revenue from contracts with customers
4
(9,148)
(6,560)
Other operating income
4
(4,336)
(3,721)
Total operating income
(13,484)
(10,281)
Staff costs
3
24,478
23,187
Purchase of goods and services
3
18,659
15,068
Depreciation, provisions and audit charges
3
6,332
6,505
Total operating expenditure
49,469
44,760
Net operating expenditure
35,985
34,479
Other comprehensive net expenditure Items that will not be reclassified to net operating expenditure: - Net gain on revaluation of property, plant and equipment
5
(3,240)
(4,748)
- Net (gain)/loss on revaluation of intangible assets
6
454
(5,149)
- Depreciation of donated asset
2
2
Comprehensive net operating expenditure for the year
33,201
24,584
The notes on pages 74 to 93 form part of these accounts.
## Statement Of Financial Position As At 31 March 2020
31 March 2020
31 March 2019
Note
£000
£000
£000
£000
Non-current assets: Property, plant and equipment
5
165,223
166,273
Intangible assets
6
26,867
26,453
Prepayments falling due after one year
8
70
110
Total non-current assets
192,160
192,836
Current assets: Inventories
126
107
Trade and other receivables
8
1,235
3,360
Contract assets
8
749
910
Other current assets
8
2,618
1,742
Cash and cash equivalents
10
10
Total current assets
4,738
6,129
Total assets
196,898
198,965
Current liabilities Trade and other payables
9
(1,027)
(2,013)
Contract liabilities
9
(238)
(1,341)
Provisions
10
(14)
(14)
Other liabilities
9
(4,830)
(4,310)
Total current liabilities
(6,109)
(7,678)
Total assets less current liabilities
190,789
191,287
Non-current liabilities: Contract liabilities
9
(452)
(629)
Provisions
10
(167)
(179)
Total non-current liabilities
(619)
(808)
Total assets less liabilities
190,170
190,479
Taxpayers' equity and other reserves: General fund
58,015
58,994
Donated asset reserve
1
3
Revaluation reserve
132,154
131,482
Total equity
190,170
190,479
The notes on pages 74 to 93 form part of these accounts.
## Statement Of Cash Flows For The Year Ended 31 March 2020
2019-20
2018-19
Note
£000
£000
Cash flows from operating activities
Net operating expenditure
(35,985)
(34,479)
Adjustments for non-cash transactions
6,332
6,505
(Increase)/decrease in trade and other receivables
8
1,289
(1,581)
(Increase)/decrease in contract assets
8
161
(905)
Increase in inventories
(19)
(1)
Increase/(decrease) in trade and other payables
9
(643)
1,339
Increase/(decrease) in contract liabilities
9
(1,103)
618
Use of provisions
10
(13)
(4)
Less movements in payables relating to items not passing through the Statement of Comprehensive Net Expenditure
-
3
Less movements in fixed assets relating to items not passing through the Statement of Comprehensive Net Expenditure
-
3
Net cash outflow from operating activities
(29,981)
(28,502)
Cash flows from investing activities Purchase of property, plant and equipment
5
(1,812)
(2,197)
Purchase of intangible assets
6
(1,024)
(568)
Net cash outflow from investing activities
(2,836)
(2,765)
Cash flows from financing activities
From the Consolidated Fund (Supply) - current year
32,817
31,264
Payment of Consolidated Fund Extra Receipts
-
-
Net financing
32,817
31,264
Net increase/(decrease) in cash and cash equivalents in the period before adjustment for receipts and payments to the Consolidated Fund
-
(3)
Payments of amounts due to the Consolidated Fund
-
-
Cash and cash equivalents at the beginning of the period
10
13
Cash and cash equivalents at the end of the period
10
10
## Statement Of Changes In Taxpayers' Equity For The Year Ended 31 March 2020
General Fund
Revaluation
Reserve
Donated Asset
Reserve
Taxpayers'
equity
Note
£000
£000
£000
£000
Balance at 31 March 2018
60,123
123,598
5
183,726
Net Parliamentary funding
31,267
-
-
31,267
Comprehensive net expenditure for the year
(34,479)
9,897
(2)
(24,584)
Auditor's remuneration
3
70
-
-
70
Transfers between reserves
2,013
(2,013)
-
-
Balance at 31 March 2019
58,994
131,482
3
190,479
Net Parliamentary funding
32,817
-
-
32,817
Comprehensive net expenditure for the year
(35,985)
2,786
(2)
(33,201)
Auditor's remuneration
3
75
-
-
75
Transfers between reserves
2,114
(2,114)
-
-
Balance at 31 March 2020
58,015
132,154
1
190,170
reserve to the general fund, which makes sure that by the time the asset is fully depreciated, there is no residual balance associated with the asset in the revaluation reserve. The general fund accounts for all other changes in financial resources.
The revaluation reserve records the gain or loss on the revaluation of assets. The depreciation charge on the revalued asset will be different to the depreciation that would have been charged, based on the historical cost of the asset. Each year, we transfer an amount equal to the excess annual depreciation from the revaluation The notes on pages 74 to 93 form part of these accounts.
## Notes To The Departmental Resource Accounts 1. Statement Of Accounting Policies, Key Accounting Estimates And Judgements
in the FReM. Transactions denominated in foreign currency are accounted for at the Stirling equivalent at the exchange rate ruling at the time of the transaction. Differences on translation of balances are recognised as operating costs within the Consolidated Statement of Comprehensive Net Expenditure.
1.1
Statement of accounting policies These accounts have been prepared in accordance with the 2019-20 Government Financial Reporting Manual (FReM) and Accounts Direction issued by HM Treasury under section 6(4) of the Government Resources and Accounts Act 2000. The accounting policies contained in the FReM apply International Financial Reporting Standards (IFRS) as adapted or interpreted for the public sector context.
Going concern In common with other government departments, The National Archives' liabilities are expected to be met by future grants of supply and the application of future income, both to be approved annually by Parliament. There is no reason to believe that future Parliamentary approval will not be forthcoming, and therefore, in accordance with FReM 2.2.3, it has been concluded as appropriate to adopt the going concern basis of preparation for these accounts.
The accounting policies adopted by The National Archives are described below. Where the FReM permits a choice of accounting policy, the accounting policy that is judged to be most appropriate to the particular circumstances of The National Archives for the purpose of giving a true and fair view has been selected. They have been applied consistently in dealing with items considered material in relation to the accounts. In addition to the primary statements prepared under IFRS, the FReM also requires the department to prepare an additional primary statement. The Statement of Parliamentary Supply and supporting notes show outturn against Estimate in terms of the net resource requirement and the net cash requirement.
1.3
New and revised standards issued but not effective Certain new standards, interpretations and amendments to existing standards have been published that The National Archives will be required to apply on or after 1 April 2020 or later periods, following EU adoption and as applied by the FReM. These standards are not expected to have a material impact on The National Archives' future accounts. They are as follows: IFRS 16 Leases HM Treasury announced in April 2020 the adoption of IFRS 16 Leases by the FReM is delayed from 1 April 2020 to 1 April 2021.
1.2
Basis of preparation These accounts have been prepared under the historical cost convention modified to account for any material revaluation of assets and liabilities to fair value in accordance with the standards, and subject to interpretations and adaptions of those standards contained Adoption of IFRS 16 will result in the term staff costs payable at the year end, which will be paid within one year from the date of reporting, are recognised in the Statement of Comprehensive Net Expenditure. These include any accrued leave entitlements.
recognition of right-of-use assets and lease liabilities for all contracts that are, or contain, a lease. For leases currently classified as operating leases, under current accounting requirements The National Archives does not recognise related assets or liabilities, and instead spreads the lease payments on a straight-line basis over the lease term. IFRS 16 application IFRS 16 is to be applied retrospectively with no restatement. The cumulative effects of initially applying the Standard recognised at 1 April 2020 is an adjustment to the opening balance of Taxpayers' Equity.
1.5
Pensions The provisions of the Principal Civil Service Pension Scheme (PCSPS) cover most past and present employees in The National Archives. While this is an unfunded defined benefit scheme, in accordance with the FReM adaptation of IAS 19, The National Archives accounts for it as a defined contribution scheme. The National Archives recognises contributions payable as an expense in the year in which they are incurred, and the legal or constructive obligation is limited to the amount that it agrees to contribute to the fund.
The National Archives as a lessee The National Archives has carried out an initial assessment of the new standard and has concluded that there are no significant leases impacting the financial statements.
For employees who retire early the Civil Service Compensation Scheme requires the department to pay over a lump sum to PCSPS to cover these costs in full following agreement of the departure and therefore these transactions are expensed when they occur.
The National Archives has an onerous lease recognised as a provision under IAS 37 Provision, Contingent Liabilities and Contingent Assets on a property vacated in Norwich. With reference to the expedient detailed in IFRS 16 (C3), the lease was not treated under IAS 17, and will therefore not fall under consideration for IFRS 16.
1.6
Value Added Tax (VAT) on purchases Most of the activities of the department are outside the scope of VAT and, in general output tax does not apply and input tax on purchases is not recoverable. Irrecoverable VAT is charged to the relevant expenditure category or included in the capitalised purchase price of non-current assets.
The National Archives as a lessor The National Archives currently recognises income from a licence of intellectual property (*The Gazette*) as an operating lease under IAS 17. This income will be accounted in accordance with IFRS 15 once IFRS 16 is adopted.
## Accounting Policies For Income
The National Archives does not act as a finance lessor.
## Accounting Policies For Expenditure
1.7
Revenue recognition Revenue principally comprises contracted charges for services provided for the sale of copies of documents, sale of publications and other items and services, reproduction fees and income generated by the licensing of digital copies of historical records.
## 1.4 Staff Costs Staff Costs Include Wages And Salaries, Social Security Costs And Pension Costs. All Short- Accounting Policies For Assets And Liabilities
Costs associated with the contracted revenue are recognised in the same accounting period. Operating income also includes grants and contributions from organisations, including other government departments, to carry out specific projects.
## 1.10 Property, Plant And Equipment Property, Plant And Equipment Other Than Land And Buildings Consist Of Plant And Machinery, Furniture And Fittings, Transport And Equipment, And Computers And Equipment Are Stated At Cost Or Revalued Amount Less Depreciation.
Further details of The National Archives recognition of contracted income are set out in note 4.
Expenditure on restoration and conservation work is part of the normal operating costs of The National Archives and is not capitalised; it is recorded as part of programme costs.
1.8
Lessor income The National Archives acts as lessor on a concessionary contract (*The Gazette*) whereby in return for letting the concession The National Archives receives a financial contribution.
The National Archives building and grounds at Kew are freehold property. There are no leased assets recognised in the Statement of Financial Position. Land and buildings are stated at fair value using professional valuations every five years at a minimum. Appropriate indices are applied in intervening years.
The contract is classified as an operating lease under IAS 17. The guaranteed revenue generated from the contract is recognised on a straight-line basis and the variable element is recognised as publishing rights are granted. The National Archives does not act as a finance lessor.
The minimum level for capitalisation of an individual, tangible non-current asset is £5,000. Where bulk purchases are made for individual assets whose unit costs are below the threshold, but in aggregate exceed £30,000 within a financial year, the assets are capitalised.
1.9
Value Added Tax (VAT) on sales Where output tax is chargeable, income is stated net of VAT. The National Archives does not charge any VAT for any work it carries out under statute.
Directly attributable costs incurred in bringing the asset to the location and condition necessary for it to be capable of operating are also capitalised. This includes the costs of external contractors who deliver on information technology projects as well as salaries of internal staff working 100% of their time on particular capital projects.
## Depreciation
Depreciation is provided at rates calculated to write off the valuation of freehold buildings and other non-current assets by equal instalments over their estimated useful lives. Freehold land and assets in the course of construction are not depreciated. Asset lives are in the following ranges:
| Buildings |
|-----------------------------------------------------|
| Computers and |
| equipment |
| up to 5 years |
reliable information on cost or valuation is not available for the department's collection of heritage assets. This is due to the diverse nature of the assets held, the lack of information on purchase cost (as the assets are not purchased), the lack of comparable market values, and the volume of items held. As well as the aforementioned, any market value placed on these assets would not be a true reflection of the value of the assets to the nation's heritage; the assets, if lost, could not be replaced or reconstructed. These assets are therefore not reported in the Statement of Financial Position.
| Plant and machinery | up to 25 years |
|-------------------------|------------------|
| Furniture, fixtures and | |
| fittings | |
| up to 50 years | |
| Transport equipment | up to 10 years |
Tangible assets are subject to annual review to assess at each reporting date whether there is any indication that the asset is impaired, as required by International Accounting Standard 36: Impairment of Assets.
Certain items within the overall collection are of particular significance, including Domesday Book, one of our most prized national treasures, which has been preserved for over nine centuries and is now cared for at Kew; two contemporary versions of Magna Carta; unique records of official treaties; and a host of irreplaceable social records. Further details of the preservation and management of our heritage assets are provided in note 7 of the accounts. 1.12
Intangible assets Intangible assets comprise software licences purchased from third parties, amortised over the life of the licence, and the cost of developing internal software assets, amortised on a straight-line basis over the useful economic life of the asset.
1.11
Heritage assets The National Archives holds more than 11 million physical records, artefacts and a significant and growing digital archive classed as non-operational heritage assets which are held in order to fulfil our statutory function which includes ensuring that important information is preserved and that it can be accessed and used. Records in our collection have been catalogued and contain descriptions of a broad range of documents and items. Further details of our online catalogue, Discovery, can be found at: discovery.nationalarchives.gov.uk In addition, The National Archives recognises licences issued to third parties and internal revenue generating databases (such as our Digital Download and Image Library services) as intangible assets with indefinite lives, reflecting their underlying nature of supporting public records.
In the opinion of The National Archives' Board, Asset lives are in the following ranges:
| Software licences |
|--------------------------|
| Internally developed |
| software |
| up to 10 years |
| Licences issued to third |
| parties |
| indefinite |
1.15
Contract assets (accrued income) and liabilities (payment on account) Contract assets (accrued income) relates to our enforceable right to consideration for our completed performance in respect of contracts where that work has not yet been invoiced. It is determined on the basis of work undertaken at the period end, less any provision for unrecoverable amounts.
Internal revenuegenerating databases
indefinite
Payments received in advance of performance under the contract are recognised as contract liabilities (payment on account). This is then recognised as revenue as the work is performed.
The valuation adopted for licences issued to third parties and internal revenue generating databases is based on current forecasts of reasonably foreseeable future revenue generating capacity, discounted as appropriate. Each intangible asset is subject to annual review to assess at each reporting date whether there is any indication that the asset is impaired, as required by International Accounting Standard 36: Impairment of Assets. Further details of the effects of changes in our forecast estimates are shown under note 6 of the accounts.
1.16
Provisions and contingent liabilities Provisions represent liabilities of uncertain timing or amount. Provisions are recognised when The National Archives has a present legal or constructive obligation, as a result of past events, for which it is probable that an outflow of economic benefits will be required to settle the obligation, and a reliable estimate can be made of the amount. If the likelihood of payment is less than probable, but greater than remote, a contingent liability is disclosed in the accounts. Provisions and contingent liabilities are valued at the best estimate of the expenditure required to settle the obligation. They are discounted to present value using rates set by HM Treasury, where the effect is material.
1.13
Cash and cash equivalents Cash and cash equivalents comprise current balances held at the Government Bank Service. Any amounts held in foreign currency are translated into sterling at the exchange rate on the date of reporting. 1.14
Contract and trade receivables Contract receivables are amounts invoiced and due from software development, licenses, reprographics, record copying and document downloads. Lessor and other income which is due and has been invoiced is recognised as trade receivables.
1.17
Third party assets The National Archives holds monetary assets on a temporary basis on behalf of other government departments for disbursement to them. These balances are related to arrangements for the collection and allocation of income that is generated by the licensing of Crown copyright material originated every five years at a minimum. Appropriate indices are used in intervening years. The selection of the indices used represents an accounting judgement and uncertainty in the valuation of land and buildings. For further information on the impact of COVID-19 on the valuation of land and buildings see note 5. Intangible Assets: The valuations of licenses issued to third parties and internal revenuegenerating databases are based on forecasts of probable future revenue generating capacity, which are uncertain. Further details in note 6.
by departments and agencies that do not have delegated authority to license this material themselves. The Chief Executive and Keeper, Jeff James, is the Controller of Her Majesty's Stationery Office (HMSO) and has responsibility for the management and licensing of copyrights owned by the Crown in his capacity as Queen's Printer and Queen's Printer for Scotland. At 31 March 2020, the value of those cash assets was £17,789. In accordance with the FReM, as government has a beneficial interest in these assets, the balances are included in the accounts within cash and trade payables.
Heritage assets: Reliable information on cost or valuation is not available for the department's collection of heritage assets and, accordingly, an accounting judgement has been made not to value these in the financial statements. Further details are in note 1.11.
1.18
Significant accounting judgements, estimates and assumptions The preparation of financial statements requires management to make judgements, estimates and assumptions that affect the reported amounts of assets, liabilities, income and expenses. Actual results may differ from these estimates. The financial statements of The National Archives include estimates and assumptions that could influence the financial statements of subsequent financial years. Estimates and underlying assumptions are reviewed on an ongoing basis. Revisions to accounting estimates are recognised in the period in which the estimate is revised and in any future periods effected.
Revenue recognition: As set out in note 4, IFRS 15 - Revenue from Contracts with Customers requires judgements and estimates. Judgement relates to the determination of performance obligations in each of the major revenue streams having the potential to impact the revenue recognition pattern under the contract. Assumptions are required to determine an appropriate measure of progress when determining how control over promised goods or services transfers to the customer. All of the above have the potential to result in a different revenue recognition pattern.
Non-current assets: Land and buildings are stated at fair value using professional valuations
## 2. Statement Of Operating Expenditure By Operating Segment
with our public task, which can be summarised as: leading on policy and best practice in knowledge and information management for the public sector; preserving and protecting the record; and providing public access.
IFRS 8 Operating Segments requires operating segmental information to be provided based on information that the Chief Executive and Keeper as Chief Operating Decision Maker (CODM) uses to make decisions about the organisation. This information reviewed by the CODM is currently presented based on our management structure as per pages 32 to 33. In order to aid readers' understanding, the segments below have been presented in line In accordance with IFRS 8, below is a schedule of income and expenditure against each identified segment. Overheads are allocated proportionally based on the direct costs of each segment.
2019-20
Government
Preservation
information
and protection
Public access
Total
management
£000
£000
£000
£000
Income
(2,361)
(495)
(10,628)
(13,484)
Operating expenditure
8,628
16,464
18,121
43,213
Depreciation, amortisation and impairment
1,249
2,383
2,624
6,256
Net operating cost
7,516
18,352
10,117
35,985
2018-19
Government
Preservation
information
and protection
Public access
Total
management
£000
£000
£000
£000
Income
(2,107)
(318)
(7,856)
(10,281)
Operating expenditure
8,065
14,905
15,345
38,315
Depreciation, amortisation and impairment
1,357
2,507
2,581
6,445
Net operating cost
7,315
17,094
10,070
34,479
## 3. Operating Costs
2019-20
2018-19
£000
£000
£000
£000
£000
Staff Costs Wages and salaries
17,956
18,066
Social Security costs
1,868
1,822
Other pension costs
4,620
3,428
Secondment charges/(recoveries)
34
(129)
24,478
23,187
Purchase of goods and services Goods and services
6,042
6,029
Contracted services
2,826
3,184
Building maintenance and costs
3,403
3,436
Office supplies and equipment
249
424
Technology cost
2,082
1,984
Telecommunication
198
174
Grants paid
151
302
Public access
613
389
Recruitment and training
333
355
Travel, subsistence and hospitality
362
325
Professional expenses
154
82
Contract expenditure (IFRS 15)
2,246
(1,616)
18,659
15,068
Non-cash items: Depreciation and amortisation - Civil estate
3,959
3,850
- Other non-current assets
2,297
2,595
Auditor's remuneration - audit work
75
70
Loss on disposal of non-current assets
-
4
Change to onerous lease provision
1
(14)
6,332
6,505
49,469
44,760
No fees have been paid to auditors for nonaudit work. Further analysis on staff numbers, compensation scheme packages and pension disclosure can be found on pages 53 to 56, within the accountability report.
Contract expenditure In accordance with IFRS 15, revenue and costs relating to a software development contract spanning three years were held as a contract liability in the Statement of Financial Position until the performance obligation was met this financial year. In 2017-18, £630,000 costs incurred and a further £1,616,000 costs in 2018-19 were released from contract liabilities (total £2,246,000) and are shown in operating costs above.
## 4. Income
The following are descriptions of the principal contracted activities, their associated performance obligations and significant payment terms under IFRS 15.
## Revenue Stream Timing Of Performance Obligations And Significant Payment Terms
Software development. Preparation of records and the development of a website for use by commercial partner. Licensing royalties. Commercial partners use accessioned content on their websites or within their online products and pay royalties to us when our subscribers use this content, or customers purchase their products. Record copying (statutory provision). Paper or digital copies of accessioned records. Reprographics. A digitisation service for bulk orders from third parties. The records can belong to us or external parties. Licensing resales. The initial commercial partner is required to provide us with a digitised copy of the images from which we can sell to an additional partner for a lump sum and benefit from further royalties.
Revenue is recognised once control of the software has passed to the commercial partner. Billing is in line with costs incurred. Project revenue and costs are deferred until ownership has passed. Revenue is recognised in line with usage/sales, and billing arrangements vary from a monthly to annual basis. Revenue is recognised when the copies are distributed to customers. Billing takes place prior to distribution of the copies. Revenue is recognised once the copies are provided to the third party and typically billed in advance. The lump sum is received in advance and recognised at the time of granting the licence and images, unless we require the images to be updated over the period in which the commercial partner has access to the licenced material. In such cases, the lump sum is recognised over the period of the licence.
| | 2019-20 | 2018-19 |
|----------------------------------------------|-----------|-----------|
| | £000 | £000 |
| Revenue from contracts with customers | | |
| Software Development | 3,056 | - |
| Licensing royalties | 2,784 | 3,082 |
| Record copying | 561 | 606 |
| Reprographics | 480 | 297 |
| Licensing resales | 329 | 715 |
| Storage income | 307 | 294 |
| Statutory printing | 283 | 219 |
| Document downloads | 265 | 356 |
| Shop income | 244 | 255 |
| Other | 839 | 736 |
| 9,148 | 6,560 | |
| Other income | | |
| Fees charged to other government departments | 341 | 246 |
| Grant income | 410 | 221 |
| Apprenticeship levy notional income | 51 | 59 |
| Lessor income | 3,534 | 3,195 |
| | 13,484 | 10,281 |
IFRS 15 the revenue was released once the performance obligation was met this year.
The receipt of £3,056,000 for software development straddled two financial years and is included as a contract liability (payment on account) in the prior year Statement of Financial Position. In accordance with The revenue is derived from a single commercial partner and exceeds 10% of the total revenue.
## 5. Property, Plant And Equipment
Assets under
construction
Total
Transport
equipment
Land
Buildings
Plant and
machinery
Computers
and
equipment
Furniture
fixtures
and
fittings
£000
£000
£000
£000
£000
£000
£000
£000
Cost or valuation At 1 April 2019
42,864
122,718
10,283
10,249
61
10,693
-
196,868
Additions
-
252
289
76
-
148
1,047
1,812
Disposals
-
-
(86)
(2)
-
-
-
(88)
Revaluation
900
2,583
-
-
-
-
-
3,483
At 31 March 2020
43,764
125,553
10,486
10,323
61
10,841
1,047
202,075
Depreciation
At 1 April 2019
-
11,551
5,927
4,773
61
8,283
-
30,595
Charged in year
-
3,928
776
508
-
890
-
6,102
Disposals
-
-
(86)
(2)
-
-
-
(88)
Revaluation
-
243
-
-
-
-
-
243
At 31 March 2020
-
15,722
6,617
5,279
61
9,173
-
36,852
Net book value
At 31 March 2020
43,764
109,831
3,869
5,044
-
1,668
1,047
165,223
At 31 March 2019
42,864
111,167
4,356
5,476
-
2,410
-
166,273
Land
Buildings
Plant and
machinery
Transport
equipment
Assets under
construction
Total
Computers
and
equipment
Furniture
fixtures
and
fittings
£000
£000
£000
£000
£000
£000
£000
£000
Cost or valuation
At 31 March 2018
41,575
119,028
13,096
7,948
61
8,073
-
189,781
Reclassification
-
-
(3,778)
1,870
-
1,908
-
-
At 1 April 2018
41,575
119,028
9,318
9,818
61
9,981
-
189,781
Additions
-
-
965
431
-
801
-
2,197
Disposals
-
-
-
-
-
(89)
-
(89)
Revaluation
1,289
3,690
-
-
-
-
-
4,979
At 31 March 2019
42,864
122,718
10,283
10,249
61
10,693
-
196,868
Depreciation At 31 March 2018
-
7,470
6,746
3,659
61
6,168
-
24,104
Reclassification
-
-
(1,657)
632
-
1,025
-
-
At 1 April 2018
-
7,470
5,089
4,291
61
7,193
-
24,104
Charged in year
-
3,850
838
482
-
1,175
-
6,345
Disposals
-
-
-
-
-
(85)
-
(85)
Revaluation
-
231
-
-
-
-
-
231
At 31 March 2019
-
11,551
5,927
4,773
61
8,283
-
30,595
Net book value
At 31 March 2019
42,864
111,167
4,356
5,476
-
2,410
-
166,273
At 31 March 2018
41,575
111,558
6,350
4,289
-
1,905
-
165,677
property markets with market activity being affected in many sectors. As at the valuation date, less weight can be attached to previous market evidence and published build cost information for comparison purposes to inform the estimation of asset values, which means less certainty and a higher degree of caution should be attached to the valuation.
b)
Revaluation in year is accounted for within other comprehensive net expenditure (page 70) and accumulated in taxpayers' equity under the revaluation reserve.
Notes a)
Freehold land and buildings were valued on 31 March 2016 at £141m on the basis of depreciated replacement cost for the buildings and the value of employment land in the area by an external firm of Chartered Surveyors, BNP Paribas Real Estate UK. Their valuation was carried out in accordance with the Appraisal and Valuation Manual issued by the Royal Institution of Chartered Surveyors. In years where there is no professional valuation exercise, revaluation is derived from the relevant indices as appropriate. The outbreak of COVID-19 has impacted
## 6. Intangible Assets
Software
licences
Cost or valuation At 1 April 2019
654
1,555
24,259
342
26,810
Additions
189
-
-
835
1,024
Impairment
-
-
-
-
-
Revaluation
-
(766)
312
-
(454)
At 31 March 2020
843
789
24,571
1,177
27,380
Amortisation
At 1 April 2019
357
-
-
-
357
Charged in year
156
-
-
-
156
Impairment
-
-
-
-
-
At 31 March 2020
513
-
-
-
513
Net book value 31 March 2020
330
789
24,571
1,177
26,867
31 March 2019
297
1,555
24,259
342
26,453
Software
licences
Cost or valuation
At 1 April 2018
431
1,540
19,125
-
21,096
Additions
226
-
-
342
568
Impairment
(3)
-
-
-
(3)
Revaluation
-
15
5,134
-
5,149
At 31 March 2019
654
1,555
24,259
342
26,810
Amortisation
At 1 April 2018
255
-
-
-
255
Charged in year
102
-
-
-
102
Impairment
-
-
-
-
-
At 31 March 2019
357
-
-
-
357
Net book value 31 March 2019
297
1,555
24,259
342
26,453
31 March 2018
176
1,540
19,125
-
20,841
Assets under construction relates to internally generated software to be depreciated once ready for use. Revaluation in year is accounted for within other comprehensive net expenditure and accumulated in taxpayers' equity under the revaluation reserve. Any decrease in valuation
Assets under
construction
Total
Licences
issued to
third parties
Internal
revenuegenerating
databases
£000
£000
£000
£000
£000
Assets under
construction
Total
Licences
issued to
third parties
Internal
revenuegenerating
databases
£000
£000
£000
£000
£000
of an asset in year has not exceeded any amount previously credited to the revaluation surplus. The intangible asset valuations of revenuegenerating databases and licences issued to third parties are based on forecasts of future revenue generating capacity, discounted as Below is a sensitivity analysis of the effects of changes in the forecast assumptions on the amounts disclosed in the accounts.
appropriate. The forecast cashflows estimated are subject to market conditions as they are dependent on customer use of the products offered - both existing and new.
Increase/(decrease) in 2019-20
valuation
Market risk - assumptions tested
£000
2019-20 income 10% less than forecast for revenue generating databases
(134)
2019-20 income 10% higher than forecast for revenue generating databases
134
2019-20 income 10% less than forecast for licences issued
(2,724)
2019-20 income 10% higher than forecast for licences issued
2,724
IAS 36 requires an intangible assets with an indefinite useful economic life to be tested for impairment annually and whenever there is an indication that the asset may be impaired, by comparing its carrying amount with its recoverable amount. As a result of undertaking this exercise there is no impairment to the value of the assets.
## 7. Further Information On Heritage Assets
legal and administrative value. This includes significant collections of digital records.
7a) Preservation and management Acquisition of heritage assets is through government bodies selecting digital and physical records for permanent preservation and transferring these records to The National Archives. In January 2013, central government began a ten-year transition, during which the age at which records would usually be transferred to The National Archives and released to the public is being reduced from 30 years to 20 years (however, many are transferred early).
We adopt a risk-based approach in preserving our digital and physical records. This consists of conducting a preservation risk assessment for whole collections which are subsequently reviewed periodically - and for digital records, on a continual and regular basis. The National Archives adopts a combined approach of preventative measures and conservation treatments for records in their digital and physical forms. Expenditure that is required to preserve or clearly prevent further deterioration of individual collection items is recognised in the Statement of Comprehensive Net Expenditure when it is incurred. In 2019-20 £1.98m was recognised (2018-19: £1.78m).
The National Archives is the guardian of the nation's public records. Its core role includes preserving and protecting, making available, and bringing to life the vast collection of historical information it holds. Most of the records are unique and irreplaceable and have been preserved for their historical, social,
## Our Approach To Preservation Risk
Act 1958 to the Chief Executive of The National Archives (in his capacity as Keeper of Public Records). The Chief Executive therefore has delegated authority to lend documents for display at exhibitions. All loans are conducted in accordance with our exhibitions policy and are subject to criteria agreed with Department of Digital, Culture, Media and Sport officials, in line with the loans polices of other major cultural heritage institutions.
Physical records The physical records held by The National Archives span over 1,000 years and fill around 200 linear kilometres of shelving on site at Kew and at the Deepstore facility in Cheshire. They comprise a variety of formats: parchment, traditional paper records, seals, maps, costumes, paintings, films, items of court evidence, and more.
Digital records The National Archives takes a leading role in dealing with the issues associated with the survival and preservation of today's digital public records. Our digital preservation techniques and policies follow current best practice, as recognised nationally and globally. It involves first establishing the file formats of the accessioned records and then preserving the original digital objects using passive 'bit level' preservation; this ensures the secure storage and fundamental integrity of the record.
The conservation, preservation and care of this unique and irreplaceable collection is a challenging responsibility, given the age and original condition of some of the physical materials. In order to fulfil our responsibilities to provide access, we are constantly improving our catalogue data, and monitoring the environmental conditions in our repositories. We have a dedicated team responsible for the long-term preservation of The National Archives' physical collection for continued access and future use, and we improve the stability of our most vulnerable records through conservation work.
A regular assessment of the risk of digital records becoming unfit for presentation is made and should a format be identified as posing a risk, action to migrate records in that format (or to otherwise mitigate that risk) is taken. The National Archives will always maintain the original manifestation of the record as accessioned. During the year, we took 2,998 snapshots of websites and social media accounts for the UK Government web archive (2,234 in 2018-19).
We seek appropriate and secure accommodation for all our holdings, wherever they are stored, processed, transferred, transported or used. This includes providing suitable environmental conditions and appropriate housing. It also includes monitoring via an integrated pest management programme and an environmental monitoring system. We recognise that of all potential risks to the long-term preservation of our records, inappropriate storage is the most significant. In the year to March 2020, we received records covering 2,018 metres of shelving (1,343 metres in 2018-19). The Secretary of State has delegated their power at section 2(4)(g) of the Public Records
7b) Access Details of the records we hold can be obtained through our online catalogue, Discovery. All open records are available for viewing by members of the public and can be viewed free of charge on site at Kew or copies can room to consult original documents. In some cases, valuable or fragile material may only be consulted under supervision either within the conservation studio or in the invigilation room. In instances where digital records are unsuitable for online presentation, they may only be viewed within the Digital Preservation department.
be requested to be sent out for a fee. Digital copies of some of our open documents are also available for download from our online services - some may be downloaded free and some for a small fee. A brief registration process is required to consult original documents; however, this is not required to view surrogates or online copies of documents.
There are ongoing projects to catalogue more of our heritage assets, many using volunteers, to further improve access to records and we have a dedicated catalogue team responsible for this.
Access to the records is provided in a number of ways, both on site and online. Original documents on site are accessed by readers or staff under controlled conditions in accordance with nationally recognised and agreed standards. Our target is to retrieve documents held on site within 60 minutes of the request being made and we consistently perform favourably against this. For documents kept at our off site storage facility in Cheshire, documents requested are made available for on site viewing within three working days if ordered by 11:00.
We closed our doors to the public on 17 March and to staff on 20 March 2020, in line with the UK Government's advice in response to the COVID-19 pandemic. The closure will be reviewed on a rolling basis alongside future government advice. Access to the physical record will be restricted for the foreseeable future. While we are closed to the public, we are providing free digital downloads of records via Discovery, our online catalogue.
Readers use the document reading room and the map and large document reading
## 8. Trade Receivables And Other Assets
| 2019-20 | 2018-19 |
|--------------------------------------|-----------|
| £000 | £000 |
| Amounts falling due within one year: | |
| Contract receivables | 230 |
| Trade receivables | 1,005 |
| Deposits and advances | 45 |
| Accrued income | 1,380 |
| Value Added Tax | - |
| Contract assets | 749 |
| Prepayments | 1,193 |
| 4,602 | 6,012 |
| Amounts falling due after one year: | |
| Prepayments | 70 |
| Total receivables | 4,672 |
The 2018-19 figures in the accounts have been amended to show a comparable classification. In last year's accounts the figures for accrued income and contract assets were shown as £1.889m and £nil respectively.
## 9. Trade Payables And Other Current Liabilities
| 2019-20 | 2018-19 |
|--------------------------------------------------------------------------------|-----------|
| £000 | £000 |
| Amounts falling due within one year: | |
| Other Taxation, Social Security and Pension | 974 |
| Trade payables | 1,027 |
| Accruals | 2,593 |
| Deferred income | 425 |
| Contract liabilities | 238 |
| Short-term staff benefits (earned leave liability) | 828 |
| Amounts issued from the Consolidated Fund for supply but not spent at year end | 10 |
| 6,095 | 7,664 |
| Amounts falling due after one year: | |
| Contract liabilities | 452 |
| Total payables | 6,547 |
## 10. Provisions For Liabilities And Charges
The following table provides information on liabilities and charges on an onerous lease.
| 2019-20 | 2018-19 |
|-------------------------------------|-----------|
| £000 | £000 |
| Balance at 1 April | 193 |
| Provided in year | - |
| Provision not required written back | 1 |
| Provisions utilised in year | (13) |
| Balance as at 31 March | 181 |
| Amounts falling due | |
| Not later than one year | 14 |
| Later than one year | 167 |
| Balance as at 31 March | 181 |
will be incurred under the contract discounted by the HM Treasury discount rate of -0.51% and the HMT inflation rate of 1.90%.
The onerous lease relates to a vacation of office space within a government building in Norwich. The lease runs until December 2023. The provision is calculated by taking costs that
## 11. Third Party Assets
The National Archives held short-term monetary assets valued at £17,789 on behalf of other government departments at the end of the reporting period (£82,371 at 31 March 2019).
| | 31 March 2019 | Gross inflows | Gross outflows | 31 March 2020 |
|-------------|-----------------|-----------------|------------------|-----------------|
| Assets held | 82 | 3 | 67 | 18 |
## 12. Lease And Other Commitments
contribution. As from 1 January 2020, there are no longer contractual minimum lease contributions receivable. The amounts recoverable under the contract are as follows:
12.1 Operating leases - The National Archives as lessor The Gazette is managed by The National Archives under a concessionary contract whereby in return for letting the concession The National Archives receives a financial
| 2019-20 | 2018-19 |
|---------------------------------------------------|-----------|
| £000 | £000 |
| Not later than one year | - |
| Later than one year and not later than five years | - |
| Beyond five years | - |
The National Archives is committed, analysed by the period during which the commitment expires are as follows:
12.2 Other financial commitments The National Archives entered into noncancellable contracts (which are not lease or PFI contracts) for a facilities management service and IT Services. The payments to which
| 2019-20 | 2018-19 |
|---------------------------------------------------|-----------|
| £000 | £000 |
| Not later than one year | 1,569 |
| Later than one year and not later than five years | 1,163 |
| Beyond five years | - |
| 2,732 | 4,567 |
## 13. Financial Instruments
to contracts to buy non-financial items in line with The National Archives' expected purchase and usage requirements and The National Archives is therefore exposed to little credit or liquidity risk.
As the cash requirements of The National Archives are met through the Estimates process, financial instruments play a more limited role in managing risk than would apply to a non-public sector body of a similar size. The majority of financial instruments relate
## 14. Contingent Liabilities
There were no material contingent liabilities at the reporting date (2018-19: nil).
## 15. Related Party Transactions
for Business Archives Council membership. During 2019-20, The National Archives paid an annual £55 institutional membership subscription fee (2018-19: £55) and a contribution to evaluation of Business Archives Strategy of £1,500 (2018-19: nil).
The National Archives is a non-ministerial government department. Its parent department is the Department for Digital, Culture, Media and Sport. The Chief Executive and Keeper reports to the Secretary of State. The National Archives has had a number of transactions with other government departments and other central government bodies, primarily UK Parliament, Office for Parliamentary Counsel, Scottish Parliament, Parliamentary Counsel Office Scotland and the Ministry of Justice.
John Sheridan is a Director of the Digital Preservation Coalition (DPC) and the DLM Forum, for and on behalf of The National Archives. The National Archives paid a membership fee of £9,360 (2018-19: £9,360) and £762 (2018-19: £787) respectively. The National Archives paid DPC £22,478 for development of digital preservation online learning resources (2018-19: £nil). In the prior year a sponsorship award was made to the DPC to the sum of £5,000. Claire Feehily is a Trustee of the National Heritage Lottery Fund. Grants were received in year to the sum of £118,087 (2018-19: £153,202) and grant income is accrued to the sum of £241,567 (2018-19: £83,750).
Jeff James is the President of the Forum of National Archivists, a sub-forum of the International Council on Archives (ICA). He is also a member of the ICA Executive Board. Subscription to the ICA was paid to the sum of £17,526 (2018-19: £17,895). In the prior year, The National Archives reimbursed ICA for £98,210 for a seconded member of staff and charged £1,520 for a video streaming service. In the current year The National Archives were reimbursed £1,533 for expenditure incurred on speaker's expenses.
There are no further outstanding balances owed to or owed from any of the above related party organisations.
Valerie Johnson was a Trustee and member of the Executive Committee of the Business Archives Council until November 2019. Valerie Johnson pays her own individual subscription The Remuneration Report (page 46) contains details of payments made to key personnel.
## 16. Events After The Reporting Period Date
There have been no significant events after 31 March 2020 that require adjustment to, or disclosure in, the financial statements.
These accounts have been authorised for issue by the Accounting Officer on the same date as the C&AG's Audit Certificate.
## Annex A Sustainability Accounting And Reporting Sustainability Accounting And Reporting
This report was prepared in accordance with HM Treasury's 'Public sector annual reports: sustainability reporting guidance 2019- 20'. Further information is available on our website.35
2019-20 is the final year of the 'Greening Government Commitments 2016 to 2020'.34 This report presents an overview of The National Archives' activities during the 2019-20 financial year, our progress against the revised Greening Government Commitments targets, and our plans for the next financial year 2020-21.
## Our Approach
Data accuracy We review and seek to improve our data gathering and reporting processes each year. Although we attempt to minimise estimation, this is used where it is not practical to obtain exact figures. Changes to estimation processes will also be explained. This year the data accounting dashboards were fully utilised to continually improve data quality with additional opportunities to enhance data accuracy:
Governance and reporting Our key sustainability targets are summarised within business plans and performance is regularly reviewed throughout the year. We are committed to meeting, and exceeding where practical, the Greening Government Commitments. Our Executive Team reviews our sustainability performance regularly. Our Board and Audit and Risk Committee review our sustainability performance, ensuring that progress is scrutinised and challenged where appropriate.
■
Following the travel dashboard being updated, travel data is now available directly from the travel providers as raw data to allow for greater interrogation.
■
The relevant dashboards have been updated with the current emissions and conversions factors.
■
This year IT asset disposal has been performed by a different provider. A full review of the operations and disposal processes will take place in 2020-21.
We are an active participant in sharing best practice and benefiting from lessons learnt from other departments, and from private and public sector organisations. We have worked with the National Museums Directors Council (NMDC) this year to share good practices and examples of engagement with employees and visitors in particular. This has focused on communicating current activities and seeking support from visitors. This work will continue throughout the coming year and beyond.
In 2020-21, the use of an automated platform to improve reporting and analytics is being reviewed which will be particularly important in setting and meeting the next set of targets. Our sustainability strategy and targets As a non-ministerial government department, we work to achieve the Greening Government Commitments - a set of targets and outcomes that together help ensure that central government meets its vision for sustainability. In many cases, these targets have already been achieved, and we have set more challenging internal targets and will continue to do so, striving to reduce our environmental impacts. Our environmental management system is built on sustainability and encourages
| SDG |
|------------------------------|
| SDG 3. Good Health & |
| Wellbeing |
| |
| - |
| Continual focus on |
| awareness through Green |
| Champions Network |
| SDG 8. Decent Work and |
| Economic Growth |
| |
| - |
| Digitisation programme |
| |
| - |
| Social Value and raising |
| awareness |
| SDG 11. Sustainable Cities & |
| Communities |
| |
| - |
| Local heritage |
| |
| - |
| Visitor engagement and |
| awareness |
| SDG 12. Responsible |
| Consumption and Production |
| |
| - |
| Circular economy |
| approach applied to |
| products, procurement. |
| Social Value report |
| SDG 13. Climate Action |
| |
| - |
| Continued focus on |
| emissions reduction |
| SDG 15. Life on Land |
| |
| - |
| Continued promotion of |
| biodiversity interests and |
| the ponds on site |
continual improvement. We translated the 2018-19 environmental goals and targets into a short infographic and shared it across the organisation to engage and promote the progress to date into simple messages. This has proven to be successful and we will provide the same for the 2019-20 information. In 2019-20, we continued to review our operations in line with the applicable Sustainable Development Goals (SDGs), highlighting how we contribute to these Goals and to help inform forward strategy. Our attention continues to focus on those that align closely to our strategic goals and where we would have most impact.
■
Improved wellbeing
■
Visitor engagement and awareness
■
Visitor engagement and resource efficiency
■
Supply chain involvement
■
Awareness and visitor engagement
■
Continued emissions reduction
■
Biodiversity surveys
■
Further signage for staff and visitor engagement
outcomes that resulted from successfully implementing sustainable behaviours will be promoted, aiming to encourage staff to embed these behaviours further. It will also aim to give positive feedback to staff and show that their efforts to improve sustainability performance are valued.
Progress against each of these areas is captured within the sections below and forms a key part of the Green Champions Network to engage employees and highlight areas of opportunities both in the workplace and at home. The objectives of this Network are to reinforce and embed environmental initiatives, improve internal knowledge sharing, and promote employee engagement for environmental and efficiency projects. The aim of this programme is to promote the ethos within the environmental management system to all staff. Positive environmental Meeting the Greening Government Commitments Progress has been strong in the final year of reporting against the revised Greening Government Commitments (GGC) targets, building on the progress made last year.
| The National | The National | Change | Change |
|-----------------|-----------------|----------------|-----------|
| Archives' | Archives' | against the | compared |
| Indicator | | | |
| GGC target | | | |
| (2019-20) | target (2019- | target | baseline |
| 20) | baseline year | 2019-20 (+/-%) | (+/-%) |
| Greenhouse | | | |
| gas emissions | | | |
| -32% | -65% | 2009-10 | -74% |
| Less than | | | |
| Zero waste to | | | |
| 10% waste to | | | |
| landfill | | | |
| 2010-11 | 0% | 0% | |
| landfill | | | |
| Operational | | | |
| Reduce waste | | | |
| waste | | | |
| generation | | | |
| -30%* | 2010-11 | -51% | -11% |
| Increase | Increase | | |
| recycling rate | recycling rate | | |
| 2010-11 | -0.4% | +14% | |
| Paper | -50% | - 50% | 2010-11 |
| Water | | | |
| Reduce water | | | |
| consumption | | | |
| -25% | 2009-10 | -30% | -6% |
| Domestic | | | |
| flights taken | | | |
| -30% | -30% | 2009-10 | -77% |
*
We our own target for waste reduction beyond the previous 25% Greening Government Commitment (GGC) target against the 2009-10 baseline, to aspire towards 30% reduction in waste generated.
For any indicators that have increased, we continue to strive for improvement.
2019-20 performance Performance in 2019-20 has continued the previous trend for carbon, energy and waste.
| Indicator | 2019-20 |
|------------------|-----------|
| 2019-20 per FTE | |
| employee | |
| 2018-19 | |
| 2018-19 per FTE | |
| employee | |
| Greenhouse | |
| gas emissions | |
| 2,105 | 4.2 |
| - scopes 1-3 | |
| (tonnes CO | |
| 2 | |
| e) | |
| Energy used | |
| (MWh) | |
| 8,542 | 17.2 |
| Waste | |
| produced* | 83 |
| (tonnes) | |
| Water used (m | |
| 3 | |
| ) | 17,462 |
| Domestic flights | |
| taken | |
| 21 | 0.04 |
*
Excludes one-off construction and refurbishment projects waste, to enable meaningful comparison.
Greenhouse gas emissions The Department of Digital, Culture, Media and Sport (DCMS) set an emissions reduction target for 2020 of 63% against the 2009-10 baseline. We went further by setting an internal target of 65% for this period.
Our greenhouse gas emissions associated with building energy use and domestic business travel in the 2019-20 financial year were 2,105 tonnes. This represents a 74% reduction in greenhouse gas emissions against the baseline 2009-10 financial year figures and a 13% reduction on the previous year's emissions.
| Indicator | 2019-20 |
|---------------------|-----------|
| Gross emissions for | |
| Greenhouse gas | |
| scope 1 and 2 | |
| 1,959 | 2,225 |
| emissions (tonnes | |
| Gross emissions for | |
| CO | |
| 2 | |
| e) | |
| scope 3 | |
| 146 | 175 |
Electricity: nonrenewable
5,279
5,758
Electricity: renewable
0
0
Electricity: good quality
Building energy
combined heat and
132
155
consumption (MWh)
power Natural gas
3,263
3,233
Diesel oil
0.9
0.2
Energy
885,650
936,703
Carbon Reduction
Financial indicators
Commitment
N/A
£41,851
(£)
allowances* Business travel
113,094
107,675
*
CRC has been stopped by the government with the last payment in 2018-19. No payments were made in the 2019-20 financial year.
ongoing refresh of LED lights into staff areas in 2020-21.
The quantity of emissions associated with each unit of electricity consumed has reduced by 47% since the 2009-10 baseline year, and we reduced emissions by 77.5% over the same time. Overall, total energy consumption has reduced by 5% in comparison to the same period last year and by 56% since the baseline.
Although business travel remains a relatively small contributor to our overall emissions, it has also reduced by 16% when comparing the same period to last year. In 2019-20, we performed an internal transport audit to highlight further potential reductions in emissions and where improvements in data quality can be made. International air travel was also reviewed to understand the impacts of travel extending beyond the domestic activities. An average of 11 flights per quarter took place with annual greenhouse gas emissions of 87.3T CO2e.
Improvements in the air quality of the occupied space continue to be reviewed with a proposal for utilising and integrating CO2 monitoring sensors within the Building Management System (BMS). This has stalled in part due to COVID-19 and the resulting government-set restrictions. There is an intent to complete this improvement in 2020-21. The capital programme to replace the boilers is in progress, also delayed in part due to the challenges of the COVID-19 pandemic.
Procurement is continuing to review GPC usage for general business travel, which will improve the granularity of data available improving our ability to determine emissions factors and the accuracy of the data.
Additional energy projects implemented this year include the continued LED roll out into back of house areas with motion sensors with We continue to avoid unnecessary business travel and have a general approach of promoting travel by public transport rather than car, and train rather than plane. The promotion of software and technology as a means of engagement has allowed for a dramatic reduction in domestic flights. This change in approach of engagement and the commercial need has helped further reduce emissions this year. During the COVID-19 pandemic restrictions, we are taking a pragmatic, safety-first approach to all forms of travel. This year we have continued to review our wellbeing programme. The initial stage reviewed the provision of facilities and services to develop a baseline of
| Indicator | 2019-20 | 2018-19 |
|---------------------|-----------|-----------|
| Total | 86 | 96 |
| Recycled and reused | 55 | 54 |
| Energy from waste | | |
| incineration | | |
| 24 | 36 | |
| Operational waste | | |
| (tonnes) | | |
| Food and catering: | | |
| anaerobic digestion | | |
| 7 | 6 | |
| Composted | 0 | 0 |
| Landfill | 0 | 0 |
| Total | 8 | 7.36 |
| Construction and | | |
| refurbishment | | |
| Recycled and reused | 4 | 2.6 |
| projects waste | | |
| (tonnes)^ | | |
| Landfill | 4 | 4.76 |
wellbeing performance and highlight areas for improvements which continued to be developed in 2019-20. Waste minimisation and management Our waste targets, baselined to 2010-11, are to reduce the total quantity of waste we produce, to increase our recycling rate, and to send less than 10% of our waste to landfill. We also have a target to reduce paper consumption by 50%. We have produced a total of 86 tonnes of general and recycling waste this year, in comparison to the 2010-11 baseline of 174.9 tonnes. No operational waste has been sent to landfill in 2019-20. Overall average monthly waste production has reduced by 51% since 2009-10 and 11% since last year.
| Total | 21,408 | £28,081 |
|---------------------|----------|-----------|
| Recycled and reused | 5,187 | £2,302 |
| Energy from waste | | |
| Operational waste | | |
| incineration | | |
| 7558 | £11,934 | |
| expenditure (£)* | | |
| Food and catering: | | |
| anaerobic digestion | | |
| 1,655 | £1,742 | |
| Landfill | 0 | £0 |
*
Spend data obtained from our Facilities Management contract provider. Total includes the cost of storage and containment.
^
Project waste volumes have been estimated for the roof and boilers projects undertaken this year.
This overall reduction in waste reflects changes that have taken place across departments. This has been facilitated by a focus on employee behaviour change measures through a waste roadshow and champions to improve knowledge of recycling.
areas promoted to engage employees. This included waste awareness and biodiversity surveys to improve knowledge both on and off site. Further programmes will be developed in alignment with the Sustainable Development Goals. Infographics have been used on the staff intranet to highlight positive environmental outcomes from changes in behaviour at The National Archives, such as waste management, and articles published in the staff magazine about biodiversity. In 2020-21 we will focus further on visitor engagement and will aim to remove plastic water bottles and move away from plastic takeaway cartons. We will work with our catering supplier to promote locally sourced food sources and implement healthier eating plans and reduce food waste.
The proportion of waste being recycled this financial year was 64.6%; while this is higher than last year; it is slightly less than the proportion achieved throughout 2010-11 (65%). This is partially an impact of reducing waste overall and the significant reductions in paper, with the energy from waste incineration falling primarily. In 2019- 20 opportunities to further reduce nonrecyclable waste were targeted, such as the rolling out of reusable cups to teams, and gaining a better understanding of how catering waste could lead to initiatives to divert more to recycling waste streams. The use of rice husk cups targeted the issue of coffee cups contaminating waste streams and the waste roadshow raised more awareness in this area. In 2019-20, the Green Champions Network held regular meetings with a series of key We held the 'Waste Roadshow' in November raising awareness through the green champions network to encourage staff to engage in planned activities. The week-long events covered issues such as prevention with a stationary amnesty, reuse focusing on the removal of single use cups and recycling with a visit from the waste contractor.
- 15% less than last year, and 62% less than 2010-11. The continual digitising of records will further reduce paper consumption along with printing restrictions in place. Sustainable procurement We continue to align our procurement to the Crown Commercial Service frameworks and seek to consider opportunities of the creation of social and environmental value through our procurement, rather than focusing solely on economic factors.
In 2019-20, through the Green Champions Network, initiatives were put in place to promote behaviour change to reduce waste generation. In 2020-21 we will produce further advice and training programmes for our staff, supporting them to adapt their activities where practicable. This will help to reduce the amount of waste generated overall. In addition, we will also look specifically at waste materials that are not recycled and work with the supply chain and the waste contractors to investigate how this can be improved. In 2020-21 we will carry out an employee survey, including sustainability questions, to further assess employee awareness of environmental issues such as waste and drive further behaviour change.
■
Following guidance on sustainable procurement and the circular economy: the procurement policy will be reviewed, strategic projects on waste reduction are being considered, and Government Procurement Card usage is continuing to be addressed with a further focus on travel use.
## Use Of Finite Resources
| Indicator |
|-------------|
| Water |
■
Our contract for catering services with Grayson's Restaurants and their approach to procuring and disposing products is also being reviewed.
| 17,462 | 18,514 |
|--------------|----------|
| consumption | |
| (m | |
| 3 | |
| ) | |
| Water supply | |
| costs (£) | |
| 39,710 | 33,261 |
| Paper use: | |
■
Contractors within the Facilities Management supply chain have been reviewed to identify where additional environment or social benefits risk can be provided. In 2020-21, these opportunities to The National Archives will be developed further.
(reams A4 eq.)
1,697
2,006
We have a target to reduce overall water consumption from 2009-10 levels.
We continue to embed Social Value into its culture, having carried out a detailed review to understand what social value means for the organisation and where we can best support and provide benefits within local communities.
The quantity of water consumed by our estate this financial year was 17,462m3. This is a reduction of 6% on the quantity consumed in the same period last year (18,514m3), and the consumption is 30% lower than that recorded in 2009-10.
In 2020-21, we will engage our strategic suppliers to take forward the programme with a view to implementing activities to improve the social value in the communities that we operate within.
Our paper consumption stands at the equivalent of 1697 standard reams of A4 paper operations and local area are from flooding and temperature extremes.
Biodiversity Our site is an important ecosystem for birds, bees, small mammals, and other invertebrates. It has significant biodiversity value, which positively impact its attractiveness as a destination, the wellbeing of employees, and its relationships with local stakeholders.
The flood risk assessment has been updated following the London Port Authority and Environment Agency remedial activities carried out last year to strengthen and improve flood defences. This, together with the recent revision to UK climate modelling, has brought the risks of future flooding events up to date. The assessment concluded that our building is at low risk of flooding from surface water, sewer and tidal flooding, with medium risk at the site boundary.
This is the third year of regular biodiversity surveys. That means meaningful year-onyear comparisons can be made to create recommendations for improvement. The engagement of the 'green champions' in biodiversity last year has been increasingly successful and we aim to continue to encourage involvement of interested staff. The final survey of 2019-20 was not carried out due to the COVID-19 restrictions. In 2019-20 we worked to develop our existing relationship with the Royal Botanic Gardens, Kew. Last year we designed new planting on the site to encourage a greater range of biodiversity including a meadow and new planters. New signage is planned across the site to highlight biodiversity features to employees, visitors and in particular to children.
Sustainable Construction In addition to the roof refurbishment project and the boiler and combined heat and power (CHP) upgrade that started this year, we also continued to progress our building master plan with the commencement of the construction of two embedded learning spaces due for completion next year. A key component of the tender exercise for this project was a clear and measurable commitment to reducing the environmental impact for the project. This included the project being managed through a site-specific environmental plan.
## Climate Change Adaptation The Greatest Risks Climate Change Poses For Our Annex B Advisory Council On National Records And Archives
Professor Phillip Johnson
Professor Leon Litvack
Ms Helene Pantelli
17th Annual Report 2019-20 To the Right Honourable Oliver Dowden CBE MP Secretary of State for Digital, Culture, Media and Sport (**'DCMS'**).
Mr David Rossington
## Part One - Introduction
Mr Martin Uden
This brings the total membership to seventeen.
Background The Advisory Council on National Records and Archives (the **'Council'**) is an independent advisory body, created under the Public Records Act 1958 and exercising statutory functions under that Act. It advises the Secretary of State for Digital, Culture, Media and Sport (the **'Secretary of State'**) on issues relating to access to public records. It also carries out duties under the Freedom of Information Act 2000.
Meetings The Council held four meetings in May, July and November 2019 and in February 2020, together with an additional training meeting in September, at which a number of helpful and informative presentations were given, including from the Foreign and Commonwealth Office on the challenges of dealing with digital sensitivity selection, review and transfer, and the Information Commissioner's Office on its work.
Through its sub-committee, the Forum on Historical Manuscripts and Academic Research (the **'Forum'**), the Council also advises the Chief Executive of The National Archives and Keeper of Public Records on matters relating to independent (non-governmental) archives outside the public records system.
Council meetings were attended by members, as well as by Jeff James, The National Archives' Chief Executive and Keeper of Public Records. Other representatives from The National Archives who possess particular expertise relating to the issues considered by the Council also participated, as necessary. The Ministry of Defence and the Metropolitan Police Service both attended meetings during the year.
The Council's and the Forum's respective remits are described in more detail in Appendix A and membership details are included in **Appendix B**.
## Closure Of Records Under The Freedom Of Information Act The Core Of The Work Of The Council Is To: Part Two - The Advisory Council'S Work In 2019-20
Membership Following a successful recruitment campaign, seven new members were appointed to the Council in October 2019:
Mr Stephen Hawker
1. act on behalf of the Secretary of State, in
advising public record-transferring bodies on the consideration of the public interest in relation to engaged qualified exemptions as defined in the FOIA, when a record is at the point of transfer to The National Archives. The Council may respond to
Mr Martin Howard
applications by such bodies for records (in whole or in part as appropriate) to be transferred closed by:
department withdraws or modifies the request. Occasionally, the Council may request that one of its members sees the full record. Further information on how the Council scrutinises and challenges the applications it receives is available on the Council's website: nationalarchives.gov.uk/about/our-role/ advisory-council .
a. accepting that the information may be
withheld for longer than 20 years and earmarking the records for release or re-review at the date identified by the authority;
b. accepting that the information may be
withheld for longer than 20 years but asking the authority to reconsider the proposed date for release or re-review;
c. questioning the basis on which it is
considered that the information may be withheld for longer than 20 years, asking the authority to reconsider the case, and, exceptionally, to request sight of the record;
In 2019-20, the Council considered **5,778**
applications for closure from departments (a similar figure to 2018-19). The Council queried 16% of applications for the transfer of records closed under qualified (i.e. not absolute) exemptions. This figure compares with 13.5% in 2018-19. In general, departments are providing fuller explanations to support their applications than in previous years which the Council has found helpful, but as the figures show, there are still a significant proportion that the Council has required further clarification, and in the case of 23 records, departments withdrew their applications in response to the Council's challenge.
d. advising departmental ministers
against the application of an FOI exemption in a particular case when, following thorough examination of the department's rationale, it judges the balance of public interest to be against closure.
In 2019-20, the Council considered 878 individual records which departments had applied to retain (a reduction from 970 in Change to 2018-19). The Council queried 11.5% of these (5.5% in Change to 2018-19), and departments withdrew five applications in response to the Council's challenge. The Secretary of State has accepted the Council's advice on every application considered this year. Detailed metrics are at Appendix C.
2. providing advice to the Secretary of State
when a public record-transferring body has made an application to retain records that are 20 years old, which would otherwise be transferred to The National Archives. The Secretary of State signals approval for retention for the specified period by signing a Retention Instrument.
In a new development, sub-groups of the Council met in April and October at The National Archives to examine a small sample of the records which the Council had previously agreed should be closed under the usual application process. The purpose of this examination was to provide assurance to the Council that the summaries of the records on Given the very large volume of applications placed before it, the Council works on the basis of summaries prepared by departments and scrutinised by The National Archives. The Council will ask for more details and question apparent weaknesses in the arguments for closure until it is satisfied; or until the which the Council had reached its views on the applications accurately described the records. The process was informative for Council members and provided an opportunity to offer feedback to departments.
Building on outreach work done by The National Archives, the Council is now better sighted and able to scrutinise the records management of Arm's Length Bodies and other organisations which are 'Places of Deposit' (for historic records) in their own right. This enables the Council to encourage strategic approaches to record transfers and to ensure compliance with the legislation, including for retention cover for historic documents. Review backlogs This year, the Council considered a larger than usual number of requests from departments relating to the management of review backlogs or where retention is sought for administrative purposes, in relation to documents which are not selected for permanent preservation. A smaller number of cases relate to records which have been selected for permanent preservation.
The Advisory Council's procedures and processes The Council, through its working group, has participated fully in wider government work to revise the Code of Practice under Section 46 of FOIA, in particular to ensure that the Code clearly reflects the Council's statutory responsibilities. The review also seeks to ensure that it fits the modern digital working environment and provides an accessible framework setting out how relevant authorities should manage information to support appropriate public access now and in the future. The draft Code should be available for public consultation later this year.
The Council received such retention applications from the Department for Business, Energy and Industrial Strategy; the Department for Environment, Food & Rural Affairs; the Department for International Development; the Home Office; the Ministry of Defence (Guards and Service Personnel); the Ministry of Justice; the Northern Ireland Office; the Foreign & Commonwealth Office; HM Treasury; the Department for Transport; the Department for Work & Pensions; the Department of Health & Social Care; the Ministry for Housing, Communities and Local Government; Cabinet Office; Office for Standards in Education, Children's Services and Skills; Royal Botanic Gardens Kew; Tate; The Royal Parks; UK Debt Management Office; the Welsh Government; Royal Mail Group and Post Office Ltd; the Environment Agency; the Food Standards Agency; Health & Safety Executive; HM Land Registry; Historic Royal Palaces; Metropolitan Police Service; Natural England; Office for National Statistics; Advisory, Engagement with departments The Ministry of Defence (MoD) attended the July meeting to provide an update on an outstanding issue regarding the review of a large number of Atomic Weapons Establishment (AWE) and Nuclear decommissioning Authority (NDA) records held at The National Archives. The MoD had requested the return of these records from public access for the purpose of review. The Council had requested more detailed information on the reason for removal, review process and timescales. A number of updates were provided during the year and staff from the Government Audience Department at The National Archives worked with MoD to resolve issues. Council also engaged with the MoD reviewers during the process. Most of the issues have now been resolved, however the Council invited the department to attend the May meeting to provide assurance around the timescales and further clarification on the process.
& Commonwealth Office; Ministry of Justice; Department for Education; Home Office; Ministry of Defence; Charity Commission; HM Revenue and Customs; and the Competition and Markets Authority.
Conciliation and Arbitration Service; the Insolvency Service; The Crown Prosecution Service; Medicines and Healthcare Products Regulatory Agency; Natural Resources Wales; Centre for Environment, Fisheries and Aquaculture Science; Competition and Markets Authority and Metrological Office. Some departments made more than one such application during the period. Generally, a period of one or two years was sought. In a small number of cases, three to six years was requested. The outcome of these applications was as follows:
FOI panels The Council acts on behalf of the Secretary of State, to consider the balance of the public interest in the release or non-disclosure of information contained in transferred historical records that engage qualified exemptions (only), when an application has been made to The National Archives under section 66 of FOIA for the disclosure of information held by it. The Council exercises this responsibility through the convening of panels of three members to consider up to 20 requests at a time.
■
For 34 of these requests, the Council was content to recommend to the Secretary of State that permission be given to the relevant organisation to retain its legacy records for the period requested.
Metrics During the financial year 2019-20, 26 panels were convened, with 514 cases being considered. Panels substantively challenged 62
of these, or 12% of the total.
■
In **five** cases, the recommendation was that the department be granted a lesser retention period than requested.
■
In two cases, the organisations were asked to attend the relevant Council meeting in person to provide a more detailed justification and timetable before a recommendation to the Secretary of State could be made.
Having been provided with more detail, in most cases the panels were able to accept departments' arguments for continuing to apply pubic interest based exemptions. However, 6 applications (1%) were withdrawn by departments following panel scrutiny, with two records being opened in full:
Panel 11 - Case 20: Removal of Section 38 exemption (information remained closed under S40) Panel 12 - Case 15: Removal of Section 38 exemption (information remained closed under S40)
■
In the remaining cases, the Council was content to recommend to the Secretary of State that permission be given to the relevant organisation to retain its legacy records for the period requested, but asked for written updates to be provided, to ensure that departmental records management projects remained on track.
Panel 16 - Case 3: Removal of Section 27 as material in the public domain. Exemption withdrawn; information released
The Council also considered update papers from the Department for Environment, Food & Rural Affairs; Animal & Plant Health Agency; The National Archives; the Foreign Panel 19B - Case 2: Panel challenged Section 27. Application was withdrawn pending reconsideration of the sensitivities of the file in consultation with FCO Panel 19B - Case 7: Removal of Section 27. File remains closed under absolute exemption Panel 20 - Case 18: Removal of Section 27(1). Exemption withdrawn; information released with regard to The National Archives, the Council has received a regular quarterly report from the Chief Executive and Keeper with regard to issues facing The National Archives and about its activities. These reports have been reviewed by the Council at its quarterly meetings. During the year the Council also reviewed and discussed proposals for a trial of a revised document ordering process intended to be introduced at the Kew site.
## Part Three - The Forum On Historical Manuscripts And Academic Research
■
Overall, sections 27 (international relations) and 38 of FOIA (health and safety) were both the most challenged exemptions, and the most frequently applied for.
■
Council noted the relevance and overlap between qualified and absolute exemptions applied to the same record (i.e. Section 27(2) and Section 41).
■
There were a number of questions around determining prejudice and the threshold for specific cases - i.e. the degree of harm to individuals for Section 38 cases and mental endangerment.
Background The Forum, in its capacity as a sub-committee of the Council, provides a means through which the Chief Executive of The National Archives, in his capacity as Historical Manuscripts Commissioner, can seek advice on historical manuscripts in independent (i.e. non-governmental) archives. It also facilitates discussion of academic research issues and programmes managed by The National Archives.
■
Council regularly reiterated the importance of quality assurance to applications for clarity to ensure cases are progressed without unnecessary challenge.
Membership The Forum is chaired by the Master of the Rolls. Ms Hillary Bauer, OBE currently acts as Deputy Chair. Three other members of the Council, all of whom have expertise in academic research and/or knowledge and experience of private archives, and two independent members currently serve as members of the Forum. A further recruitment process for an additional independent member was conducted in April 2019, but was unsuccessful.
Process The FOI panel process is explained in more detail in **Appendix D**. As in previous years, the majority of FOI requests for closed records sought access to criminal case files, usually relating to historic murder cases. In these instances, the Council is typically called upon to balance the public interest in release against the potential distress which might be caused to victims or their relatives, or (in the case of unsolved crimes) to the risk to the successful prosecution of perpetrators in the future.
Meetings Meetings of the Forum are attended by members and by the Chief Executive and other staff from The National Archives. The Forum met three times during the period
## Other Issues As Part Of The Council'S Broader Advisory Remit
■
advise and assist The National Archives regarding the events surrounding the 150th anniversary of the Historical Manuscripts Commission, specifically an evening event at the House of Lords for key stakeholders, and a symposium at The National Archives.
covered by this report, in September and December 2019 and in March 2020. It expects to hold at least three further meetings during 2019-20, at which it will focus on its agreed strategic priorities. These priorities have been reviewed during the year and the Forum has agreed four clear priorities for the next 12 months:
■
Cross-cutting issues with museums and libraries
■
Digital challenges
■
Threats to the archive sector
Other business In addition, the Forum has considered seven cases dealing with the acceptance by the government of private archives in lieu of the payment of a tax liability under the provisions of the Inheritance Tax Act 1984.
■
Raising awareness of the Forum and its work
More detailed objectives within these priorities have been identified and a Skills Audit is being undertaken to highlight the specific skills and experience of members to help inform the overall strategy and objectives discussions. During the period, the Forum continued to:
■
discuss and advise on the work of the Research and Academic Engagement and the Archive Sector Development teams at The National Archives;
Part Four - Looking Ahead Looking ahead to 2020-21, the biggest challenge will be the impact of the Covid-19 pandemic on the end-to-end process of selecting, reviewing and transferring records to The National Archives. At the time of writing there is much uncertainty about when normal working practices will be able to be resumed, and how new working practices can be adopted to mitigate current constraints. The Council stands ready to play its part through being flexible and innovative in enabling this important activity to continue as far as possible.
## The Right Honourable Sir Terence Etherton The Master Of The Rolls June 2020
■
engage with the digital teams at The National Archives to learn more about the challenges of digital material and discuss how these challenges might be addressed, especially in relation to independent archives and the wider sector;
## Annex A - The Remit Of The Council And The Forum Part One - The Council
In addition, the Council may be required to advise on:
■
major objectives, programmes and policy changes for The National Archives;
■
proposed legislation affecting The National Archives;
Background The Advisory Council on National Records and Archives was established by the Public Records Act 1958 ('PRA') and is a non-departmental public body. It is chaired by the Master of the Rolls, The Right Honourable Sir Terence Etherton, who was appointed with effect from 3 October 2016.
■
the implications for records and public services of any proposed change to the status of The National Archives; and/or
The role of the Council The Council is to consider and advise on matters including:
■
any subject brought to its attention by the Secretary of State.
As its name suggests, the Council's role is advisory. Accordingly, the Council does not:
■
make the final decision as to:
■
applications from departments for the retention within those departments of public records beyond the age of 20 years, when those selected for permanent preservation are normally transferred to The National Archives;
•
when they become historical, records are transferred to The National Archives closed; nor
•
when a closed record is reviewed after transfer, it should remain closed
as these decisions lie with the department whose records they are;
■
the balance of the public interest in relation to applications from departments for the extended closure of historical public records and other 'matters relating to the application of the Freedom of Information Act 2000 ('FOI Act') to information contained in public records that are historical records within the meaning of Part VI of that Act';
■
make the final decision on whether a record can be retained by a department. This decision is made by the Secretary of State for Digital, Culture, Media and Sport;
■
the balance of the public interest in the release or non-disclosure of historical records, an application for the disclosure of which has been made under the FOIA; and
■
advise on departments' retention of records under the Security and Retention Instrument 2011; nor
■
the preservation of public records in places of deposit and facilities for public access to them.
■
review departments' decisions on the selection of their records for permanent preservation.
This falls under the remit of the Keeper of Public Records.
Requests under FOIA in accordance with the third bullet point are dealt with through the FOI panel process, which is described in Annex D below.
of manorial and tithe documents, and the making of recommendations to Arts Council England on the allocation of archives and manuscripts accepted for the nation in lieu of tax; and
■
other issues that would formerly have come within the terms of reference of the Royal Commission on Historical Manuscripts.
■
In addition, on behalf of the Council, the Forum is to:
Part Two - The Forum The Council's responsibility relating to historical manuscripts (private archives) is discharged through the work of its sub-committee, the Forum on Historical Manuscripts and Academic Research. The Forum advises the Keeper of Public Records in his capacity as Historical Manuscripts Commissioner. The Forum considers and provides advice to the Secretary of State through the Council on matters relating to manuscripts, records and archives, other than public records, and particularly:
■
the location, collection, care, custody, preservation, acquisition, sale, and use in all formats of such documents;
■
act as a vehicle for the development of constructive and collaborative engagement between The National Archives and its academic stakeholders, sharing knowledge and developing trust and understanding; and
■
the compilation and dissemination of information about them;
■
provide an open, independent and authoritative advisory voice to The National Archives, to support its research and academic liaison.
■
any questions affecting such documents as may be referred for its consideration, including issues relating to the statutory duties of the Master of the Rolls in respect
## Annex B - Membership
Ms Jeannette Strickland, independent archive and records consultant; formerly Head of Art, Archives and Records Management, Unilever.
Part One - The Council The Master of the Rolls chairs the Advisory Council. The Master of the Rolls was originally responsible for the safe keeping of charters, patents and records of important court judgments. Today he is President of the Court of Appeal (Civil Division) and Head of Civil Justice. The current Master of the Rolls is the Right Honourable Sir Terence Etherton.
The Deputy Chair is **Mr Trevor Woolley CB**.
Mr John Wood, solicitor; Advisory Committee on Business Appointments (ACOBA) Independent Member; formerly Charity Commission for England and Wales Legal Board Member and Board Consultant; formerly Herbert Smith Freehills, Partner, then Consultant.
During the period covered by this report seven new Council members were appointed.
Mr Stephen Hawker, independent national security consultant; independent member of the Audit Committee of Manchester Metropolitan University.
Lady Moira Andrews, Director, Praetor Legal Ltd and ADS Group Ltd; Visiting Research Fellow, King's College London; former Government Legal Adviser.
Martin Howard CB, retired senior security official specialising in cyber and intelligence security policy and operations. Appointed Companion of the Bath.
Ms Hillary Bauer, OBE, adviser on culture and heritage issues; Board Member of Towner Gallery Eastbourne and of Ben Uri Museum and Gallery; Trustee of the Worshipful Company of Arts Scholars.
Professor Phillip Johnson, barrister; Professor of Commercial Law at Cardiff University; published numerous books and articles on law and legal political history.
Ms Liz Copper, BBC Senior Broadcast Journalist. Ms Lesley Ferguson, Head of Archives and Engagement, Historic Environment Scotland.
Professor Leon Litvack, Professor of Victorian Studies at the Queen's University of Belfast; specialist on Charles Dickens; board member of the Charles Dickens Museum; board member of National Museums Northern Ireland; freelance broadcaster for the BBC.
Dr Helen Forde, historian and archivist; formerly board member of the Museums and Libraries Association; Chair of the Board of Trustees of the Postal Museum; Vice President of the Society of Antiquaries.
Ms Helene Pantelli, solicitor specialising in commercial law; ombudsman at the Financial Ombudsman Dr Peter Gooderham, CMG, former Ambassador to the UN and WTO in Geneva.
David Rossington CB, former civil servant; Vice Chair and Treasurer of Stoll; Treasurer of Earth Trust; Trustee at the Oxfordshire Community Foundation; Trustee of Arts at the Old Fire Station.
Mr Michael Smyth CBE QC (Hon), Member Legal Services Board and Fundraising Regulator; former Head of Government Practice, Clifford Chance.
Martin Uden, former Ambassador in Seoul; International Partnerships Adviser at Queen Mary University of London; Trustee of a Christian mission charity; Chairman of the British Korean Society; President of the British Korean War Veterans' Society; published author.
the MSc in Information Management and Preservation. She is a qualified archivist and has extensive experience in archives and records information management in a variety of sectors. She is a member of the Scottish Catholic Heritage Commission.
Trevor Woolley CB, non-executive director, Oil and Pipelines Agency; formerly Director General, Ministry of Defence, who also acts as Deputy Chair of the Council.
Ms Jenny Shaw, the Collections Development Manager for the Wellcome Collection, where she is responsible for setting the collecting direction across formats, including archives. She previously worked as an archivist at the British Red Cross and BT Heritage.
The position of Secretary to the Council is currently vacant.
## Part Two - The Forum The Master Of The Rolls Chairs The Forum.
The Chief Executive of The National Archives is also a member of the Forum, on an ex officio basis, as the Historical Manuscripts Commissioner. The position of Secretary to the Forum is currently vacant Council members Ms Hillary Bauer, OBE (the current Deputy Chair), Ms Lesley Ferguson, Dr Helen Forde, Ms Jeannette Strickland and Professor Leon Litvack sit on the Forum, together with the following independent members: Ms Adele Redhead, a lecturer at the University of Glasgow, where she leads
## Annex C - Metrics
Key statistics relating to applications considered by the Council are set out below.
## Closure Of Records
■
In 2019-20, **72,899** (2018-19, 69,974) government records were accessioned at The National Archives.
■
60,707 or **83.3%** (2018-19, 61,145 or 87.4%)
of these records were transferred open in full or partially closed and can be viewed at The National Archives by any member of the public who has a reader's ticket.
■
6,923, or **9.5%** (2018-19, 4,658 or 6.7%) of these records were transferred closed, after departmental applications to do so had been scrutinised by the Council.
■
The number of closure applications submitted to the Council decreased this year to **5,778**, compared with 5,843 in
2018-19 (and 5,974 in 2017-18). Around 53% of these applications engaged only absolute exemptions and so were not subject to a public interest test. Of these, the vast majority involved personal information about private individuals; personal information may be protected from release by data protection legislation. In considering applications to close records to the public, the Council focuses on those that invoke exemptions subject to a public interest test. The most common exemptions claimed concern of damage to international relations and risks to the health or safety of individuals.
■
5,197, or **7.1%** (2018-19, 4,084 or 5.9%) of these records were retained in full by the relevant department.
Retention This year, the Council considered 878 retention applications, compared with 970 in 2018-19. Applications considered Overall, there was a decrease of 2% in the number of applications compared with 2018- 19, but this still represents an increase of 32% on 2014-15.
■
The remaining 72 were transferred as
'number not used'. (NB: This tag is used where a gap is identified in The National Archives' sequential catalogue numbering system. This might occur if, for example, a duplicate record is discovered. To avoid a laborious renumbering process, the relevant record number is shown in the catalogue as 'unused'.)
The following table sets out key metrics for 2019-2020, as compared with previous years:
| 2014-15 | 2015-16 | 2016-17 | 2017-18 | 2018-19* | 2019-20 |
|-----------------------------|-----------|-----------|-----------|------------|-----------|
| Applications | | | | | |
| considered | | | | | |
| 4,250 | 4,435 | 4,290 | 5,974 | 5,843 | 5,778 |
| Applications | | | | | |
| queried | | | | | |
| 181 | 480 | | | | |
| 465** | | | | | |
| 105 | 340 | | | | |
| 173 | | | | | |
| Applications | | | | | |
| where | | | | | |
| clarification | | | | | |
| was received | | | | | |
| and accepted | | | | | |
| Closure | | | | | |
| applications | | | | | |
| 67 | 126 | | | | |
| 247 | | | | | |
| Applications | | | | | |
| that were | | | | | |
| amended by | | | | | |
| departments | | | | | |
| and | | | | | |
| accepted*** | | | | | |
| 9 | 14 | | | | |
| 44 | | | | | |
| Applications | | | | | |
| withdrawn | | | | | |
| by | | | | | |
| departments | | | | | |
| following | | | | | |
| challenge by | | | | | |
| the Council | | | | | |
| Outstanding closure | | | | | |
| applications at March 2020* | | | | | |
| 0 (1 resolved) | | | | | |
| Applications | | | | | |
| considered | | | | | |
| 793 | 952 | 986 | 1,432 | 970 | 878 |
| Applications | | | | | |
| queried | | | | | |
| 28 | 44 | | | | |
| 108 | | | | | |
| 21 | 28 | | | | |
| 39 | | | | | |
| Applications | | | | | |
| where | | | | | |
| clarification | | | | | |
| was received | | | | | |
| and accepted | | | | | |
| Retention | | | | | |
| applications | | | | | |
| 4 | 12 | | | | |
| 57½ | | | | | |
| Applications | | | | | |
| that were | | | | | |
| amended by | | | | | |
| departments | | | | | |
| and accepted | | | | | |
| 3 | 4 | | | | |
| 11½ | | | | | |
| Applications | | | | | |
| withdrawn | | | | | |
| by | | | | | |
| departments | | | | | |
| following | | | | | |
| challenge by | | | | | |
| the Council | | | | | |
| Outstanding retention | | | | | |
| applications at March 2020* | | | | | |
| 1 (9-8 | | | | | |
| resolved) | | | | | |
| 28 | | | | | |
(510**)
410**
387
487
(232)
122
162
(157+1+4
recalculated)
194
(218)
209 ½****
208
(183+24,+1
recalculated)
173
17 (13+4)
23
(34)
32½*** (31
½*** + 1
outstanding
query
withdrawn)
97
0 (37 but
recalculated
as 29 entries
on the
proforma, all
resolved)
(116)
125
52
76
(41)
32
20
25
(39)
79
25 (19+6)
18
(26)
14
6
(4+2)
5
[29]
particular exemptions, but the record was transferred closed under another (agreed) exemption.
*
A number of queried cases remained unresolved at the end of the period covered by this report and will be carried forward. At the same time, the unresolved queries from the previous period have been included in this report.
****
The figure of ½ referred to reflects the fact that the relevant application covered two records and the application in respect of one of these was withdrawn.
[30] [Note: Responses to the resolves outstanding in 2017-18 and 2018-19 are in brackets and underlined. The first number in the bracket refers to that shown last year.
**
One application for 2016-17 was never resolved, see the section in this report called Access to Public Records. There were 46 closure applications queried in 2017-18 that were not resolved through the query process but resubmitted on a new schedule.
2016-17 and 2018-19 figures have been recalculated as some discrepancies had occurred].
***
These include cases where in response to Council challenge, departments withdrew applications for the use of
## Annex D - The Foi Panel Process
circumstances of the case, the public interest in disclosure is outweighed by the public interest in refusing access to the information in the record.
The Council's FOI panel process The Council is responsible for advising the Secretary of State on the application of the Freedom of Information Act 2000 ('**FOIA**') to historical public records. Records retained by departments and those closed at transfer to The National Archives remain subject to the FOIA and individuals can make a request under FOIA (an '**FOI request**')
to have access to them.
For this purpose, panels of three Council members are convened to consider the public interest in the release or non-disclosure of the requested information. (The Council has no advisory role when a request is to be refused citing only absolute exemptions.) In most cases, the FOI request concerns information closed at transfer on the grounds that it was information:
■
that, if released, would endanger the safety or physical or mental health of an individual;
■
that, if released, would damage international relations; or
When The National Archives receives a FOI request for access to closed information held by it, it follows the procedure set out in Part VI of FOIA. Under these provisions, before a request can be refused on the grounds of a qualified exemption, the Secretary of State must be consulted. The Council will assess the public interest test, which is necessary before such an exemption can be applied. This test is applied to determine, whether, in all the
■
relating to law enforcement.
Cases are carefully scrutinised and debated by panels on the basis of a fresh assessment by the department of the arguments for and against disclosure, taking account of any change in circumstances since the access status of the record was last considered. If they consider it necessary, panel members will request further detail or clarification from the relevant department or The National Archives. Even where they are in agreement that the public interest in closure outweighs the public interest in applying the exemption, members of the panel may also raise concerns about departmental practices and draw attention to inconsistencies between departments in their handling of FOI requests.
## Annex C Annual Report Of The Independent Complaints Reviewer 2019-20
In April 2018, The National Archives appointed ch&i associates to act as its Independent Complaints Reviewer (ICR). We are delighted to present our second annual report as ICR for The National Archives.
complaints process that aims to ensure that customer feedback, however defined and expressed, improves service delivery and puts things right for people. The National Archives' commitments and principles here are spelled out in its Policy for handling comments and complaints. This emphasises simplicity of access, clarity, timeliness and fairness.
The ICR service is free to complainants and offers an independent review of complaints that The National Archives has been unable to resolve itself. Our role is:
■
To provide judgements as to whether The National Archives has provided good or reasonable service consistent with its policies and procedures and in line with its stated standards and practices and other widely accepted principles of good practice.
■
To determine whether there have been any deficiencies in the service provided to the customer (whether constituting, or falling short of, maladministration) that call for attention.
During 2018-19, we carried out a review of the performance of The National Archives' complaint handling function against both its own internal policies and targets, and best practice. We found not only that The National Archives delivers a 'gold standard' complaints service; but that it commits a substantial amount of energy into getting it right first time. Perhaps for this reason, The National Archives has reduced the number of complaints received by almost half (dropping from 56 to 30). While a reduction in complaints cannot on its own be equated to an improvement in service, it has occurred alongside an increase in compliments (rising from 79 to 83).
■
To recommend proportionate and fitting remedies where service standards have fallen below an acceptable standard.
ch&i associates is run by Jon Wigmore and Alex Oram, both of whom have extensive experience of complaint handling and investigations. They currently also act as the ICR (or equivalent) for other bodies, including the Department for Transport, the General Medical Council and the Public Services Ombudsman for Wales.
The number of complaints received must also be seen in the context of The National Archives' relatively high level of transaction. This year, The National Archives produced 508,284 documents and dealt with more than 23,000 telephone enquiries and 27,582 written enquiries. The number of telephone enquires has reduced significantly over the last year, perhaps because the online 'live chat' function has proved so popular (approaching 14,000 contacts). There was a decrease generally in the numbers of direct customer feedback received by The National Archives via its more traditional routes. This year though has seen The National Archives adopt its Trip
## Overview Of Complaint Activity And The National Archives' Learning From Complaints And Customer Feedback The National Archives Sets Itself High Service Delivery Standards And Has An Ambitious
Advisor and Google Reviews to ensure that it can engage directly with customers via those popular platforms.
all of the complainant's original concerns had been fully addressed by The National Archives by the time his complaint reached us, we were of the view that this took The National Archives too long and that it should have apologised for failing to get it right the first time. We were very impressed with The National Archives' response to what was a minor criticism, with staff up to and including the Chief Executive and Keeper demonstrating a real determination to ensure that lessons were learned.
As we approach the end of our second year in the role of ICR, only one complainant has asked for an ICR review and none have taken a complaint to the Parliamentary Ombudsman. The complaint that we reviewed concerned the application of a contract between The National Archives and an organisation to whom a licence had been granted to digitise microfilm of historic records that it had already acquired. While the review concluded that
## Contact The Icr
Details of the ICR service can be found at https://www.nationalarchives.gov.uk/contactus/complaints-procedure/ ch&i associates ltd 253 Park Lane Macclesfield SK11 8AA Telephone number: +44 (0)3301331492 Email: [email protected]
## Appendix Of Local Places Of Deposit Who Received New Burdens Funding 2019-20
Nottinghamshire Archives
London Metropolitan Archives
Bristol Archives
Bromley Historic Collections
Bedfordshire Archives & Records Service
Liverpool Record Office
Berkshire Record Office
St Helens Local History & Archives
Centre for Buckinghamshire Studies
Birmingham Archives & Collections
Cambridgeshire Archives (including Huntingdon)
Sandwell Community History and Archives Service
Cheshire Archives & Local Studies
Norfolk Record Office
Teesside Archives
Northumberland Archives
Cumbria Archive Service (all)
Oxfordshire History Centre
Derbyshire Record Office
Staffordshire Record Office
Devon Heritage Centre
Suffolk Record Office (all)
Dorset History Centre
Surrey History Centre
Durham County Record Office
East Sussex Record Office
Essex Record Office
West Sussex Record Office
Gloucestershire Archives
Tyne and Wear Archives
Hampshire Record Office
Wiltshire and Swindon Archives
North Yorkshire County Record Office
Worcestershire Archive and Archaeology Service
Doncaster Archives
Hertfordshire Archives and Local Studies
Sheffield City Archives
Kent History and Library Centre
West Yorkshire Archive Service
Lancashire Archives
Glamorgan Archives
Gwent Archives
Record Office for Leicestershire, Leicester and Rutland
CCS0520639394 978-1-5286-1954-7 | en |
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## Food Safety For Food Delivery Hygiene And Allergy Advice For Takeaways And Food Delivery Businesses
This guidance provides food safety information for food businesses which deliver meals to customers. If you are a new business, we have further information on setting up a food business and how to manage food safety effectively.
## Registration
Existing food businesses which intend to start delivering food orders need to consider any new or different risks posed by this change in operation. They should adapt their Food Safety Management System to make sure food placed on the market remains safe to eat.
## Important
Planning rules were relaxed on 17 March 2020 to allow pubs and restaurants to operate for 12 months as hot food and drinks takeaways during the coronavirus outbreak. Businesses must tell their local authority when the new use begins and ends.
## Taking An Order
You can receive an order for a takeaway by phone, your own website, or another online platform. If you are providing an online menu or order form, you must make sure it's clear what you're selling, the quantity, the price, and all relevant allergen information. Food delivery businesses must provide allergen information to customers when taking an order. This can be done orally (by phone) or in writing (through your website or a printed menu). You should have a statement on your website to advise customers where they can obtain allergen information before they place their order. If you provide food via an external online ordering website, they may have their own requirements for providing allergen information to customers. Staff should be aware of how to take orders with specific allergy requirements over the phone or online. Staff should have clear written allergen information to refer to, so that they can respond to allergy requests accurately when taking orders.
## Hygiene Guidance For Food Delivery
The four main things to remember for good hygiene in your food business are the 4Cs: cleaning, cooking, chilling and avoiding cross-contamination. It's very important to store food properly to keep it safe. Storing food in sealed containers and at the correct temperature protects it from harmful bacteria, stops objects falling into it, and avoids cross-contamination with other ingredients. We have more information on how to chill food correctly and fridge temperatures for your food business. Existing food businesses which change to delivering food to customers should review and, if necessary, update their Hazard Analysis and Critical Control Point (HACCP) procedures. A simpler, practical guide for smaller businesses and retailers on how to manage hygiene and allergens in the kitchen can be found in our Safer food, better business information packs for caterers. This includes advice on what to consider when delivering food.
## Allergen Guidance For Food Delivery
Food businesses need to tell customers if food they provide contains any of the specified allergens as an ingredient. These 14 allergens have been chosen because they are the most common and dangerous.
Consumers may be allergic or intolerant to other ingredients, but you are only legally required to provide information for these 14 allergens.
The 14 allergens are: celery, **cereals containing gluten** (such as barley and oats), crustaceans (such as prawns, crabs and lobsters), eggs, fish, lupin, milk, **molluscs** (such as mussels and oysters), mustard, peanuts, sesame, soybeans, **sulphur dioxide and sulphites** (if they are at a concentration of more than ten parts per million) and **tree nuts** (such as almonds, hazelnuts, walnuts, brazil nuts, cashews, pecans, pistachios and macadamia nuts). If food is sold online or by phone through distance selling, allergen information must be provided at two stages in the order process.
You must provide allergen information:
before the purchase of the food is completed - this can be in writing (on a website, catalogue or menu) or orally (by phone) when the food is delivered - this can be in writing (allergen stickers on food or an enclosed copy of a menu) or orally (by delivery driver).
It is important for food businesses to take steps to avoid cross-contamination in food preparation. This protects customers with a food allergy. There are a number of actions you can take to prevent cross-contamination with allergens in your food business. These include:
cleaning utensils before each usage regularly washing hands thoroughly storing ingredients and prepared foods separately keeping ingredients that contain allergens separate from other ingredients. Takeaway meals should be labelled clearly so customers know which dishes are suitable for those with an allergy.
## Delivering Food Orders
All food must be delivered to consumers in a way that ensures that it does not become unsafe or unfit to eat. Food that needs refrigerating must be kept cool while being transported. This may need to be packed in an insulated box with a coolant gel or in a cool bag. Equally, food that needs to be kept hot should be packed in an insulated bag. Food businesses should also identify and remove possible cross-contamination risks in the delivery process. This can be done through packaging meals securely and storing allergen-free meals separately in transit to avoid contamination through any spillages. If an allergen-free meal has been ordered, it should be clear when delivered which container it is in. You can use stickers or a note on the container to label each meal.
## Delivery Vehicles
If you use a domestic vehicle (or a non-food industry business vehicle) to transport groceries or food orders, our guidance for businesses that supply or produce food on the move provides more information about hygiene requirements and vehicle specifications.
If vehicles or containers have been used for transporting anything other than food, effective cleaning is required between loads to avoid the risk of contamination.
Hazard Analysis and Critical Control Point (HACCP) plans need to be updated to include details of transported food. Further advice should always be sought from your local authority, who will need to be satisfied with the suitability of the vehicle. | en |
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## British Library Annual Report And Accounts 2015/16
British Library Annual Report and Accounts
2015/16
British Library Annual Report and Accounts
2016/17
## British Library
Annual Report and Accounts 2016/17 Presented to Parliament pursuant to section 4(3) and 5(3) of the British Library Act 1972 Laid before the Scottish Parliament by the Scottish Ministers 12 July 2017 Laid before the National Assembly for Wales by the [First Secretary] 12 July 2017 Laid before the National Assembly for Northern Ireland 14 July 2017 Ordered by the House of Commons to be printed on 12 July 2017
© British Library (2017) The text of this document (this excludes, where present, the Royal Arms and all departmental or agency logos) may be reproduced free of charge in any format or medium provided that it is reproduced accurately and not in a misleading context. The material must be acknowledged as British Library copyright and the document title specified. Where third party material has been identified, permission from the respective copyright holder must be sought. Any enquiries related to this publication should be sent to us at [email protected] This publication is available at www.gov.uk/government/publications Print ISBN: 9781474146999 Web ISBN: 9781474147002 ID: 20061744 07/17 Printed on paper containing 75% recycled fibre content minimum Printed in the UK by Williams Lea Tag on behalf of the Controller of Her Majesty's Stationery Office
## Contents
| Chairman and Chief Executive's Introduction | 4 |
|-----------------------------------------------|-----|
| Annual Report 2016/17 | |
| Our Purposes | 7 |
| Custodianship | 8 |
| Research | 12 |
| Business | 16 |
| Culture | 20 |
| Learning | 24 |
| International | 28 |
| Public Lending Right | 32 |
| Enabling Living Knowledge | 34 |
| Key Performance Indicators | 36 |
| Grants and Donations | 38 |
| Annual Accounts 2016/17 | |
| | 41 |
| Statement of Directors' and Accounting | |
| Officer's Responsibilities | 42 |
| Financial Review | 43 |
| Reference and Administrative Details | 46 |
| Sustainability Report | 47 |
| Remuneration Report | 50 |
| Governance Statement | 55 |
| The Certificate and Report of the | |
| Comptroller and Auditor General to the Houses | |
| of Parliament and the Scottish Parliament | 62 |
| Statement of Financial Activities | 63 |
| Balance Sheet | 64 |
| Cashflow Statement | 65 |
| Notes to the Accounts | 66 |
## Chairman And Chief Executive'S Introduction
In a year of dramatic events on the global stage, we are proud that this has been an exceptional year for advancing the Library's international purpose, working with partners around the world to advance knowledge and mutual understanding.
Digital Library of India to share metadata and digitised content. We secured additional funding from the Arts and Humanities Research Council and the Newton Fund for our Two Centuries of Indian Print project, enabling the digitisation of an additional 3,000 of the earliest Bengali books and 6,000 Vernacular Tracts.
Closer to home, we continued to strengthen relationships in Europe, announcing a major partnership with the Bibliothèque nationale de France, generously funded by The Polonsky Foundation. This will digitise 800 illuminated manuscripts from the period 700–1200 from each respective collection, opening up our shared early medieval heritage to new global audiences.
Our cultural engagement in China is unprecedented in its depth and breadth, most vividly illustrated with the signing of an exhibition agreement with the National Library of China at 2016's UK-China High Level People to People Dialogue in Shanghai. Some of the Library's most iconic objects, including an early Shakespeare Quarto, will star in exhibitions across China through to 2019. The initiative was launched to acclaim at both the National Library of China in Beijing and here in London, where we were joined by the Chinese Ambassador to the UK.
A similar spirit of collaboration marked the launch of the Living Knowledge Network in September 2016. Funded by Arts Council England, this is a nationwide pilot partnership between the British Library and the National Libraries of Scotland and Wales, Libraries NI (Northern Ireland) and 21 major public libraries across the UK. Building on the successful Business & IP Centre network, it aims to strengthen the collective ability of libraries to deliver services to diverse communities. Early activity has included co-ordinated live screenings of British Library events to Exeter, Leeds and Our collaboration with Indian institutions continued to prosper through a vibrant programme of research, and cultural exchange. Loans of King George III's edition of Shakespeare's First Folio to the CSMVS Museum in Mumbai and a facsimile of the Magna Carta to the Jaipur Literature Festival were particularly popular. We also hosted a series of workshops and seminars for researchers and library professionals in India, and entered into a memorandum of understanding with the National Middlesbrough, and skills sharing days for staff across the network.
Prize, and from Grayson Perry's use of maps in his art to Sir John Major's family roots in the music halls of England. We welcomed almost 1.5m people to the Library and continued to deliver excellent service, with around 95% of users expressing satisfaction with our Reading Rooms and exhibitions. In common with many London cultural institutions, we experienced a small but disappointing reduction in our overall visitor numbers. In response, we are making improvements to our Treasures Gallery to ensure that our core offer continues to inspire and engage in future years. We launched a well-received Membership scheme in November with over 1,700 signing up in the first five months for the unique benefits offered by the scheme. This has been an important step for the Library, helping to cement our status as a leading cultural heritage institution and creating vital financial support to care for our collection.
And here in King's Cross, the Knowledge Quarter - of which the Library is a founder member - was established as a company limited by guarantee in its second year of operation. That is testament to how rapidly it has grown and the strength of the networks built between 80 local organisations involved in advancing and disseminating knowledge. It is an engine of collaboration in the local area, on topics including improvements to public realm, skills sharing and cultural engagement. Our openness to partnership working is also shaping the development of our estates and buildings. Our 42-acre site in Boston Spa, Yorkshire, at the geographical heart of the UK, is key to the national knowledge infrastructure
and stores 70% of the Library's collections. Our vision for the future of Boston Spa is taking shape, envisaging a renewed centre of excellence in physical and digital collection management.
Underpinning these exciting developments is the continued growth and curatorial development of our collection. This year, that meant adding over 330,000 physical items and 180 terabytes of digital content, and undertaking the preservation of over 18,000 heritage objects. Despite the ceaseless growth in demand each year that our collection and preservation duties entail, we are performing impressively on sustainability, driving down carbon emissions by 37.6% since our baseline year of 2009/10.
In London, we were delighted that our St Pancras Transformed development vision was approved by the Department for Culture, Media and Sport and HM Treasury. This will ultimately deliver 100,000 square feet of new space, at no cost to the Exchequer, for the Library and The Alan Turing Institute (the national institute for data science, headquartered at the British Library in St Pancras) to grow into. The space will create new opportunities to deliver learning activities for people of all ages, provide spaces for entrepreneurs and small businesses to engage with our thriving Business & IP Centre, and for bold new cultural exhibitions and events.
All these achievements and more have been made possible through careful financial planning and efficient use of resources; and through the tireless efforts of our staff, steadily bringing to life our Living Knowledge vision with energy, creativity and passion.
The transformation of our iconic London building has already begun. This year we opened a Members' Room offering a peaceful retreat from the academic environs of our Reading Rooms and the buzz of our public spaces. Our refurbished Knowledge Centre offers a superb 255-seat Theatre, with a new bar and updated conferencing facilities. A new restaurant and coffee shop improves the catering options available to our users in this landmark building. This physical transformation is already amplifying the human life of the Library. Major exhibitions ranged from a celebration of the cultural phenomenon that was *Punk 1976–78* to an exploration of 400 years of Shakespeare in Ten Acts. Our accompanying cultural programme has brought some of the most inspiring and thoughtprovoking subjects to life, from the Hip Hop Shakespeare Company's unique storytelling to Margaret Atwood receiving the 2016 PEN Pinter
## Our Purposes
The British Library's six purposes define everything that we do and explain the enduring ways in which the funding we receive helps deliver tangible public value. By fulfilling each of these purposes we aim to achieve our wider objective of making our intellectual heritage available to everyone, for research, inspiration and enjoyment.
1
Custodianship
We build, curate and preserve the UK's national collection of published, written and digital content
2
Research
We support and stimulate research of all kinds
3
Business
We help businesses to innovate and grow
4
Culture
We engage everyone with memorable cultural experiences
5
Learning
We inspire young people and learners of all ages
6
International
We work with partners around the world to advance knowledge and mutual understanding
## Custodianship We Build, Curate And Preserve The Uk'S National Collection Of Published, Written And Digital Content
Our role in collecting the nation's intellectual and cultural heritage is at the heart of everything we do, from the millions of items we make available to researchers via our Reading Rooms to the growing suite of material we share online with audiences around the world.
resource to open up access to audiences, which will go live in 2019. Save Our Sounds is part of our Heritage Made Digital programme of work, which will include in 2017/18 projects working on the digitisation of Indian printed books, key Ethiopic manuscripts, and particularly fragile British newspapers from the 19th century. The collection of printed works (including books, newspapers, serials, music scores, maps and atlases) continues to grow at pace with over 330,000 items added this year through legal deposit. Our physical collection occupies over 720 linear kilometres of shelf space, 70% of which meets international archival standards. Preservation of the collection is a substantial undertaking, with over 18,000 items preserved this year using techniques such as binding, rebinding, minor repairs and boxing.
This core purpose includes preserving the nation's sound heritage through the Save Our Sounds programme, which works to protect recordings at risk of degrading or becoming unplayable as formats evolve. This year, we were awarded a £9.5m National Lottery grant toward Unlocking Our Sound Heritage, a major £18.8m preservation and access project. This will create the first ever national network of sound preservation centres, who will work with the British Library to save almost half a million unique and vulnerable recordings. These will be used to create a new web Opposite: 'Criterion' hard-back notebook, with notes and scenarios for novels. Part of the P G Wodehouse archive, acquired this year; Below: Storage void of the National Newspaper Building at Boston Spa. Photo by Kippa Matthews.
-
Elgar's Unfinished Pomp and Circumstance March
Sketches by Sir Edward Elgar (1857–1934) for an unfinished sixth march in the renowned Pomp and Circumstance series were acquired with assistance from the Friends of the British Library. Originally presented by Elgar to the violinist W H Reed (d. 1942), they supplement the Library's pre-eminent holdings of Elgar manuscripts.
The growth of our digital collections continues to accelerate. Over the past year we added nearly 73,000 e-books and over 1.12m e-journal articles to our digital library system (bringing our total digital collection of e-books and e-journal articles to more than 120,000 and 2m respectively). The Library also delivers the UK Web Archive and, in 2016, conducted the fourth UK domain web crawl harvesting some 70 terabytes of content. This is estimated at approximately 2billion web assets (including web pages, images, videos and documents) and some 12m websites. We anticipate continued growing demand pressures in digital collection, storage and preservation; upgrading our capacity is a strategic priority as we build
our vision for our Boston Spa site in Yorkshire.
In addition to legal deposit, our expert curatorial teams continued to collect and preserve for the nation a range of inspiring cultural heritage content including:
-
The Archive of Will Self
Will Self's dystopian visions and outrageous scenarios hold up a distorting mirror to contemporary British society. Prolific as a
writer of fiction and as a journalist, Self is also prominent as a public intellectual, broadcasting at times controversial views in the national media. The archive acquired by the Library comprises diaries, working notebooks, audiovisual material and the author's computer hard drive and correspondence with authors including J G Ballard, John Banville, Iain Sinclair, Martin Amis and Oliver Sacks.
-
The P G Wodehouse Archive
The personal archive of P G Wodehouse (1881–1975), best known for his series of comic novels featuring Jeeves and Wooster, has come to the British Library on loan from Sir Edward Cazalet, Wodehouse's step-grandson, and is to be made publicly available for the first time.
Below: Will Self is interviewed by Jackie Long for *Channel 4 News* looking through his archive which was acquired by the Library. Photo by Elizabeth Hunter.
## Custodianship: Our Plans For 2017/18
-
Poems by Swinburne
Autograph poems, essays and plays by Algernon Charles Swinburne (1837–1909) were acquired with assistance from the Friends of the British Library, supplementing the Library's pre-eminent collection of Swinburne manuscripts and letters.
-
Develop a compelling strategic vision for
Boston Spa Renewed as a centre of excellence for physical and digital collection management
-
Successfully procure a technology solution that will enhance our technical capacity to collect, preserve and guarantee access to digital items.
-
Archive of Joan Bakewell Joining the Library's growing collection of contemporary archives in the field of politics and public life, the archive of broadcaster Joan Bakewell documents her pioneering career in television journalism and her remarkable personal and professional journey from pre-war Stockport to the post-millennial corridors of the House of Lords.
-
One of the earliest known Handel manuscripts.
The Library acquired the autograph manuscript of 'Se tu non lasci Amore', by composer Georg Frideric Handel. Written in Naples, it is one of the earliest Handel manuscripts known. It was acquired with assistance from the Friends of the British Library, the Friends of the National Libraries, and The Handel Institute.
Below left: Joan Bakewell signs books after speaking about her archive at an event in the Knowledge Centre. Photo by Sam Lane; Below: Elgar manuscript.
## Research We Support And Stimulate Research Of All Kinds
interest from researchers who wanted to explore new digital scholarship approaches to open up the Library's digital collections. We supported researchers with advice, content and resources to discover new insights, such as Hannah Rose- Murray who made use of the Library's newspaper and image archives (via Flickr) to map the 19thcentury black abolitionist movement in the UK.
Our collection continues to support a diverse range of research activity, with the Library playing a key role in the nation's research infrastructure.
We provide access to the latest findings across all disciplines alongside vast heritage and legal deposit collections. We meet the information needs of a global audience, including professional researchers from higher education, public sector bodies including the NHS, pharmaceutical and other companies and people undertaking personal research.
We continue to support the changing needs of our research users. In December 2016, we agreed a new data strategy, built on the vision that data will be as integrated into our services as text is today. This strategy is linked into another important development: our key partner The Alan Turing Institute, the UK's institute for data science, began its first academic year based in their new premises here at St Pancras. Over 100 researchers are now working on a range of data science challenges, including Fin Tech, cyber-security, and computing and data analytics.
Our Reading Rooms were accessed almost 400,000 times in 2016/17 and satisfaction levels remain consistently high. Just over 95% of Readers described themselves as 'very' or 'quite satisfied' with the Library's services and facilities. Over 1.65m items were accessed on site, and just under 3.7m items were consulted online. Our document supply service, British Library On Demand, provided researchers across the globe from Albania to Zambia with access to some 300,000 documents.
We actively stimulate innovative research methods. The British Library Labs team hosted a series of competitions and received over 400 expressions of
Opposite: Researchers in St Pancras. Photo by Pete Carr. Below:
Artist Michael Takeo Magruder used our digitised 19th Century
Maps as part of an art project called Imaginary Cities. He took
historic digitised maps and transformed them into compelling 2D,
3D printing and virtual art pieces. © Michael Takeo Magruder,
Imaginary Cities (London & Paris studies), 2017.
In November 2016, our status as an independent research organisation (IRO) was expanded to give us eligibility to conduct research for all UK Research Councils. The external support that we are able to secure as an IRO enables a wide range of research-driven projects, programmes, studentships, fellowships and placements across the Library. Arts, Humanities and Research Council (AHRC) projects involving the Library have included Native Routes: Early Americas and the UK, Digital Delius, Reading Aloud in Britain Today and Cross- Language Dynamics: Reshaping Community. Our research capability in the social sciences has also grown through Economic and Social Research Council (ESRC) collaborative doctoral studentships, a strategic partnership with ESRC North West Doctoral Training Partnership, and the launch of a new postdoctoral research fellowship with the British Sociological Association. We renewed
Stills taken from our series of case study videos about
the Collaborative PhD programme. Top right: Jeremy Brown
researching his prioject Maps and the Italian Grand Tour, 1660–
ca.1824; Right: Christian Poske and Lead Curator World and
Traditional Music, Janet Topp Fargion; Below: Ruth Byrne at a
Feed the Mind postgraduate event talking about her project
Attitudes to immigrants in the 19th century.
## Research: Our Plans For 2017/18
our involvement as a partner in the Cohort &
Longitudinal Studies Enhancement Resources project with co-funding from ESRC and the Medical Research Council. The project brings together a number of longitudinal studies tracking the experiences of people living in the UK, so that researchers can share data, skills and insight.
-
Improve our digital services to the research
community as part of our 'Everything Available' portfolio. This includes piloting new discovery services for publications and data, enhancing remote access to our collections and new tailored delivery models as well as new services for using Library content, for example through machine interfaces
•
Develop our partnership with The Alan Turing Institute, formulating key data challenges in the libraries and heritage sectors, with a view to developing a unique, collaborative research programme
Our collaborative doctoral programme was extended by further AHRC-funded studentships commencing in 2019 and our current cohort of 30 PhD students continue to provide new, innovative and energetic input into collaborations to enhance our research, culture, international and custodianship purposes. We also launched a new placement scheme offering professional development opportunities to funded PhD students from across the UK and overseas. Our Open Days for first-year PhD students were attended by 600 students from across the UK discovering the resources and services available to them at the Library.
•
Work with partners in the higher education and culture sectors to improve the UK's digital research infrastructure through new services for curating, sharing and re-using digital heritage objects, data and research outputs.
part of the *Native Routes: Early Americas and the UK* project; Below right: Dr Rupert Ridgewell, Curator Printed Music, talking to music students at the music doctoral open day in February.
## Business We Help Businesses To Innovate And Grow
We continue to expand the national network of Business & IP Centres, working with 11 public libraries across the UK. This year, new centres opened in Exeter and Northampton and pilots in Hull Central Library and Norwich Millennium Library were launched in addition to existing centres in Leeds, Sheffield, Liverpool, Manchester, Birmingham and Newcastle. Together, the network supported over 16,500 people, with women (59%) and Black and Asian minority ethnic groups (35%) particularly well represented.
This year over 73,000 people visited the Business & IP Centre in London, and we provided over 8,400 small business owners and aspiring entrepreneurs
(up 32% on the previous year) with direct advice, guidance and training through our extensive programme of one-to-one advice sessions, webinars and workshops, covering topics ranging from digital marketing to securing business finance. The Centre celebrated 10 years of supporting London's small business and entrepreneur community, a period in which over half a million people accessed its services, supporting the creation of 5,000 businesses and 12,000 jobs.
In addition, we are helping start-ups to create robust new businesses through a two-day accelerator programme. We have supported more than 240 businesses over four years and have seen 70% of them either increase their turnover or take on extra staff within one year of completing the programme. These services were successful in reaching a broad and diverse range of people; 43% of businesses supported were owned by women and 39% by Black and Asian minority ethnic entrepreneurs, and together their turnover increased by £77m.
We continued our sell-out series of Inspiring Entrepreneurs networking events featuring high profile business and innovation role models, which were webcast live from St Pancras and screened to our Business & IP Centre partners across the country and around the world. In November 2016, as part of Global Entrepreneurship Week, we featured Chrissie Rucker of the White Company and Nick Wheeler of Charles Tyrwhitt Shirts who managed to set up two global brands whilst raising a family of four children. In February, our Internet Icons event featured Ella Mills, founder of Deliciously Ella, Aron Gelbard, co-founder of Bloom & Wild, Sarah Wood, co-founder of Unruly and Rupert Hunt, founder of SpareRoom.
In July 2016, we were delighted to announce that Julie Deane OBE, founder of The Cambridge Satchel Company, had been appointed Entrepreneur in Residence at the British Library. Julie is passionate about the role of libraries in supporting entrepreneurs and was author of the Self-Employment Review, commissioned by the Prime Minister's Office and published by the Department for Business, Energy and Industrial Strategy (formerly Department for Business, Innovation and Skills) in February 2016.
In June 2016, we were awarded another round of European funding to support our award-winning Innovating for Growth Programme. This is designed to help established businesses to scale up and grow by offering £10,000 worth of bespoke business advice over a three-month period. For example, Emma Hammett's First Aid for Life company, which delivers a full range of practical and online training, has grown by 30% year on year since participating in the programme.
Julie said of her new role:
## Business: Our Plans For 2017/18
-
Continue to develop the Business & IP Centre
National Network toward our long term goal of 20 Centres by 2020
-
Continue to develop our unique public-private partnership programme to expand our services and underpin our growth plans
'
The British Library is one of the iconic
institutions of London and is not merely a
landmark, but also plays a pivotal role in the
life of this great city. I could not feel more
honoured to have been offered the role of
Entrepreneur in Residence, following in the
footsteps of such greats as the late Dame Anita
Roddick, who was the first person to take on
this role. I am excited that I can play a part in
supporting the transformation of libraries into
places where small businesses can grow and so
help the next generation of entrepreneurs.'
-
Continue to enhance the London Centre service to support London-based businesses to grow and create jobs and deliver workshops in libraries in disadvantaged London boroughs
-
Deliver a Start-up Day across all national network partner libraries in September 2017, helping to raise the profile of business support resources in libraries and strengthen the case for libraries as engines of economic growth.
In September 2016 the Centre marked its 10th anniversary by holding a Start-up Day. We invited London-based people with a business idea to attend a full day of free workshops, information sessions and inspirational talks with role model entrepreneurs. Here they learnt how the Centre could help them turn that business idea into a reality. Over 750 people took part and the next Start-up Day is planned for September 2017.
## Culture We Engage Everyone With Memorable Cultural Experiences
Our *Maps of the 20th Century: Drawing the Line* exhibition opened in November 2016. It drew upon the Library's incredible collection of over four million maps to shed new light on 20th-century historical narratives. It attracted over 55,000 visitors and was acclaimed by *The Independent* as 'a blockbuster exhibition.'
'Dazzling…a show of shows guaranteed to disarm even the most jaded visitor' was how Times Literary Supplement described our Shakespeare in Ten Acts exhibition. It showcased ten key performances that have shaped Shakespeare's status as a cultural icon, exploring the diversity of interpretations and media used to bring his texts to life over the past four hundred years. We also collaborated with the Library of Birmingham to open *Our Shakespeare*, an exhibition featuring objects from both institutions including a copy of the First Folio and Laurence Olivier's annotated 1955 screenplay of *Macbeth*.
Opposite: *Quentin Blake: The Roald Dahl Centenary Portraits* exhibition. Photo by Luca Sage; Below: Hip Hop Shakespeare Late event. Photo by Paul Hampartsoumian.
Alongside these major exhibitions, we used our free gallery spaces to tremendous effect to reach new audiences through a diverse programme. Punk 1976–78 celebrated the 40th anniversary of the musical and cultural phenomenon, starting with the Sex Pistols' breakthrough in 1976. We celebrated some of the most popular entertainers of Victorian times such as Dan Leno, the original pantomime dame and billed as the 'funniest man on earth', through our Victorian Entertainments: There
Will Be Fun exhibition. Over 100,000 visitors engaged with it before it closed. And we were also privileged to host the inaugural show of a set of Quentin Blake: The Roald Dahl Centenary Portraits to mark the 100th anniversary of the
birth of Roald Dahl.
Beyond London, our first ever touring programme reached over 40,000 visitors across the UK. Our Alice in Wonderland exhibition was hosted by the Laing Art Gallery in Newcastle and the Willis Museum in Basingstoke; Picture This: Children's Illustrated Classics was shown at the River and Rowing Museum in Oxfordshire; *Punk 1976–78* went on tour to the Sunderland Museum & Winter Gardens.
## Culture: Our Plans For 2017/18
-
Continue to grow and sustain an expanded
cultural offer for the Library's audiences
-
Deliver a major exhibition and events programme to mark the centenary of the Russian Revolution: Russian Revolution: Hope, Tragedy, Myths from April 2017
Alongside our cultural exhibitions, this year saw a significant expansion of our programme of public events. Since October 2016, the number of events we stage has nearly doubled, with talks, discussions, performances and more taking place most evenings and regularly at the weekends. These events are critical to the Library's ability to open up its unique cultural heritage resources, and create inspiring and engaging moments with audiences. Our wide range of speakers included Sir John Major, John Lydon, Margaret Atwood and Grayson Perry.
-
Deliver a major exhibition and events programme for Harry Potter: A History of Magic from October 2017
-
Continue to expand our reach across the UK with new touring and co-curated cultural experiences and greater engagement with public libraries.
Sky Arts ran the first ever TV series dedicated entirely to showcasing the Library's collection and expertise. *Treasures of the British Library* took the form of six hour-long episodes featuring celebrities such as Lord Winston, Jamie Cullum and Julia Donaldson, uncovering every area of the Library's collection from sound recordings to newspaper archives. Each featured celebrity donated an item to the collection, for example poet Benjamin Zephaniah donated his poem 'What Stephen Lawrence Has Taught Us'.
globe with Tom Harper, Lead Curator Antiquarian Maps.
## Learning We Inspire Young People And Learners Of All Ages
from a witchcraft pamphlet and a magician's mirror to accounts of shipwrecks and descriptions of the 'New World'. The 20th-century section of Discovering Literature also features a rich treasure trove of over 300 items, including T S Eliot's draft of *The Waste Land* with hand-written annotations by Ezra Pound, Virginia Woolf's travel notebook, George Orwell's notes for *Nineteen Eighty-Four* and the draft manuscript of Hanif Kureishi's The Buddha of Suburbia.
In 2016/17 our digital learning resources reached over 7 million unique browsers, significantly exceeding the previous year's figure of 5.7 million and our target of 5.8 million. This is testament both to the increasing popularity of our existing online resources, and also to the wide range of new content exploring Shakespeare, 20th-century literature and Renaissance literature, which launched during the year. The Shakespeare and Renaissance Writers section of *Discovering Literature* now showcases over 300 treasures from our collection, ranging
Opposite: Children's drawings from the Festival of Maps family
event. Photo by Nicola Pomery; Below left: Annotated copy of
T S Eliot's The Waste Land, from Discovering Literature: 20th
century; Below right: Witchcraft pamphlet: A Rehearsal both
Strange and True, 1579, from Discovering Literature: Shakespeare
and Renaissance writers.
We also delivered two MOOCs (Massive Open Online Course), with 8,246 people from around the world participating in free courses on Shakespeare and Propaganda. Overall, we had just over 21.5 million visitors to our website, behind our target of 25 million due in part to some substantial redevelopment work undertaken this year. That work is a long term investment in our digital offer and will enable us to continue engaging large numbers of users around the world. On-site at St Pancras, 5,000 students and teachers took part in our schools programme accompanying Shakespeare in Ten Acts which included workshops, special events and collaborations with Shakespeare's Globe, the Guardian Education Centre and UK Literacy Association. Building on the success of our popular maps workshops for primary schools, this year's Maps and the 20th Century: Drawing the Line exhibition engaged over 3,500 students. Both programmes made a significant contribution to the 35,000 teachers and students that engaged in our on-site programmes overall.
## Learning: Our Plans For 2017/18
-
Complete the next phases of *Discovering*
Literature adding content on 20th-century playwrights in May 2017 and completing the final sections on Old and Middle English and the Restoration and 18th century
We received a grant from The Sackler Trust towards our Family and Community Engagement Programme, which also receives funding through the John Lyon's Charity. This has enabled us to deliver an expanded programme of activities and increase our outreach work within the local community, such as bespoke events for deaf families and a project with looked-after children. The programme continues to grow in strength and popularity.
-
Launch a new Chinese language version of the Discovering Literature site to accompany our touring exhibitions in China and Hong Kong
-
Deliver an ambitious learning programme to accompany *Harry Potter: A History of Magic*.
In 2016/17 we also saw the delivery of the first full year of a new charged-for adult learning programme which offers a broad range of sessional courses, creative master classes and study days. Twenty courses were offered this year on topics including Gothic literature, bookbinding and conservation, sacred texts and illustrations inspired by the exhibitions *Alice in Wonderland* and *Victorian Entertainments: There Will Be Fun*. Feedback from participants has been excellent, with 92% rating the experience as very good or excellent.
## International We Work With Partners Around The World To Advance Knowledge And Mutual Understanding
We have been very active on the global stage this year, with around 250 separate engagements relating to over 50 countries, as well as hosting
33 diplomatic visits and more than 80 professional visits to the Library. We continue to take a leadership role, particularly in Europe, through our Chief Executive's chairmanship of the Conference of European National Librarians (CENL), which comprises 46 national libraries from across Europe.
Our already ambitious China activities have expanded further as we took part in a high-level UK delegation to Shanghai as part of the 2016
UK-China High Level People to People Dialogue.
The visit also marked the commencement of 'The British Library in China: connecting through culture and learning' project, a three-year long cultural exchange between the UK and China. For the very first time, the British Library will display a number of iconic English literary treasures in mainland China and Hong Kong. Early editions and handwritten manuscripts by writers and playwrights including William Shakespeare, Charlotte Brontë and Arthur Conan Doyle, will feature in a series of exhibitions in cities across China and on the Library's first Chinese language learning platform.
Left: Cotton Caligula A vii/1 f. 5r - one of 800 illuminated
manuscripts digitised thanks to funding by The Polonsky
Foundation, with the Bibliothèque nationale de France; Below: Liu
Xiaoming, Ambassador to the UK of the People's Republic of China,
is shown a facsimile of Jane Austen's The History of England at a
Foreign and Commonwealth Office reception at Lancaster House
celebrating the 45th anniversary of full diplomatic relations between
the UK and China, in March 2017.
As part of the *Two Centuries of Indian Print*
project, which is seeking to digitise thousands of early printed South Asian language books dating from 1713–1914, we have digitised and catalogued 1,000 early printed Bengali books, and scanned over 6,000 Vernacular Tracts, thanks to funding received from the Department for Business, Energy, and Industrial Strategy, the Arts and Humanities Research Council, and the Newton Fund. This work underpins a wider programme of engagement with library professionals and researchers in India. We presented a digital scholarship workshop at Jadavpur University, hosted a series of seminars on South Asia Book History, and held community workshops to showcase our collection. We have also signed a memorandum of understanding with the National Digital Library of India to share metadata and digitised content, an initiative accompanied by two highly successful loans: King George III's edition of Shakespeare's First Folio to the CSMVS Museum in Mumbai, and a facsimile of the Magna Carta showcased at the Jaipur Literary Festival.
Below: Vernacular Tract: Introductory Bengali Spelling Book with Reading Lessons, Calcutta, N L Seal's Press, 1867 - digitised as part of the *Two Centuries of Indian Print* project.
Above: Adrian Edwards, Head of Printed Heritage Collections speaks at a related event in Mumbai.
## International: Our Plans For 2017/18
-
Build on our 'British Library in China' project by
touring our literary treasures in Wuzhen from September to November 2017 and Shanghai in February 2018 for the first time
-
Further develop our partnerships with Indian institutions, and host the Jaipur Literary Festival at the British Library in London for the first time in May 2017
We entered into a new digitisation partnership, generously funded by The Polonsky Foundation, with the Bibliothèque nationale de France to digitise 800 illuminated manuscripts from the period 700–1200, making them available online for the first time. In addition, our partnership with the Qatar Foundation continued apace in its goal of making newly digitised content relating to the Gulf region, predominantly from the Library's India Office Records archive, available online. The Qatar Digital Library has been viewed by just under half a million users from 222 countries. Our digitisation project with the National Library of Israel has now yielded 68,000 pages of the Library's Hebrew Manuscripts collection.
-
Deepen our relationships with international partners in the USA, the Middle East, and across Europe, including hosting a visit from Dr Carla Hayden, the 14th Librarian of Congress.
We were also pleased to welcome our first Chevening Fellows, who have joined us as part of the UK government's international awards scheme for developing global leaders. Our first two Fellows joined us in October from Pakistan and Nigeria to work on their research projects. These are year-long placements which we will be hosting in each of the next three years.
Below: Local community leaders and residents with curator Arani Ilankuberan during one of our community 'show and tells' of our South Asian Collection in November 2016.
PLR's Advisory Committee Chair, author and historian Tom Holland commented:
The British Library administers Public Lending Right (PLR), the scheme through which authors are remunerated for loans made by public libraries.
The scheme recognises the value of such loans to the reading public and registered UK authors are hugely supportive of PLR. The Library also administers Irish PLR on behalf of the Irish Government.
'
At a time when cuts to the UK's library service have
generated much pessimism about its prospects,
the release of the PLR figures serves as a reminder
of the tremendous service it continues to provide
across the country, and how highly treasured it
is by the public. Authors, too, have good reason
to be grateful for it: not just for the role it plays
in fostering the reading habit, but because PLR
constitutes a statement on behalf of the entire
country on the value that it places on writing.'
New legislation enables remote e-lending to be
eligible for PLR in future. This has cleared the way
for authors and contributors to be paid for remote
e-book loans in the same way as for loans
of physical books. This is an important change to
the scheme which reflects the changing nature of
library service provision and ensures that authors
and content creators can be compensated fairly for
the use of their work. We are now working with
stakeholders to ensure a successful implementation
within two years.
For the PLR year from 1 July 2015 to 30 June 2016, PLR registered over 25,000 new ISBNs. Over 2,000 authors and other contributors registered for PLR for the first time and we collected data on over 43 million loans from the 29 library authorities that took part in the sample. The data was converted to national estimates and paid at a Rate Per Loan of 7.82 pence. In total, over £6m was distributed to 22,201 authors, illustrators and other contributors, whose books were borrowed from UK public libraries. The maximum payment threshold is £6,600 for the top-lending authors and the minimum payment is £1, ensuring an equitable distribution of the fund across a large community of creators. In March 2017, the PLR Advisory Committee agreed to maintain the thresholds at the current rates for another year.
Following a market research exercise in August, an extensive amount of work has been undertaken on mapping PLR's IT systems with a view to improving user experience, including automated registration and mobile platforms. The new system will also incorporate remote e-book loan data collection and payment. This is all part of a wider strategic review to ensure the long-term future of the PLR service for users.
The payments in February 2017 were followed up by the announcement of the most borrowed authors and titles for the previous year. As in previous years, crime titles proved hugely popular and US thriller writer James Patterson topped the chart of most borrowed author for the tenth year running. The most borrowed title was *The Girl on the Train* by Paula Hawkins, while childrens' authors once again featured dominantly with seven childrens' authors in the top ten most borrowed authors including Julia Donaldson, Francesca Simon, Jacqueline Wilson and Roald Dahl.
## Enabling Living Knowledge
Delivery of our Living Knowledge purposes is underpinned by a range of enabling activities which ensure that we maximise the resources at our disposal and continue to deliver a costeffective service to world-class standards.
IT Strategy Our IT strategy seeks to replace many of the Library's core digital systems and infrastructure with new, more flexible solutions that will enable the Library to deliver its purposes.
Commercial Strategy We launched a number of initiatives during the year designed to improve the services available to users and deliver improved commercial return. These new and growing revenue streams ultimately ensure the Library can continue to deliver on its *Living Knowledge* aspirations.
We implemented new infrastructure and systems to support our commercial strategy along with further improvements to our website.
Finance and Planning Our Strategic Leadership Team engaged in the second year of a comprehensive corporate planning process, which applied increased levels of scrutiny to budgets. This led to the refresh and renewal of the financial strategy originally approved by the British Library Board in 2015/16, ensuring that activities and spending in departments across the Library remain strategically aligned to our Living Knowledge purposes, as well as identifying opportunities for efficiency savings through new ways of working.
Our new Membership programme was launched in October 2016 with a dedicated Members' Room at St Pancras and a Members' Bar in the renovated Knowledge Centre. Membership sales have been strong in the first five months and reached 1,700 by the end of March.
Development of core digital library systems has delivered new functionality for collections management and our legal deposit library partners, while the implementation of new digitised sound ingest workflows for Save Our Sounds will enable improved preservation of our historic sound collection. Substantial work on specifying requirements for a new digital asset management and preservation system has been undertaken in preparation for procurement in 2017/18.
At St Pancras, our catering offer was significantly upgraded with the refurbishment of our Euston Road coffee shop, a new coffee bar in the front entrance hall and the new Terrace Restaurant. Alongside these changes, we recruited a dedicated commercial events team to support a substantial increase in our commercial events activity.
Continuous Improvement We have a strong emphasis on continuous improvement throughout the Library, across departments and functions ranging from people management to collection care. We collaborate with other public sector bodies to share best practice, and we embed the principles and behaviours of continuous improvement across the Library's normal business, thus enabling services to be provided effectively and efficiently while remaining able to respond to an ever-changing environment.
Upgrades to the Library's internal automated book retrieval system, search and discovery tool and universal viewer technologies have improved users' experience of accessing our collection. In addition, mobile and unified communications solutions, including faster and more reliable public and staff WiFi, have been rolled out.
We launched a new Online Shop and a Box Office which are designed to improve online retail and ticketing sales and build our capacity for growth over the next few years. We continue to deliver our strong Crime Classics publishing brand, this year opening a dedicated Pop-up Shop for the Christmas retail period.
to digitise 800 illuminated manuscripts from the period 700–1200 from our respective collections and make them freely available online to researchers and the public.
Fundraising The British Library is extremely grateful to all its donors and supporters, whose generosity enables us to promote learning and scholarship and share our collection with the public for research, inspiration and enjoyment, as well as maintain our position as one of the world's greatest research libraries.
Thanks to a generous donation from the Dr Michael and Anna Brynberg Charitable Foundation, we will be able to employ a spoliation researcher to investigate the history and provenance of two collections we believe might have been spoliated during the Nazi period.
People Strategy This year we were accredited as a Living Wage employer and introduced Open Minds (our inclusive leadership programme) and unconscious bias training for all staff. We have appointed an Apprenticeships Manager to
plan and implement our first apprenticeships scheme as well as streamlining a number of harassment policies and introducing a mediation service to help improve the working life of our staff through better employment relations. These steps reflect our commitment to our organisational values, in particular embracing equality, fairness and diversity.
The Heritage Lottery Fund (HLF) confirmed the £9.5m grant previously earmarked in 2014 for Unlocking Our Sound Heritage and, thanks to generous additional funding received from the Garfield Weston Foundation, Foyle Foundation and many others, we look forward to commencing this major partnership project in 2017 to save almost half a million unique and vulnerable historic sound recordings from across the UK and open them up to the public.
Our People Strategy sets out a vision for the Library to be a workplace that inspires staff, who place users at the heart of everything they do. The past year has seen increasing levels of staff engagement, rising from 3.77
(out of 5.0) in 2015/16 to 4.02 in 2016/17. We have agreed a volunteer policy and are in the early stages of launching this scheme across the Library.
We are very grateful to the Dangoor family who have provided very generous seed funding for the Library's website Discovering Sacred Texts. It will explore the richness and diversity of the Library's collection of sacred texts, alongside articles written by academics, faith leaders and practitioners from Buddhism, Christianity, Hinduism, Islam, Judaism, Sikhism as well as other lesser-known faiths which are well represented in the collection. The website will be launched later next year and will follow a similar structure to Discovering Literature, also supported by Dangoor Education, with over 2,000 digitised images at its core.
This year saw the end of the HLF Funded Catalyst: Endowments Programme, through which the Library has built up a £2m 'Knowledge Fund' endowment to support access and collectionsbased activities. As well as several legacy gifts and large individual donations, we received several hundred small donations in response to an appeal to support the fund, which we will continue to grow into a vital additional sustainable income stream.
A significant grant from The Sackler Trust has made a huge difference to the number of groups and communities we have been able to reach through our Family and Community Engagement Programme, enabling us to run additional outreach projects, to widen and diversify our audience.
Thanks to a very generous grant from The Polonsky Foundation, we were able to announce a major new partnership project with the Bibliothèque nationale de France
## Key Performance Indicators
| | Target | Actual | Actual | Actual |
|------------------------------------------------------|---------|---------|---------|----------|
| | 2016/17 | 2016/17 | 2015/16 | 2014/15 |
| CUSTODIANSHIP | | | | |
| | | | | |
| We build, curate and preserve the UK's national | | | | |
| collection of published, written and digital content | | | | |
| Percentage of physical collections | | | | |
| in archival storage conditions (BS5454) | 70% | | | |
| 70% | | | | |
| | 70% | 70% | | |
| RESEARCH | | | | |
| We support and stimulate research of all kinds | | | | |
| | | | | |
| (000) | (000) | (000) | (000) | |
| Items consulted in Reading Rooms | | | | |
| 3 | | | | |
| | 1,665 | | | |
| 1,655 | | | | |
| | 1,694 | 1,730 | | |
| British Library website items consulted | | | | |
| 3 | | | | |
| | 4,000 | | | |
| 3,689 | | | | |
| | 3,249 | 2,662 | | |
| Visitors to the Reading Rooms | 415 | | | |
| 399 | | | | |
| | 414 | 389 | | |
| British Library website visits | | | | |
| 3 | | | | |
| | 25,000 | | | |
| 21,517 | | | | |
| | 20,707 | 18,353 | | |
| BUSINESS | | | | |
| We help businesses to innovate and grow | | | | |
| Jobs created | | | | |
| 1 | | | | |
| | 250 | | | |
| 636 | | | | |
| | 390 | 305 | | |
| CULTURE | | | | |
| We engage everyone with memorable | | | | |
| cultural experiences | | | | |
| | | | | |
| (000) | (000) | (000) | (000) | |
| Culture visitors to St Pancras | 1,045 | | | |
| 915 | | | | |
| | 967 | 1,188 | | |
## Learning
We inspire young people and learners of all ages
(000)
(000)
(000)
(000)
Visitors to British Library Learning website 3
5,883
7,041
5,726
3,597
## International
We work with partners around the world to advance knowledge and mutual understanding
(000)
(000)
(000)
(000)
Items digitised through international partnerships 2
N/A
1,573
1,432
1,306
1 Data now collated nationally and reported one year in arrears. 2 New measure added in 2015/16 with data calculated retrospectively. 3 These measures are included in the British Library's Management Agreement with DCMS for the period 2016–2020.
| | Target | Actual | Actual | Actual |
|-----------------------------------------------------------|---------|---------|---------|----------|
| | 2016/17 | 2016/17 | 2015/16 | 2014/15 |
| CUSTOMER SERVICE - Quality | | | | |
| Satisfaction with Reading Room services | 95% | | | |
| 96% | | | | |
| | 97% | 94% | | |
| Customer Satisfaction - ease of finding information | | | | |
| on the Library's website | 90% | | | |
| 87% | | | | |
| | 88% | 86% | | |
| Satisfaction with our exhibitions | | | | |
| (customer enjoyment rating) | 85% | | | |
| 95% | | | | |
| | 96% | 96% | | |
| OUR PEOPLE | | | | |
| Employee engagement (rating out of 5) | 3.8 | | | |
| 4.02 | | | | |
| | 3.77 | 3.58 | | |
| FINANCE AND ECONOMIC | | | | |
| | | | | |
| (000) | (000) | (000) | (000) | |
| Commercial income generated | | | | |
| 3 | | | | |
| | £12,697 | | | |
| £13,658 | | | | |
| | £13,240 | £13,760 | | |
| Charitable giving: donations and sponsorship | | | | |
| 3 | | | | |
| | N/A | | | |
| £7,449 | | | | |
| | £5,486 | £6,771 | | |
| Rate of charitable giving i.e. donations and sponsorships | | | | |
| to Grant in Aid. | | | | |
| 3 | | | | |
| | N/A | | | |
| 7.9% | | | | |
| | 5.9% | 7.2% | | |
| OPERATIONAL EFFICIENCY | | | | |
| | | | | |
| (000) | (000) | (000) | (000) | |
| Print items added to the collection | | | | |
| through legal deposit | 326 | | | |
| 334 | | | | |
| | 373 | 402 | | |
| Digital items added to the collection | | | | |
| through legal deposit | 152 | | | |
| 174 | | | | |
| | 95 | 66 | | |
## 7,041,000 174,000
visitors to the British Library Learning web pages
19% above target
Digital publications added to the
collection through legal deposit
14.5% above target -
an increase of 83% over last year
## Grants And Donations
The British Library would like to thank all those who have given their support during the period April 2016 to March 2017, including:
National Central Library, Taipei Newton Fund The P F Charitable Trust Michael Palin CBE Mark Pigott KBE, KStJ The Polonsky Foundation Edith and Ferdinand Porjes Charitable Trust Qatar Foundation The Radcliffe Trust The Reed Foundation Inc Research Councils UK Roshan Cultural Heritage Institute The Stuart Rossiter Trust The Ruddock Foundation for the Arts The Sackler Trust Giles Sandeman-Allen Shouky and Doris Shaheen Shandong University Shoresh Charitable Trust Sino-British Fellowship Trust Bei Shan Tang Foundation Sir Siegmund Warburg's Voluntary Settlement Revd John & Mrs Carol Wates The Wellcome Trust The Garfield Weston Foundation Tony and Maureen Wheeler Patrons Kay Anderson Sir David Arculus Alain Aubry Sirdar Aly Aziz The Nicholas Bacon Charitable Trust The BAND Trust Mrs S Brada The Lord Browne of Madingley Alison Carnwath and Peter Thomson Lord Charles Cecil The John S Cohen Foundation Anne Cygler Michael Diamond Sam Fogg Lawrence Gough Mr and Mrs Edward Harley Heather Jackson Lesley and Brian Knox Russell Lloyd Mark and Liza Loveday Kate McLuskie Michael Palin CBE Dr Jean R Perrette Mark Robbins Ms Louisa Service OBE Francesca Valli John Walton Mr & Mrs Michael Wilson William Zachs Dr Allen Zimbler Adopt a Book Nick Austin Chris and Eddie Dapre Liz Judson in memory of Margaret Judson And many others.
British Library Patrons Curators' Circle David and Kate Barclay Judith Bollinger Sir Trevor and Lady Susan Chinn The Clore Duffield Foundation Lord and Lady Egremont Michael G Katakis Clive Richards OBE DL The Most Hon the Marquess of Salisbury Philip and Catja ten Bosch-de Haas S and C Westwell Donors and Supporters The American Trust for the British Library The Andor Charitable Trust The Eric Anker-Petersen Charity The Arcadia Fund The Art Fund Arts Council England Joanna and Graham Barker Harriet Blair-Fish The Blavatnik Family Foundation William and Judith Bollinger British Academy British Library American Foundation Inc British Library Trust Dr Michael and Anna Brynberg Charitable Foundation Paul Chrzanowski The Clothworkers' Foundation The John S Cohen Foundation The Ernest Cook Trust The CPF Trust Chris and Eddie Dapre European Community European Research Council The Exilarch's Foundation and Dangoor Education Finnis Scott Foundation Marc Fitch Fund Friends of the British Library Goldhammer Family Foundation The Golsoncott Foundation Heritage Lottery Fund The Hobson Charity Limited Peter and Krystyna Holland The Indigo Trust The Kirby Laing Foundation John Lyon's Charity The Andrew W Mellon Foundation The Paul Mellon Centre for Studies in British Art The Mercers' Company The National Association of Decorative & Fine Arts Societies The National Library of Israel and the Friedberg Jewish Manuscript Society Corporate Sponsors Daniel Crouch Rare Books Dr Martens Google Digital Garage Great Northern Hotel Microsoft Mintel RELX Group Tecton UK2.net Vistaprint Legacies
Marian Clay Mollie Ellis Audrey Hutchison Dame Anne Warburton The Friends of the British Library
Friends Council Chairman: Ferdinand Mount Deputy Chairman: Christopher Wright Treasurer: Keith Stephenson Secretary: Edmund King Council members: Graham Allatt Nicolas Bell Caroline Brazier Martin Dickson Jane Dobson Lindsay Duguid Nina Evans Celia Gould The Lord Hemingford Jo Hunt Norman James Stephanie Kenna Anthony Payne Andrew Prescott David Shaw Patrons and Benefactors of National Life Stories Authors' Licensing and Collecting Society The Furniture History Society The Garrick Charitable Trust Nicholas and Judith Goodison Christopher and Gilda Haskins Lesley Knox Templeton Religion Trust Jennifer Wingate Yale Center for British Art Dr Caroline Rubinstein and Mr Phillip Winegar Mr David Rumsey Mr James B Sitrick Mr James P Spica Mr Stephen Stamas Ms Gwendolyn van Paasschen Mrs Lisa von Clemm Ms Christine Zuromskis President's Circle Ms Virginia Barbato Ms Judith Ogden Thomson Patrons Mrs Catherine Morrison Golden Mr J Kevin Graffagnino Mr Sumit Guha Mr Richard P Henke Mr Arthur Holzheimer Ms Cheryl Hurley Mr Alistair Kirkpatrick Ms Patricia Klingenstein Mr Anthony Knerr Ms Ada Jung Lamont Ms Shaunagh Robbins Ms Mary Coxe Schlosser Dr Barbara A Shailor Mrs Tessa Smith Mr David Solo Mrs Szilvia Szmuk-Tanenbaum Mr Winston Tabb Ms Susan Jaffe Tane Mr J Thomas Touchton Government Funders Department for Culture, Media and Sport (Core Grant-in-Aid) Department for Business, Energy and Industrial Strategy Department for Communities
and Local Government European Regional Development Fund (deployed by Greater London Authority)
And others who wish to remain anonymous.
Foundations Baskes Family Foundation Caritas Foundation of Western Kansas Golden Family Foundation The Harry Frank Guggenheim Foundation Holzheimer Fund The Samuel H Kress Foundation The Mosaic Foundation Pine Tree Foundation of New York The Reed Foundation The Michael and Louisa von Clemm Foundation American Trust for the British Library Chairman's Council Ms Katherine Ashton and Mr Brian D Young Ms Caroline Bacon Mr Roger S Baskes Mr R Dyke Benjamin Mr and Mrs Ralph Brown Mr Patrick Donovan Mr Simon Eccles Ms Florence Fearrington Ms Sibyl R Golden Dr Peter N Heydon Ms Luci B Johnson Ms Evalyn Lee Mr Jon A Lindseth Mr Howard Phipps Jr Mr David N Redden Mrs Ruth E Robinson Mrs Jane Gregory Rubin
## British Library Annual Accounts 2016/17 Statement Of Directors' And Accounting Officer'S Responsibilities
Under the British Library Act 1972, the Department for Culture, Media and Sport has directed the British Library to prepare for each financial year a statement of accounts in the form and on the basis set out in the accounts direction. The accounts are prepared on an accruals basis and must give a true and fair view of the state of affairs of the Library and of its net incoming resources, recognised gains and losses, and cash flows for the financial year. In preparing the accounts, the Accounting Officer is required to comply with the requirements of the Government *Financial Reporting Manual* and, in particular, to:
-
observe the accounts direction issued by the Department for Culture, Media and Sport, including the relevant accounting and disclosure requirements, and apply suitable accounting policies on a consistent basis
-
make judgements and estimates on a reasonable basis
-
state whether applicable accounting standards as set out in the Government Financial Reporting Manual have been followed, and disclose and explain any material departures in the financial statements
-
prepare the financial statements on a going concern basis
-
confirm that, so far as they are aware, there is no relevant audit information of which the British Library's auditors are unaware and that they have taken all the steps that they ought to have taken to make themselves aware of any relevant audit information and to establish that the Library's auditors are aware of that information
-
confirm that the Annual Report and Accounts as a whole is fair, balanced and understandable and that they take personal responsibility for the Annual Report and Accounts and the judgements required for determining that the Annual Report and Accounts are fair, balanced and understandable.
The Department for Culture, Media and Sport has appointed the Chief Executive as Accounting Officer of the Library. The responsibilities of an Accounting Officer, including responsibility for the propriety and regularity of the public finances for which the Accounting Officer is answerable, for keeping proper records and for safeguarding the Library's assets, are set out in *Managing Public Money* published by HM Treasury. There is a clear division of responsibility between the Chairman and the Chief Executive. The Chairman is responsible for the leadership of the British Library Board, ensuring its effectiveness on all aspects of its role. They facilitate both the contribution of Board members and also constructive relations between the Board and the Executive. They represent the Library to its external stakeholders at the highest levels. The Chief Executive has responsibility for the overall organisation, management and staffing of the Library, for the formulation of strategy and for the successful delivery of results. As Accounting Officer they are responsible for its procedures and controls in financial and other matters.
## Rt Hon Baroness Blackstone Pc Roly Keating
Chairman
Chief Executive
and Accounting Officer
30 June 2017
30 June 2017
## Financial Review
The British Library's income for 2016/17 was £118.0m (£117.8m in 2015/16), of which £93.9m (79%), the primary source of funding, was Grant in Aid received from the Department for Culture, Media and Sport (£93.0m (79%) in 2015/16).
Grant in Aid Provision of Services Investment Income
Voluntary Income lower than last year's levels although substantial progress in delivering the Living Knowledge strategy was made on a number of fronts.
Income from the provision of charitable activities was £13.8m (£13.8m in 2015/16), in line with last year. Income from document supply continued to fall during the year, although performance was better than expected and above the target set. Exhibition ticket sales were down on last year, a year which included the very successful Magna Carta exhibition, which also impacted on the performance of the Shop and publishing operations. Income was increased from licensing and royalty activities, sale of commercial events and leasing out office space in our St Pancras building in line with our commercial strategy. A membership scheme was successfully launched in the autumn which will help to increase income in future years.
an extra £1.6m was provided to support the international project to take several literary treasures to China over the same period. Although the Grant in Aid settlement was a positive outcome, in real terms, this represents a 5% reduction to the resource budget by 2019/20 and it still resulted in the Library having to continue to make on-going reductions in its core operating expenditure. However, the Library has been able to continue to make investments in heritage acquisitions and digitisation projects funded by philanthropic donations and grants.
The Library's continued focus on efficiency has contributed to the delivery of significant operational savings required in order to match reductions in core Government funding in this and future financial years. Voluntary Exit programmes were launched during the year to reduce staffing in the Document Supply and Finance areas.
The Library has established procedures to ensure that the cost allocation and charging requirements set out in HM Treasury and Office of Public Sector Information guidance are met. The Library is included in a Government scheme which allows certain spending control privileges to organisations in the Museums and Galleries sector. Under these
'freedoms', the Library is exempt from a number of controls including Government procurement policy, the 1% pay award limit and control on property spend. It also allows the Library to use its reserves in a more flexible way, subject to informing the Department for Culture, Media and Sport of any requirement as part of the Treasury's supplementary review estimate.
Voluntary Income was £9.7m
(£9.9m in 2015/16), in line with last year. The contributions from philanthropic donations, research grants and funding for digitisation projects continues to provide critical funding in support of the Library's purposes. Investment income was £0.6m (£1.0m in 2015/16). During the year we revisited our investment and treasury management policies which resulted in a small loss of income as we moved our financial investments between investment companies and between banks. Historically low base interest rates also led to reduced returns.
Resources expended were increased to £138.3m in the year (£137.5m in 2015/16) due to higher staffing costs in line with the pay increase and the increase in national insurance contributions due to the ending of the contracting out allowance. Expenditure on developments, including the ongoing cost of a project to develop land on the St Pancras site, were
Revenue expenditure on acquisitions for the collections was £11.5m (£11.4m in 2015/16), reflecting the flat-cash allocation of Grant in Aid to our acquisitions strategy. Capital expenditure was £1.4m (£1.9m in 2015/16), with the acquisition of a number of heritage items supported by donations and grants.
In March 2016 the DCMS Secretary of State announced that the Library's Grant in Aid would be maintained in cash terms over the current spending review period, 2015/16 to 2019/20. In addition,
Reserves
At 31 March 2017 the British Library's reserves were as follows:
£m
Restricted funds
23.8
Unrestricted funds Fixed asset reserve
411.6
Revaluation reserve
1,118.4
adequate level of cover, and are reported on as part of the quarterly financial monitoring process. The reserves policy, and the financial provision to be made within it, is reviewed annually by the British Library Board within the context of the assessed financial and business planning environments and taking account of assessed levels of risk.
Donated asset reserve
29.0
Designated funds
7.1
PLR reserve
–
General funds
31.3
Total funds
1,621.2
The Public Lending Right (PLR) Grant in Aid allocation for the year was £6.6m (£6.6m in 2015/16). Total PLR payments made in 2017 were £6.1m, paid to 22,201 authors (£6.4m paid to 22,607 authors in 2016). The rate per loan approved for the year was 7.82 pence (7.67 pence in 2016). Expenditure includes £61,442 unpaid at the year end because some authors' addresses are unknown to PLR, or because authors' assignees have not made probate claims. (The payments to authors in 2015/16 included an additional payment of £0.3m due to an error in the original calculation and a decision, approved by DCMS, to pay all authors based on the recalculated figures).
Restricted funds and Designated funds are set aside for defined purposes and include £8.7m in capital/endowment funds which cannot be used to fund current expenditure. The fixed asset, revaluation and donated asset reserves are fully employed in the operation of the Library and are not available for other purposes.
There was a net reduction in the movement of funds before revaluation in the year of £17.6m, of which £19.4m was due to a decrease in the unrestricted funds, offset by a £1.9m increase in the restricted funds. Revaluations, including the restatement of the value of the St Pancras land and buildings, resulted in a £288.2m gain in the year.
In total, General Reserves at 31 March 2017 were £31.3m, of which £4.7m relates to non-cash prepayment adjustments in relation to serials. Taking account of the current level of risk, the following reserve levels were agreed by the British Library Board: £4.0m restructuring reserve; £4.5m in relation to completing the plans of the St Pancras development programme; £1.0m capital contingency; £2.6m for expenditure carried over from the current year; £0.6m planning commitment for IT storage; £0.5m set aside for a major acquisition; £4.5m in response to a request from DCMS to hold 5% contingency; and a general provision of £8.8m, which is 6.8% of the year's unrestricted expenditure and within the Library's target range of 2% to 10% of annual unrestricted expenditure.
As part of the annual planning and budget setting process, the British Library Board reviews and approves the level of readily available reserves appropriate to the scale, complexity and risk profile of the Library.
Investments and Financial Risks The British Library Board oversaw the Library's investments during the year, reviewing the investment policy and considering the performance and risks of its trust fund investments. A review of our investment portfolio was undertaken by investment analysts Barnett Waddingham in 2016. Following this a subcommittee of the Board was set up to review their analysis; it concluded that, in the current market, the investment portfolio should be further diversified into The overall objectives of the Library's reserves policy are to provide continuing assurance that the solvency of the Library will not be put at risk by shortterm variations in income or expenditure levels and to create an appropriate level of resource capability to allow the Library to respond to unforeseen challenges and opportunities arising within a financial year. Levels of unrestricted funds, both current and forecast, are kept under close scrutiny to ensure that they do not fall below the levels necessary to provide an Related Party Transactions Details of related party transactions are disclosed on page 87 at note 23.
Investments held as fixed assets are included at market value at the year end. The Statement of Financial Activities (SOFA) includes any realised and unrealised investment gains and losses arising on revaluation and disposals throughout the year.
other types of asset as well as UK equities and gilts. A successful tender process was undertaken and it was decided to move the portfolio, dividing it equally between two Diversified Growth Funds managed by Baillie Gifford and Investec. The funds were transferred from Legal and General in several instalments during the year.
Code of Best Practice on Corporate Governance In accordance with HM Treasury Code of Good Practice and Chapter 3 of *Managing Public Money*, the Annual Governance Statement is included on pages 55 to 61.
Payment of Creditors The Library observes the principles of the Better Payment Practice Code, and it is the policy of the British Library Board to pay all creditors within 30 days of receipt of the invoice unless separate arrangements have been agreed with the supplier. For the year ended 31 March 2017, 94% of invoices were paid within the agreed 30-day period (95% in 2015/16).
So far as the Accounting Officer and the British Library Board are aware, there is no relevant audit information of which the Library's auditors are unaware, and the Accounting Officer and British Library Board have taken all the steps that they ought to have taken to make themselves aware of any relevant audit information and to establish that the Library's auditors are aware of that information At the start of the year fund values stood at £19.7m and increased steadily over the year on the back of increases in the UK stock market. A further £1.5m was invested during the year from donations received and placed in the governmentsupported Catalyst Endowment Scheme. At the end of the year, investments stood at £24.3m; this included a gain of £1.9m which was realised as part of the process of transferring investments to the new investment managers.
The financial risks relating to investments continue to be managed by: -
a broad asset allocation which minimises the exposure to adverse factors which may affect one or
more classes of assets
-
maintaining a relatively high liquidity level
-
regularly monitoring investment performance.
Chairman
Chief Executive
and Accounting Officer
30 June 2017
30 June 2017
## Reference And Administrative Details
The following organisations were the Library's principal suppliers of professional financial, legal and investment services during 2016/17:
Lloyds Bank
39 Threadneedle Street London EC2R 8AU
Barclays Bank
49 High Street Stockton-on-Tees TS18 1AH
Government Banking Service C/O Royal Bank of Scotland Government Banking CST 280 Bishopsgate London EC2M 4RB
Santander Corporate Banking Bootle Merseyside L30 4GB
Comptroller and Auditor General National Audit Office 157–197 Buckingham Palace Road London SW1W 9SP
Legal and General Investment Management One Coleman Street London EC2R 5AA
Baillie Gifford & Co Edinburgh Calton Square, 1 Greenside Row, Edinburgh EH1 3AN
Investec Asset Management Limited Woolgate Exchange, 25 Basinghall Street, London EC2V 5HA
Government Legal Department (formerly Treasury Solicitor)
1 Kemble Street London WC2B 4TS
## Sustainability Report
waste reducing initiatives wherever possible. This has resulted in a significant and sustained reduction in greenhouse gas emissions.
The Library recognises that its activities impact on society and the environment at local, regional and global levels through the resources it consumes, the waste it produces, the travel and work patterns it encourages amongst its staff and the products it buys. The Library needs to provide stable and reliable collection storage while seeking to minimise the impact that its buildings and operations have on the environment. The measures undertaken to help with this include robust monitoring and targeting of utility consumption and waste production across its estate and investing in energy and
## Greenhouse Gas Emissions
| | 2012/13 | 2013/14 | 2014/15 | 2015/16 | 2016/17 |
|-------------------------------------------|------|------|------|------|-----------|
| Non-Financial indicators (1,000 tonnes CO | | | | | |
| 2 | | | | | |
| emitted) | | | | | |
| Gross emissions Scope 1 (direct) | 2.1 | 1.7 | 2.0 | 2.2 | 2.3 |
| Gross emissions Scope 2&3 (indirect) | 18.2 | 17.5 | 16.4 | 14.0 | 12.4 |
| Total gross emissions | 20.3 | 19.2 | 18.4 | 16.2 | 14.7 |
| Total net emissions | 20.3 | 19.2 | 18.4 | 16.2 | 14.7 |
| Related energy consumption (million kWh) | | | | | |
| Electricity: Non-renewable | 32.9 | 31.3 | 29.2 | 24.9 | 21.9 |
| Electricity: Renewable | - | - | - | - | - |
| Gas | 10.7 | 9.0 | 10.6 | 11.7 | 11.9 |
| Gas Oil | 3.6 | 3.0 | 3.5 | 2.6 | 3.0 |
| Other | - | - | - | - | - |
| Financial indicators (£million) | | | | | |
| Expenditure on energy | 3.2 | 3.3 | 3.2 | 3.0 | 2.7 |
| CRC license expenditure (2011/12 onwards) | 0.2 | 0.3 | 0.3 | 0.2 | 0.3 |
| Expenditure on accredited offsets | - | - | - | - | - |
| Expenditure on official business travel | 0.5 | 0.6 | 0.6 | 0.6 | 0.6 |
by continuing this programme, including lighting, HVAC controls (energy saving control valves) and plant operating times.
The Library adopted the 'Greening Government' target to reduce its greenhouse gas emissions by 25% from a 2009/10 baseline, for our estate and for business-related transport. This target has now been extended to cut emissions by 57% by 2020. At the end of 2016/17 net emissions have reduced by 37.6%.
The main direct causes of carbon emissions from the Library are electricity, gas and oil consumption. An energy saving action plan is in place and progress is being made as opportunities and budgets allow for investment in energy saving plant and lighting. The energy reductions in 2016/17 have been achieved There was an increase in air travel during the year as a result of the increase in international engagement activity.
## Waste Hazardous And Non-Hazardous Volumes By Disposal Routes
| | 2012/13 | 2013/14 | 2014/15 | 2015/16 | 2016/7 |
|-------------------------------------------------------------------------|---------|-------|-------|-------|----------|
| Non-Financial indicators (tonnes) | | | | | |
| Hazardous waste | | | | | |
| Total | 164.0 | 39.6 | 60.0 | - | - |
| Non hazardous waste | | | | | |
| Construction waste to landfill | 27.5 | 27.5 | 64.4 | - | - |
| Landfill | - | - | - | - | - |
| Reused/recycled | 997.0 | 448.1 | 408.1 | 431.2 | 301.4 |
| Composted | - | - | - | - | - |
| Incinerated with energy recovery | 190.7 | 178.2 | 147.7 | 143.0 | 172.0 |
| Incinerated without energy recovery | - | - | - | - | - |
| Total waste | 1,379.2 | 693.4 | 680.2 | 574.2 | 473.4 |
| Non-hazardous waste (excluding construction) volumes by disposal routes | | | | | |
to landfill; all non-recyclable waste is incinerated to provide energy. In addition to this, food waste is sent to anaerobic digestion, creating both fertiliser and gas for energy In the financial year 2016/17, the Library produced 473 tonnes of waste. This represents a total waste reduction from the previous year of 17.6% with an impressive 42.5% less waste being produced when measured against HM Treasury's 'Greening Government' baseline year of 2009/10. These results have been achieved by working very closely with our cleaning and waste management We employ a strict hierarchy of prevention, re-use, recycle, energy recovery and treatment/disposal, with prevention then re-use through others being the most favoured options and energy recovery being the last resort for waste from our sites. It is important to note that no waste from the Library is sent direct The previous year's increase in waste generated, related largely to refurbishment works, has subsided, although this has also decreased commensurately the percentage of waste recycled. In the coming year reflecting on how to meet these targets up to 2020.
we shall focus on improving the recycling percentage by closer scrutiny of the waste streams, allowing us to identify and remove recyclable material currently lost in the general waste stream.
There are no financial indicators for the waste element as these costs are embedded in service contracts and the actual element that relates to the removal of the waste is not identified separately.
The re-use of redundant material continued in 2016/17, though in smaller volumes. The material appropriate for re-use varies, from the giveaway of coffee grounds for gardens and allotments at our Boston Spa site to redundant furniture being re-homed locally within the Camden area to community centres, business start-ups, educational institutions or charities. The Library is committed to the new 'Greening Government' commitments; we will maintain a 'zero to landfill' policy and are
## Finite Resource Consumption
| | 2012/13 | 2013/14 | 2014/15 | 2015/16 | 2016/17 |
|----------------------------------------|-------|-------|-------|-------|-----------|
| Non-Financial indicators (000's metres | | | | | |
| 3 | | | | | |
| ) | | | | | |
| Water consumption | | | | | |
| Supplied | 83.5 | 91.0 | 70.3 | 73.7 | 59.6 |
| Abstracted | - | - | - | - | - |
| Collected | - | - | - | - | - |
| Financial indicators (£000s) | | | | | |
| Water supply costs | | | | | |
| 182.3 | 184.9 | 171.8 | 156.0 | 137.5 | |
Office benchmarks for water consumption and reduction are not suitable for St Pancras as approximately 60% of water used is for cooling of Reading Rooms, collection storage areas, public exhibition spaces and the Knowledge
Centre. The increasing number of visits by members of the public to our exhibitions and member facilities in St Pancras is increasing the volume of water consumed by these activities.
Biodiversity Action Planning
Our St Pancras building has some designed-in climate change adaptations. Our Boston Spa site has biodiversity and natural environment features. We seek to achieve appropriate BREEAM ratings for new buildings; the British Library Centre for Conservation building at St Pancras is rated 'Excellent' and the Newspaper Storage Building at Boston Spa, which incorporates a small Tri-Generation plant, has a 'Very Good' rating.
Sustainable Procurement The Library complies with DCMS/ CCS (Crown Commercial Services) sustainable procurement policies, but our existing contracts do not yet contain requirements for supply chain reporting. Our new procurement policy states our commitment to responsible procurement including promotion of continuous improvement in the reduction and efficient use of energy, water and raw materials and to verify suppliers' environmental policies and procedures, working towards continuous improvements in sustainability.
The Library has an internal target to reduce water consumption by 2% per year from a 2009/10 baseline. At the end of 2016/17 water consumption had reduced by 32%.
## Remuneration Report
No benefits in kind were received by the Executive Team or Chairman.
Remuneration Policy The remuneration policy for the British Library's senior managers is set by the Remuneration Committee, a standing committee of the British Library Board without executive powers which fulfils the following responsibilities:
Service Contracts
Although members of Library staff are not civil servants, appointments are made in accordance with the Civil Service principle that requires appointments to be on merit and on the basis of fair and open competition.
Reporting bodies are required to disclose the relationship between the remuneration of the highest-paid director in their organisation and the median remuneration of the organisation's workforce.
-
to keep under regular review the terms and conditions of the Chief Executive;
-
to undertake an annual review of the Chief Executive's salary and to determine their performance bonus and inform the Board;
The banded remuneration of the highest-paid director in the organisation in the financial year 2016/17 was £170–175k (2015/16 was £155–£160K). This was 6.56 times (2015/16 was 6.06) the median remuneration of the workforce, which was £26,312 (£26,000 in 2015/16).
-
to consider the recommendations of the Chief Executive in relation to the annual review of the salary and performance bonuses of the Executive Team and similarly for any other equivalent paid senior staff;
The Library's senior managers covered by this report hold appointments which are openended until they choose to retire. However those in post prior to 1 October 2006 have a contractual right to retire at age 60, should they so choose. The Chief Executive has a six-month notice period; other senior managers have a three-month notice period. All are members of the Principal Civil Service Pension Scheme and, as such, early termination of their contract would result in the individual receiving compensation as set out in the Civil Service Compensation Scheme.
-
to represent the Board in relation to considerations relating to the terms and conditions of all other Library employees and approve the annual pay remit; and
In 2016/17, no-one received remuneration in excess of the highest-paid director. Total remuneration includes salary, non-consolidated performancerelated pay and benefits in kind. It does not include employer pension contributions and the cash equivalent transfer of pensions. The following tables show the pension entitlements of, and the salary paid during the year to, the Chairman and Board Members and the Executive Team.
-
to carry out any other review and make any other recommendations which, in its opinion or at the request of the Chief Executive, it
believes to be relevant to the Board's statutory responsibilities in relation to the terms and conditions of the Library's employees.
Remuneration and Pension Entitlements (audited)
Remuneration includes: gross salary; overtime; reserved rights to London weighting or London allowances; recruitment and retention allowances; private office allowances and any other allowance to the extent that it is subject to UK taxation. Performance pay or bonuses are disclosed separately.
The Remuneration Committee is informed in its decisions by external benchmarking and through the Library's performance management process.
Bonuses are based on performance levels attained and are made as part of the appraisal process. They relate to performance in the previous year.
## Remuneration For Non-Pensionable Board Members (Audited):
| | 2016/17 | 2015/16 | Term | Term |
|--------------------------------------------|-------|-------|----------|----------|
| | | | Start | End |
| | | | Date | Date |
| | £000 | £000 | | |
| Rt Hon Baroness Blackstone PC | 37.0 | 37.0 | 01.09.10 | 31.08.18 |
| Mr David Barclay | 9.1 | 9.1 | 26.01.11 | 25.01.19 |
| Dr Robert Black CBE | 9.1 | 9.1 | 20.06.12 | 19.06.20 |
| Mr Jonathan Callaway | 9.1 | 9.1 | 01.04.15 | 31.03.19 |
| Ms Tracy Chevalier | 9.1 | 9.1 | 01.04.15 | 31.03.19 |
| Mr Martin Dickson | 9.1 | 9.1 | 01.04.15 | 31.03.19 |
| Lord Fellowes GCB GCVO PC (until 11.12.16) | 6.8 | 9.1 | 30.09.12 | 11.12.16 |
| Lord Janvrin GCB GCVO PC (from 1.1.17) | 2.3 | - | 01.01.17 | 31.12.20 |
| Dr Stephen Page | 9.1 | 9.1 | 26.01.11 | 25.01.19 |
| Mr Patrick Plant | 9.1 | 9.1 | 15.05.12 | 14.05.20 |
| Sir John Ritblat | 9.1 | 9.1 | 01.04.15 | 31.03.19 |
| Dr Simon Thurley CBE | 9.1 | 9.1 | 01.04.15 | 31.03.19 |
| Professor Dame Helen Wallace DBE | 9.1 | 9.1 | 01.04.15 | 31.03.19 |
| | 137.1 | 137.1 | | |
No pension contributions were made on behalf of the above Board Members in the year. The Board Members' remuneration is in accordance with the British Library Act 1972. During the year, a total of £1,739 (£1,802 in 2015/16) was paid to two (two in 2015/16) Board Members for travel expenses.
## Remuneration And Pension Details For The Executive Team (Audited):
| | Salary £000 | Bonus Payments £000 | Pension Benefits |
|---------------------------|------------|---------|--------------------|
| 1 | | | |
| £000 | Total £000 | | |
| | 2016/17 | 2015/16 | 2016/17 |
| Roly Keating, | | | |
| Chief Executive | 155–160 | 150–155 | 10–15 |
| Caroline Brazier, | | | |
| Chief Librarian | 125–130 | 125–130 | 10–15 |
| Philip Spence, | | | |
| Chief Operating Officer | 140–145 | 140–145 | 10–15 |
| Richard Boulderstone, | | | |
| Chief Digital Officer | - | 5–10 | - |
| until 10 April 2015 | | | |
| ( | | | |
| FTE | | | |
| 120–125) | | | |
| Frances Brindle, Director | - | - | - |
| until 28 February 2015 | | | |
| | | | |
| Steve Morris, | | | |
| Chief Financial Officer | - | 35–40 | - |
| until 30 June 2015 | | | |
| ( | | | |
| FTE | | | |
| 130–135) | | | |
1
The value of pension benefits accrued during the year is calculated as (the real increase in pension multiplied by 20) plus (the real increase in any lump sum) less (the contributions made by the individual). The real increase excludes increases due to inflation or any increase or decrease due to a transfer of pension rights.
The Chief Executive and members of the Executive Team are eligible for contractual non-consolidated annual bonus payments of up to 10% of basic salary. Bonuses were paid to three of the Executive Team in 2016/17. In 2015/16 bonuses were paid to four of the Executive Team and two of the Executive Team waived their contractual bonus payment. In addition, for 2016/17 the annual pay award agreed by the Remuneration Committee for the Chief Officers was 2%, the same percentage as that agreed for all staff and in line with Government policy.
| | Accrued Pension | Real increase in |
|-------------------------|----------------|---------------------|
| | at pension age | pension and |
| | as at 31/3/17 | related lump sum |
| | | at pension age |
| | £000 | £000 |
| Roly Keating, | | |
| Chief Executive | 15–20 | 2.5–5 |
| Caroline Brazier, | 20–25 | |
| plus lump | | |
| | 0–2.5 | |
| plus lump | | |
| | 530 | 480 |
| Chief Librarian | | |
| | sum of 65–70 | sum of |
| 2.5–5 | | |
| | | |
| Philip Spence, | | |
| Chief Operating Officer | 20–25 | 0–2.5 |
for members of alpha. (The pension figures quoted for officials show pension earned in PCSPS or alpha - as appropriate. Where the official has benefits in both the PCSPS and alpha the figure quoted is the combined value of their benefits in the two schemes, but note that part of that pension may be payable from different ages).
Library staff are eligible to become a member of one of the Principal Civil Service Pension Schemes (PCSPS), schemes that provide retirement-related benefits to all eligible employees. Pension benefits are provided through the Civil Service pension arrangements. From 1 April 2015 a new pension scheme for civil servants was introduced - the Civil Servants and Others Pension Scheme or alpha, which provides benefits on a career average basis with a normal pension age equal to the member's State Pension Age (or 65 if higher). From that date, all newly appointed Library staff and the majority of those already in service joined alpha. Prior to that date, staff participated in the Principal Civil Service Pension Scheme (PCSPS).
Employee contributions are salaryrelated and range between 3% and 8.05% of pensionable earnings for members of classic (and members of alpha who were members of classic immediately before joining alpha) and between 4.6% and 8.05% for members of premium, classic plus, nuvos and all other members of alpha. Benefits in classic accrue at the rate of 1/80th of final pensionable earnings for each year of service. In addition, a lump sum equivalent to three years initial pension is payable on retirement. For premium, benefits accrue at the rate of 1/60th of final pensionable earnings for each year of service. Unlike classic, there is no automatic lump sum. Classic plus is essentially a hybrid with benefits for service before 1 October 2002 calculated broadly as per classic and benefits for service from October 2002 worked out as in premium.
The PCSPS has four sections: three providing benefits on a final salary basis (classic, premium or classic plus) with a normal pension age of 60; and one providing benefits on a whole career basis (nuvos) with a normal pension age of 65.
The partnership pension account is a stakeholder pension arrangement. The employer makes a basic contribution of between 3% and 12.5% up to 30 September 2015 and 8% and 14.75% from 1 October 2015 (depending on the age of the member) into a stakeholder pension product chosen by the employee from a panel of providers. The employee does not have to contribute, but where they do make contributions, the employer will match these up to a limit of 3% of pensionable salary (in addition to the employer's basic contribution). Employers also contribute a further 0.8% of pensionable salary up to 30 September 2015 and 0.5% of pensionable salary from 1 October 2015 to cover the cost of centrallyprovided risk benefit cover (death in service and ill health retirement).
In nuvos a member builds up a pension based on their pensionable earnings during their period of scheme membership. At the end of the scheme year (31 March) the member's earned pension account is credited with 2.3% of their pensionable earnings in that scheme year and the accrued pension is uprated in line with Pensions Increase legislation.
Further details about the Civil Service pension arrangements can be found at the website www. civilservicepensionscheme.org.uk Benefits in alpha build up in a similar way to nuvos, except that the accrual rate is 2.32%. In all cases members may opt to give up (commute) pension for a lump sum up to the limits set by the Finance Act 2004.
These statutory arrangements are unfunded with the cost of benefits met by monies voted by Parliament each year. Pensions payable under classic, premium, classic plus, nuvos and alpha are increased annually in line with Pensions Increase legislation. Existing members of the PCSPS who were within 10 years of their normal pension age on 1 April 2012 remained in the PCSPS after 1 April 2015. Those who were between 10 years and 13 years and 5 months from their normal pension age on 1 April 2012 will switch into alpha sometime between 1 June 2015 and 1 February 2022.
Cash Equivalent Transfer Values A Cash Equivalent Transfer Value (CETV) is the actuarially-assessed, capitalised value of the pension scheme benefits accrued by a member at a particular point in time. The benefits valued are the member's accrued benefits and any contingent spouse's pension payable from the scheme. A CETV is a payment made by a pension scheme or arrangement to secure pension benefits in another pension scheme or arrangement when the member leaves a scheme and All members who switch to alpha have their PCSPS benefits 'banked', with those with earlier benefits in one of the final salary sections of the PCSPS having those benefits based on their final salary when they leave alpha.
The accrued pension quoted is the pension the member is entitled to receive when they reach pension age, or immediately on ceasing to be an active member of the scheme if they are already at or over pension age. Pension age is 60 for members of classic, premium and classic plus, 65 for members of nuvos, and the higher of 65 or State Pension Age Real Increase in CETV
This reflects the increase in CETV effectively funded by the employer. It does not include the increase in accrued pension due to inflation, contributions paid by the employee (including the value of any benefits transferred from another pension scheme or arrangement) and uses common market valuation factors for the start and end of the period.
any additional pension benefit accrued to the member as a result of their purchasing additional pension benefits at their own cost. CETVs are calculated within the guidelines and framework prescribed by the Institute and Faculty of Actuaries and do not take account of any actual or potential reduction to benefits resulting from Lifetime Allowance Tax which may be due when pension benefits are drawn.
chooses to transfer the benefits accrued in their former scheme. The pension figures shown relate to the benefits that the individual has accrued as a consequence of their total membership of the pension scheme, not just their service in a senior capacity to which disclosure applies. The figures include the value of any pension benefit in another scheme or arrangement which the individual has transferred to the Civil Service pension arrangements. They also include Rt Hon Baroness Blackstone PC
Roly Keating Chairman
Chief Executive
and Accounting Officer
30 June 2017
30 June 2017
## Governance Statement Governance Framework
the Schedule to the Act empowers the Board to impose charges for any services provided, or for the loan or use of any item from its collections, subject to the approval of the Secretary of State.
standards of corporate governance are observed at all times. The Board establishes the overall strategic direction of the organisation. It approves the Library's annual corporate business plan and annual budget. It also oversees the delivery of planned results by monitoring performance against agreed strategic objectives and targets. The responsibilities of the Chairman and the Chief Executive are set out in the Statement of Directors' and Accounting Officer's Responsibilities on page 42.
The British Library The British Library is the national library of the United Kingdom, formed in 1973 under Section 1(1) of the British Library Act 1972 ('the Act'). It is a non-departmental public body, an arm's-length body funded by a combination of Grant in Aid allocated by the Department for Culture, Media and Sport (DCMS) and income secured through commercial, fundraising, sponsored and charging activities. A management agreement letter from the Secretary of State for Culture, Media and Sport sets out the Library's Grant in Aid allocation and conditions.
The Board meets five times a year, with one of those meetings substantially devoted to the review and development of strategy. The Chief Operating Officer and Chief Librarian are normally present during Board meetings.
Living Knowledge sets out the British Library's vision for its future development as it looks ahead to 2023, the year of its 50th anniversary as the national library of the UK. *Living Knowledge* explains how the Library contributes to research, culture, education and economic prosperity, for the benefit not just of the UK but of users and partners around the world. The Library's mission is to 'make our intellectual heritage accessible to everyone, for research, inspiration and enjoyment'. Living Knowledge sets out six core statements of purpose for custodianship, research, business, culture, learning and international activities.
The British Library is an exempt charity under the Charities Act 2011 and complies with the duty under section 17 to have due regard to public benefit guidance published by the Charities Commission.
Objectives and Activities Section 1(2) of the Act placed the Library under the control and management of the British Library Board ('the Board'), the duty of which is to manage the Library as a national centre for reference, study and bibliographical and other information services in relation both to scientific and technological matters and to the humanities.
The Board The constitution and further provisions of the Board are set out in the Act. The Chairman and members of the Board are all appointed by the Secretary of State, with the exception of one member who is appointed by HM The Queen. One member of the Board is appointed after consultation with Scottish Ministers. Members are normally appointed for fouryear terms, with consecutive appointments restricted to two terms. All are part time with the exception of the Chief Executive who is the only full-time executive member of the Board. The Chairman and Board select one of their members to be Deputy Chairman. Members of the Board have corporate responsibility for ensuring that the Library complies with any statutory or administrative requirements for the use of public funds and ensuring that high The objectives of the Library are set out under Sections 1(3) and 1(4) of the Act. The Library is required to make its services available to the public and, in particular, to institutions of education and learning, other libraries and industry. It may carry out and sponsor research, contribute to the expenses of library authorities or other persons providing library facilities, and make any part of its collections, or of its premises, available in connection with events of an educational, literary or cultural nature. Under Section 2,
## Board Committees
The Board has delegated certain responsibilities to committees of the Board, as follows.
| Committee |
|--------------------------------------------------------------------------------------------------|
| Audit Committee |
| A standing committee without executive powers which supports the Board and the |
| Accounting Officer in their responsibilities for issues of finance, risk, control and governance |
| by reviewing the comprehensiveness, reliability and integrity of assurances provided to them. |
| Remuneration Committee |
| A standing committee without executive powers which makes recommendations to the Board |
| with regard to the performance, pay and employment terms and conditions of the Chief |
| Executive, and which considers the recommendations of the Chief Executive in relation to the |
| Chief Librarian, the Chief Operating Officer and other staff. |
| Capital Projects |
| Committee |
| A limited-life committee without executive powers, whose primary responsibility is to assist |
| the Board in overseeing the achievement of the objectives of the St Pancras Transformed |
| Programme. |
| Investment Committee |
| A limited-life committee without executive powers, formed to review and make |
| recommendations to the trustees of the British Library's trust funds with regard to |
| investments. |
Board and Committee Membership2
| | | | | | | |
|----------------------------------|------------|--------|--------|--------|---------|---------|
| Current term | Expires | Board | Audit | Remun. | Cap Pr. | Invest. |
| Chairman | | | | | | |
| | | | | | | |
| Rt Hon Baroness Blackstone PC | | | | | | |
| 2nd | 31.8.2018 | Chair | - | Member | - | - |
| Deputy Chairman | | | | | | |
| | | | | | | |
| Mr David Barclay | | | | | | |
| 2nd | 25.1.2019 | Member | Member | Chair | - | Member |
| Chief Executive | | | | | | |
| | | | | | | |
| Mr Roly Keating | | | | | | |
| 1st | 11.9.2019 | Member | - | - | Member | - |
| Non-Executive Board Members | | | | | | |
| Dr Robert Black CBE | | | | | | |
| 2nd | 19.6.2020 | Member | Chair | - | - | - |
| Mr Jonathan Callaway | | | | | | |
| 1st | 31.3.2019 | Member | - | - | - | Chair |
| Ms Tracy Chevalier | | | | | | |
| 1st | 31.3.2019 | Member | - | - | - | - |
| Mr Martin Dickson | | | | | | |
| 1st | 31.3.2019 | Member | Member | Member | - | Member |
| Lord Fellowes GCB GCVO PC | | | | | | |
| (until 11.12.2016) | | | | | | |
| | | | | | | |
| 3rd | 11.12.2016 | Member | Member | - | - | - |
| Lord Janvrin GCB GCVO PC | | | | | | |
| (from 1.1.2017) | | | | | | |
| | | | | | | |
| 1st | 31.12.2020 | Member | - | - | - | - |
| Dr Stephen Page | | | | | | |
| 2nd | 25.1.2019 | Member | - | - | Member | - |
| Mr Patrick Plant | | | | | | |
| 2nd | 14.5.2020 | Member | - | - | Chair | - |
| Sir John Ritblat | | | | | | |
| 1st | 31.3.2019 | Member | - | - | - | - |
| Dr Simon Thurley CBE | | | | | | |
| 1st | 31.3.2019 | Member | - | - | Member | - |
| Professor Dame Helen Wallace DBE | | | | | | |
| 1st | 31.3.2019 | Member | Member | - | - | - |
## Committee Members With Relevant Professional Experience:
| | | | | | Ms Berenice Smith | |
|-----|------------|----|--------|----|---|---|
| 3rd | 31.10.2018 | - | Member | - | - | - |
2 Board members' biographies are available at: www.bl.uk/aboutus/governance/blboard/memberslist/
## Board Performance
-
Review of the Library's purchasing strategy for the acquisition of digital and printed journal content
-
Progress in the implementation of the Library's development strategy and commercial business strategy for the next five years.
Board and Committee Business The Board received annual reports from the Chairs of the Audit Committee and Remuneration Committee, plus minutes of each meeting of the Audit Committee, Capital Projects Committee and Investment Committee. The Board received quarterly reports on financial and business performance, delivery of strategic change initiatives, and risk management. The Board also approved financial and business plans for the next year. In addition to regular business, significant issues that were considered by the Board during 2016/17 included:
-
Plans, and the procurement of a commercial development partner, to adapt and extend the Library's iconic building in St Pancras, making it one of the UK's most open, creative and innovative public spaces for the 21st century
The Audit Committee kept the management of risk, and the Library's top strategic risks, under review throughout the year. The Committee reviewed reports from RSM, the Library's internal auditors, including progress reports on the implementation of recommendations. The Committee agreed a suitable programme of work for 2017/18. Members of internal and external audit attended each meeting of the Audit Committee and their work was considered by the Committee. During the course of its work in 2016/17, the Committee did not identify any particular issues to draw to the attention of the Board or Accounting Officer.
-
Developing ideas for the future of the Library's estate and operations in Boston Spa, including a potential range of new storage and collection management facilities
The Remuneration Committee approved, on behalf of the Board, annual bonus recommendations for the Chief Executive, Chief Librarian and Chief Operating Officer, plus the annual pay remit for staff in
2016/17.
-
Progress in the delivery of Living Knowledge and key purposes including Business, Learning and Culture
-
The creation and launch of a new Membership scheme for individuals wishing to join the Library
The Capital Projects Committee oversaw the selection and procurement, via competitive dialogue, of property developer Stanhope plc as a commercial partner, with architects Rogers Stirk Harbour & Partners, to develop land in the north of the Library's St Pancras estate and provide improved facilities within the current St Pancras building.
-
Launch of the Living Knowledge Network, a partnership with national and public libraries in major towns and cities throughout the UK, plus extension of the network of Business & IP Centres to two more libraries in Exeter and Northampton
The Investment Committee made recommendations to the trustees of the Library's trust funds which resulted in the transfer of assets to two different investment funds.
-
New arrangements for volunteers and a strategy for apprenticeships
## Board And Committee Attendance Meetings Attended / Eligible To Attend
| | | | British | Audit Remuneration | Capital | Investment |
|----------------------------------------------------------|---|---------|-----------|-----------|-----------|--------------|
| | | Library | Committee | Committee | Projects | Committee |
| | | Board | | | Committee | |
| Rt Hon Baroness Blackstone PC | | 5 / 5 | - | 1 / 1 | - | - |
| Mr David Barclay | | 5 / 5 | 4 / 4 | 1 / 1 | - | 1 / 1 |
| Dr Robert Black CBE | | 5 / 5 | 4 / 4 | - | - | - |
| Mr Jonathan Callaway | | 5 / 5 | - | - | - | 1 / 1 |
| Ms Tracy Chevalier | | 5 / 5 | - | - | - | - |
| Mr Martin Dickson | | 5 / 5 | 1 / 1 | 1 / 1 | - | 1 / 1 |
| Lord Fellowes GCB GCVO PC (until 11.12.16) | | 2 / 4 | 3 / 3 | - | - | - |
| Lord Janvrin GCB GCVO PC (from 1.1.17) | | 1 / 1 | - | - | - | - |
| Mr Roly Keating | | 5 / 5 | - | - | 8 / 8 | - |
| Dr Stephen Page | | 5 / 5 | - | - | 8 / 8 | - |
| Mr Patrick Plant | | 5 / 5 | - | - | 8 / 8 | - |
| Sir John Ritblat | | 4 / 5 | - | - | - | - |
| Dr Simon Thurley CBE | | 5 / 5 | - | - | 6 / 8 | - |
| Professor Dame Helen Wallace DBE | | 5 / 5 | 4 / 4 | - | - | - |
| Committee members with relevant professional experience: | | | | | | |
| Ms Berenice Smith | | - | 4 / 4 | - | - | - |
The Library complies with the requirements of Corporate governance in central government departments: code of good practice, 2017 as adapted to the circumstances of the Library as an arm's-length body.
more digital expertise as the Library's business continues to evolve. The survey also confirmed that the Board was generally effective with sound processes, that Board members receive timely and accurate information for all areas for which they are responsible and that they have confidence in the robustness of that data. The Board considers the quality of information sufficient for it to conduct its role.
Board Effectiveness New board appointees' induction includes interviews with key staff about strategic issues and the services of the Library, briefing material on the Library's governance framework and background, and the offer of training on board members'
responsibilities and requirements or expectations relevant to the Library as a public body.
Management Responsibility for managing the Library is delegated to the Chief Executive who, as Accounting Officer, is personally responsible to Parliament for the stewardship of public money and the Library's assets, and for ensuring that the resources allocated to the Library under the authority of Parliament are used for the purposes intended by Parliament.
Separately, the Board's Audit Committee also carried out a selfevaluation based upon the National Audit Office's check list, which also confirmed that the Library has good practices and controls and that the work of the Committee is effective. Internal Audit provides assurances on the quality of management information through individual audit reviews in a cyclical three-year programme.
Management of the Library is led by the Chief Executive, Chief Librarian and Chief Operating Officer, and includes the following areas of responsibility:
Board members have annual appraisals with the Chairman and the Board undertakes an annual assessment of its own effectiveness on the basis of a self-evaluation questionnaire. The review of 2016/17 confirmed that the Board has good skills-based membership, but members recommended that consideration should be given by the Secretary of State in future appointments to increasing the Board's diversity and to adding
## Chief Executive Roly Keating
Chief Librarian
Caroline Brazier
Chief Operating Officer
Philip Spence
## Risk Assessment
was delivered to almost 70 staff who regularly make financial and non-financial commitments on the Library's behalf.
have a detrimental effect on the organisation's achievement of its key business objectives. The risk realisation will lead to failure, loss or lost opportunity'. The Strategic Risk Register is reviewed annually by the Board; annually by the Strategic Leadership Team; four times a year by management's Audit and Risk Group; and three times a year by the Board's Audit Committee.
Internal Controls and Risk Management Framework The Chairman is responsible to the Secretary of State for ensuring that: the Library fulfils its statutory purpose as set out in its founding legislation; it complies with charity law; relevant Library policies are consistent with those of the Secretary of State; and the Library's affairs are conducted with probity. The Board assesses the risks facing the Library and satisfies itself that the risk management and internal control systems are effective.
Operational risks are held within risk registers which are regularly reviewed by the management team. At the end of each financial year, the Chief Executive, Chief Librarian and Chief Operating Officer complete a declaration that they have reviewed and are managing all identified risks. If warranted, operational risks may be escalated to the Strategic Risk Register.
The Library adheres to a risk management policy framework endorsed by the Board which, in line with the risk standard ISO 31000 and HM Treasury guidance (Orange Book:
Management of Risk - Principles and Concepts), lays out its policies and procedures for managing risk. The framework also reflects identified best practices, sets out clear roles and responsibilities in managing risks and includes a statement of the Library's risk appetite. Risk management is increasingly integrated in business planning decisions, whether big or small, rather than being a separate management action. During 2016/17 we focussed on the controls and assurances for risks, giving confidence that risks are being managed effectively and efficiently.
The Accounting Officer is personally responsible for the Governance Statement and for making sure that: a sound system of internal control exists and is maintained; the public funds and assets for which he is personally responsible are safeguarded in accordance with the responsibilities assigned in Managing Public Money; and ensuring compliance with the requirements of the Library's Management Agreement with DCMS.
The Library draws a clear distinction between strategic risks and operational risks. Strategic risks are defined as 'those business risks that, if realised, could fundamentally affect the way in which the organisation exists or provides services in the next one to five years. These risks will The Library aims to manage risk within risk appetite levels agreed by the Board, rather than eliminating all risks to achievement of its policies, aims and objectives. Five levels of risk appetite have been established: Minimum, Low, Modest, Moderate and Maximum. Management and the Board's Audit Committee review the risk appetite levels annually in the light of any changes within the Library or outside in the external landscape in During 2016/17, in support of the UK Anti-Corruption Plan 2014, the Library responded to a DCMS Counter Fraud Functional Standards Questionnaire and considered how to improve its controls against fraud and bribery. Public accountability training order to ensure that the system of internal control remains effective. Any proposals to change risk appetite levels are reviewed and agreed by the Board.
Effectiveness of Internal Controls During the year, the Board and the Board's Audit Committee both completed reviews of their effectiveness by self-assessment. Members were satisfied both that effective internal and financial controls and an institution-wide risk management process were in place, and that they receive appropriate information and reports on a timely basis. In observance of Public Sector Internal Audit Standards, the Head of Internal Audit provides an annual opinion on the overall adequacy and effectiveness of the Library's risk management, control and governance processes. Based on a plan of sixteen internal audit reviews throughout 2016/17, the Head of Internal Audit rated the Library as having an adequate and effective framework for risk management, governance and internal control but recommended some further enhancements to ensure that the framework remains adequate and effective.
and diverse collections, and changes to the external landscape, the Library faces the potential for cultural restitution claims. We maintain and implement appropriate policies, due diligence and governance processes, with guidance and training for staff, in matters of public accountability and cultural property.
-
Finance Budgeting (Appetite: Modest). The potential risk of future reductions in Grant in Aid affecting delivery of services remained high on our register during the year. This is mitigated through robust financial and business planning of the delivery of Living Knowledge initiatives, most notably the St Pancras Transformed programme and the development of diverse and sustainable fundraising and commercial strategies.
-
Implications of EU exit (Appetite: Low). As the Government negotiates the terms of exit, including post-exit arrangements, we continue to support the high proportion of our staff who are non-UK EU nationals and might be impacted. We are actively considering potential impacts across all of our activities, for example our legal, contract and procurement environment; our funding opportunities and
threats; and our international relationships. We have a team of staff ensuring a proactive and coordinated approach until we have further clarity.
Managing Financial Risk The Library's budgetary framework delegates budget responsibilities from the Chief Executive, as Accounting Officer, to the Chief Officers. As part of this responsibility the Library requires each Strategic Leadership Team manager to review their financial performance regularly, to advise the Chief Officers of any potential deviation from budget and to report any remedial actions being taken to address it.
Assessment of Principal Risks in 2016/17
A full review and assessment of the Library's register of strategic risks was completed during the year. The updated register included the following themes.
-
Stakeholder Relationships
(Appetite: Modest). The Library maintains regular dialogue and engages at all levels with representatives of Government and external stakeholders in relation to current issues and future changes such as the Digital Economy Bill, general elections and potential impacts on culture and creative industries, PLR and HE policy.
-
Physical Security (Appetite:
Low). The Library remains vigilant about the threat of a major physical security breach or incident, maintaining appropriate
policies and systems for protecting people, collections and premises, and liaising regularly with the police, SO20 Counter Terrorism Protection Command and other external security bodies.
-
Digital Systems Security (Appetite:
Low) In line with ISO27001, the Library has developed an Information Security Framework and utilises a range of software and hardware solutions, staff training and policies to defend against the possibility of cyberattack, systems failure or data loss. Seeking assurance of effective controls and advice through internal and third party penetration testing and audits, we plan to achieve Cyber Essentials certification in 2017/18.
-
Staff Recruitment and Retention
(Appetite: Moderate). The Library continues to need specialist and skilled staff in a competitive market and so we have started to update our People Policies in line with our new People Strategy. Regular updates to the Board provide assurances that we are largely on track.
-
Staff Engagement (Appetite:
Low). We strive to inspire staff with the vision required for transformational change, through our Living Knowledge purposes and our People Values. We plan
effective staff communications through regular Open House briefing sessions and regular online messages. Quarterly pulse surveys with staff indicate areas where we are having the most impact.
-
Major Programmes Governance (Appetite: Low). While accepting the potential for minor risk in certain aspects, the Library implements strong governance for its major transformational change agenda through a portfolio approach, using best practice methodologies for managing change including dependency and benefits mapping; clear roles and responsibilities including escalation routes; and independent, internal and external assurances.
-
Institutional Reputation (Appetite: Low). With such rich
Financial performance is reported monthly to the Chief Officers and quarterly to the Board. During Commissioner's Office.
and other non-staff members. The majority of these accidents were slips, trips and falls, especially during the winter and wet weather. The Library adheres to all salient points within the British Standards Institute's BS OHSAS 18001 guidance.
the year, our four-year financial strategy was updated as part of the annual corporate planning process. Forecasts are reported to DCMS on a monthly basis and regular contact is maintained with their appointed finance manager. We also implemented a new finance team structure which provides greater resilience by ensuring the right skills and capacity are in place to deliver a fit-for-purpose finance service The average sickness absence for staff during the year, excluding unpaid absence and maternity leave, was 8.03 days per employee (7.72 days in 2015/16).
Modern Slavery Act Respecting the rights of the people that we interact with has always been integral to the British Library, and addressing modern slavery is a core part of our human rights and responsible sourcing strategy. The Library's trading turnover is not sufficient for the provisions of the Modern Slavery Act to apply. Nevertheless, in line with our corporate social responsibilities, we are taking steps within HR and Procurement to update policies, standards and procedures.
Whistleblowing The Library has a whistleblowing policy which was written in consultation with our recognised Trade Unions and is made widely available to all staff on the Library's intranet. In a majority of instances the most appropriate place for a worker to raise concerns will be with their line manager or a more senior manager; in other cases a concern may be reported to the Chair of the Audit Committee as a member of the British Library Board or, in their absence, to the Deputy Chairman. There were no instances of whistleblowing reported in 2016/17.
Business Continuity Management Business Continuity Management (BCM) is an established part of the Library's preparations for managing risk, whether from internal system failures or from external emergencies. The British Library bases its BCM on the framework guidance laid out in ISO 22301 Societal Security - Business Continuity Management systems. Effectiveness is confirmed by completion of crisis management exercises which test our business continuity arrangements at both tactical and strategic levels.
Managing Information Risk
The Senior Information Risk Owner (SIRO) of the Library is supported by a Corporate Information Governance Group covering information compliance, information management and information security. During 2016/17 the main focus of activity was on: -
Data protection, including preparations for the EU's General Data Protection Regulation 2016 which will take effect in May 2018. The regulation establishes new rules for the use of personal data in the digital era, affecting our custodianship of collections and the operation of customer databases including our members, suppliers and partners.
-
Freedom of Information and support of the Government's
transparency agenda.
-
Information Management through continued improvement in our records management.
-
Information Security policy, aligned with ISO 27001/2.
-
Improved handling of credit card data, including compliance with the Payment Card Industry Data Security Standard v2.0.
The Library has suffered no significant losses or thefts of personal or other protected data during 2016/17 and has made no report to the Information Health and Safety The Health and Safety (H&S) team is tasked with ensuring that the Library's legal and moral obligations to safeguard the health, safety and welfare of staff and visitors are met in full. Over the last 12 months across all Library sites 1,304 staff attended nine types of training course on health and safety matters. During the year a total 91 accidents were reported under the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) - compared with 95 in 2015/16 - comprising 51 accidents involving members of staff and 40 involving visitors, contractors Rt Hon Baroness Blackstone PC
Roly Keating Chairman
Chief Executive
and Accounting Officer
## Scottish Parliament
I certify that I have audited the financial statements of the British Library for the year ended 31 March 2017 under the British Library Act 1972. The financial statements comprise: the Statement of Financial Activities, the Balance Sheet, the Cash Flow Statement and the related notes. These financial statements have been prepared under the accounting policies set out within them. I have also audited the information in the Remuneration Report that is described in that report as having been audited.
Opinion on other matters
In my opinion: -
the part of the Remuneration Report to be audited has been properly prepared in accordance with Secretary of State directions made under the British Library Act 1972; and
-
the information given in the Governance Statement, Financial Review and Sustainability Report sections of the Annual Report for the financial year for which the financial statements are prepared is consistent with the financial statements.
disclosed; the reasonableness of significant accounting estimates made by the British Library; and the overall presentation of the financial statements. In addition, I read all the financial and nonfinancial information in the Annual Report to identify material inconsistencies with the audited financial statements and to identify any information that is apparently materially incorrect based on, or materially inconsistent with, the knowledge acquired by me in the course of performing the audit. If I become aware of any apparent material misstatements or inconsistencies I consider the implications for my certificate. I am required to obtain evidence sufficient to give reasonable assurance that the expenditure and income recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them
Matters on which I report by exception
I have nothing to report in respect of the following matters which I report to you if, in my opinion: -
adequate accounting records have not been kept or returns adequate for my audit have not been received from branches not visited by my staff; or
-
the financial statements and the part of the Remuneration Report to be audited are not in agreement with the accounting records and returns; or
-
I have not received all of the information and explanations I require for my audit; or
-
the Governance Statement does not reflect compliance with HM Treasury's guidance.
Respective responsibilities of the Board, Accounting Officer and auditor As explained more fully in the Statement of Directors' and Accounting Officer's responsibilities, the Board and Chief Executive as Accounting Officer are responsible for the preparation of the financial statements and for being satisfied that they give a true and fair view. My responsibility is to audit, certify and report on the financial statements in accordance with the British Library Act 1972. I
conducted my audit in accordance with International Standards on Auditing (UK and Ireland). Those standards require me and my staff to comply with the Auditing Practices Board's Ethical Standards for Auditors.
Opinion on regularity In my opinion, in all material respects, the expenditure and income recorded in the financial statements have been applied to the purposes intended by Parliament and the financial transactions recorded in the financial statements conform to the authorities which govern them.
Report I have no observations to make on these financial statements.
Sir Amyas C E Morse
Comptroller and Auditor General
## 5 July 2017
Opinion on financial statements
In my opinion: -
the financial statements give a true and fair view, of the state of the British Library's affairs as at 31 March 2017 and of its net expenditure for the year then ended; and
-
the financial statements have been properly prepared in accordance with the British Library Act 1972 and Secretary of State directions issued thereunder.
Scope of the audit of the financial statements An audit involves obtaining evidence about the amounts and disclosures in the financial statements sufficient to give reasonable assurance that the financial statements are free from material misstatement, whether caused by fraud or error. This includes an assessment of: whether the accounting policies are appropriate to the British Library's circumstances and have been consistently applied and adequately National Audit Office 157–197 Buckingham Palace Road Victoria London SW1W 9SP
## Annual Accounts
The British Library Board Statement of Financial Activities for the year ended 31 March 2017
| | | | Notes Unrestricted | Restricted | Total Unrestricted | Restricted | Total |
|-------------------------------------------|-----------|-----------|-----------|-----------|-----------|--------|----------|
| | | funds | funds | 2016/17 | funds | funds | 2015/16 |
| | | £000 | £000 | £000 | £000 | £000 | £000 |
| Income and Endowments from: | | | | | | | |
| | | | | | | | |
| Donations and legacies | 2 | 1,631 | 8,041 | 9,672 | 452 | 9,467 | 9,919 |
| Charitable Activities | 3 | 13,500 | 280 | 13,780 | 13,251 | 548 | 13,799 |
| Investment Income | 4 | 381 | 268 | 649 | 525 | 478 | 1,003 |
| Other Incoming Resources | | | | | | | |
| Grant in Aid | 5 | 93,911 | - | 93,911 | 93,043 | - | 93,043 |
| Total Income and Endowments | | 109,423 | 8,589 | 118,012 | 107,271 | 10,493 | 117,764 |
| Expenditure on: | | | | | | | |
| | | | | | | | |
| Raising Funds | | 773 | - | 773 | 582 | - | 582 |
| Investment Management costs | | 3 | 11 | 14 | 6 | 20 | 26 |
| Charitable Activities: | | | | | | | |
| Access | | 33,469 | 591 | 34,060 | 32,011 | 760 | 32,771 |
| Content / Acquisitions | | 41,981 | 1,629 | 43,610 | 41,542 | 1,555 | 43,097 |
| Developments | | 11,445 | 1,937 | 13,382 | 15,193 | 1,633 | 16,826 |
| International | | (632) | 2,453 | 1,821 | (578) | 2,196 | 1,618 |
| Navigation | | 20,620 | 1,492 | 22,112 | 18,959 | 1,804 | 20,763 |
| Public Engagement | | 14,321 | 601 | 14,922 | 13,286 | 55 | 13,341 |
| Web | | 1,486 | 56 | 1,542 | 2,035 | 18 | 2,053 |
| Public Lending Right to Authors | | 6,080 | - | 6,080 | 6,400 | - | 6,400 |
| Total Expenditure | 6 | 129,546 | 8,770 | 138,316 | 129,436 | 8,041 | 137,477 |
| Net Gains / (losses) on investments | 11 | 719 | 1,947 | 2,666 | (275) | (822) | (1,097) |
| Net income / (expenditure) | | | | | | | |
| | | (19,404) | 1,766 | (17,638) | (22,440) | 1,630 | (20,810) |
| Transfer between funds | 17 | 29 | (29) | - | - | - | - |
| Other Recognised gains / (losses) | | | | | | | |
| | | | | | | | |
| Gains / (losses) on revaluation of fixed assets 9 | 288,222 | - | 288,222 | 18,139 | - | 18,139 | |
| PLR Reserve movement | | 9 | - | 9 | | | |
| Net movement in funds | | 268,856 | 1,737 | 270,593 | (4,301) | 1,630 | (2,671) |
| Reconciliation of Funds | | | | | | | |
| Fund balances brought forward at 1 April | | 1,328,490 | 22,086 | 1,350,576 | 1,332,791 | 20,456 1,353,247 | |
| Fund balances carried forward at 31 March | 1,597,346 | 23,823 | 1,621,169 | 1,328,490 | 22,086 1,350,576 | | |
All recognised gains and losses are included within the Statement of Financial Activities and all the Library's activities are classed as continuing. The notes on pages 66 to 88 form part of these accounts.
| | | Notes | | 2016/17 | 2015/16 |
|-------------------------------------------------|----|----|-------|-----------|-----------|
| | | | | £000 | £000 |
| Fixed assets | | | | | |
| Intangible assets | | 8 | | 55 | 90 |
| Tangible assets | | 9 | | 1,490,797 | 1,226,674 |
| Heritage assets | | 10 | | 68,109 | 65,848 |
| Investments | | 11 | | 24,256 | 19,722 |
| Total fixed assets | | | | 1,583,217 1,312,334 | |
| Current assets | | | | | |
| Stocks | | 13 | | 935 | 1,041 |
| Debtors and prepayments | | 14 | | 12,042 | 12,113 |
| Short Term Deposits | | 15 | | 16,500 | 27,000 |
| Cash at bank and in hand | | 15 | | 27,466 | 17,454 |
| Total current assets | | | | 56,943 | 57,608 |
| Current liabilities | | | | | |
| Creditors: amounts falling due | | 16 | | (18,819) | (19,212) |
| within one year | | | | | |
| Provisions: amounts falling due within one year | 20 | | (172) | (154) | |
| Total current liabilities | | | | (18,991) | (19,366) |
| Net current assets | | | | | |
| | | | | 37,952 | 38,242 |
| Total assets less current liabilities | | | | 1,621,169 | 1,350,576 |
| Net assets | | | | 1,621,169 | 1,350,576 |
| Represented by: | | | | | |
| | | | | | |
| Income funds | | | | | |
| | | | | | |
| Restricted funds | | 17 | | 23,823 | 22,086 |
| Public Lending Right | | | | 9 | - |
| Unrestricted funds: | | | | | |
| Fixed Asset reserves | | 18 | | 411,637 | 390,737 |
| Revaluation Reserve | | 17 | | 1,118,366 | 873,787 |
| Donated Asset reserve | | 17 | | 28,958 | 28,088 |
| Designated Funds | | 17 | | 7,135 | 5,853 |
| General funds | | 17 | | 31,241 | 30,025 |
| Total funds | | | | 1,621,169 1,350,576 | |
The notes on pages 66 to 88 form part of these accounts The financial statements on pages 63 to 65 and accompanying notes on pages 66 to 88 were approved by the Board on 20 June 2017, and were signed on their behalf by:
Rt Hon Baroness Blackstone PC
Roly Keating Chairman
Chief Executive
and Accounting Officer
30 June 2017
30 June 2017
## The British Library Board Cash Flow Statement For The Year Ended 31 March 2017
| | | Notes | | 2016/17 | 2015/16 |
|-----------------------------------------------------|----|-----|-------|----------|-----------|
| | | | | £000 | £000 |
| Cash Flows from operating activities: | | | | | |
| | | | | | |
| Net Cash provided by (used in) operating activities | | | | | |
| | 15 | | 7,911 | 4,508 | |
| Cash flows from investing activities: | | | | | |
| | | | | | |
| Dividends, interest and rents from Investments | 4 | | 649 | 1,003 | |
| Purchase of property, plant and machinery | | 8,9 | | (4,919) | (2,305) |
| Purchase of heritage assets | | 10 | | (1,391) | (1,933) |
| Donated assets | | 10 | | (870) | - |
| Disposal of Investments at cost | | 11 | | 22,058 | 1,470 |
| Purchase of investments | | 12 | | (23,926) | (972) |
| Net Cash provided by (used in) investing activities | | | (488) | 1,771 | |
| Change in cash and cash equivalents | | | | (488) | 1,771 |
| Cash and cash equivalent brought forward | | | | 44,454 | 42,683 |
| Cash and Cash equivalents carried forward | | | | 43,966 | 44,454 |
| Analysis of Cash and Cash Equivalents | | | | | |
| Cash in Hand | | | | 27,466 | 17,454 |
| Notice Deposits | | | | 16,500 | 27,000 |
| Total Cash and cash equivalents | | | | 43,966 | 44,454 |
## 1. Accounting Policies
b) Incoming resources
Grant in Aid received from DCMS is allocated to unrestricted funds in the year in which it is received.
under the Income and Corporation Taxes Act 1988 for profits from primary purpose trading activities as an exempt charity. Income from profits on non-primary purpose activity is subject to Corporation Tax at the prevailing rate.
a) Accounting convention The Accounts have been prepared in accordance with the accounts direction given by the Secretary of State for Culture, Media and Sport with the approval of HM Treasury, in accordance with Section 5(3) of the British Library Act 1972. A copy of the accounts direction can be obtained from the British Library, 96 Euston Road, London NW1 2DB.
The British Library is able to recover VAT relating to the expenditure for primary purpose activities; any irrecoverable VAT is apportioned across the strategic priority cost categories detailed in note 6.
Provision of Services income is recorded on an accruals basis and is shown net of Value Added Tax and has been classified under headings that aggregate all costs related to the category. Provision of Services income is allocated against the functions set out in the British Library Act 1972.
Donations are included in the Statement of Financial Activities on a cash received basis, or where all entitlement criteria of probability and measurability as per the Statement of Recommended Practice (FRS 102 SORP) have been met by the Balance Sheet date.
d) Valuations In accordance with FRS15, regular professional valuations of land and property and structural plant and machinery assets are carried out, having regard to the importance of the estate to the operation of the department but, in any event, at least once in every five years.
UK Grants from government bodies, funds from the EU, and other grants are recognised in the Library's Accounts when the grantor's terms and conditions have been satisfied.
Accordingly, the Accounts have been prepared under the historical cost convention as modified by the revaluation of land and buildings and in accordance with the Statement of Recommended Practice 'Accounting and Reporting by Charities,' issued January 2015, (the 'SORP'), the Charities Act 1993, the Charities (Accounting and Reports) Regulations 2016, the Financial Reporting Manual, FRS 102 and generally accepted accounting practice so far as considered appropriate or as modified by HM Treasury guidance.
In the interim years, land, property, and plant and machinery are revalued using either relevant price indices or interim desk top valuations. Other categories (office equipment, IT equipment and vehicles) are not revalued due to the short life and low value items included.
Investment income relates to interest received on daily bank balances and dividends from the Fixed Asset Investments. These are recorded on an accruals basis.
Within the Statement of Financial Activities (SOFA), the Library reflects its costs against its charitable activities as required by the FRS 102 SORP.
e) Fixed assets The threshold for capitalising assets is £20,000.
The Library charges for some of the exhibitions it holds and this income is recorded in the Provision of Services on a cash received basis.
In addition, modified historic cost accounting has been utilised more fairly to represent the current cost of the Library's most significant assets, where the comparison with historic values shows a material difference.
Where income is received in advance, and the Library does not have entitlement to these resources until the goods or services have been provided, the income is deferred in the accounts.
The Board has considered the implications of recent reductions in the government grant, and believes that there are no material uncertainties about the Library's ability to continue and the accounts have therefore been prepared on the going concern basis.
The Library holds and conserves a number of collections made up of books, journals, newspapers, magazines, sound and music recordings, patents, databases, maps, manuscripts and much more. In accordance with the Financial Reporting Manual, FRS15 and FRS30 (Heritage Assets), assets acquired before 1 April 2001 have not been capitalised, since reliable estimates of cost or value are not available on a cost benefit basis. Additions to the collection acquired since 1 April 2001 are capitalised and recognised in the Balance Sheet c) Taxation The British Library Act 1972 states that 'the Board shall be a body corporate and that, for the purposes of the Charities Act 1960, the Board shall be an exempt charity'. The British Library enjoys exemption each asset, less estimated residual value, evenly over its expected useful life, as follows:
Freehold buildings
i) Operating leases
Costs relating to operating leases are charged to the SOFA over the life of the lease. The Library currently has no finance leases.
Over the remaining useful life as at the valuation date, up to a maximum of 75 years.
under Heritage Assets. The assets are classified by whether the items were bought by, or donated to, the Library. The cost or value of the acquisition is used where such a cost or valuation is reasonably obtainable. Such items are not depreciated or re-valued. Collection items with values below the capitalisation threshold are expensed when the expenditure is incurred.
Plant and Machinery and Office Equipment
3 to 25 years Computer Equipment
3 to 5 years Motor Vehicles
4 years Assets in the course of construction
No depreciation is charged until the building is operational and supporting the activities of the Library Items donated to the collection by third parties, either by gift of the asset or 'in lieu of tax', are capitalised at current value on receipt. Donated assets are not depreciated since, given their infinite useful life and high residual value, any depreciation charge would be immaterial. As the assets are not depreciated they are subject to an annual impairment review.
j) Fund accounting
The Library has the following category of funds: i.
General funds are available for use at the discretion of the Board in furtherance of the general objectives of the Library.
ii.
Designated funds comprise funds which have been set aside at the discretion of the Board for specific purposes. Board approval is required for any allocation to / from designated funds.
iii.
Restricted funds are resources subject to specific restrictions imposed by donors or by the purpose of the appeal.
## Intangible / Licences 3 Years Or Over The Life Of The Licence
An overview of the scope of the British Library Collections is set out at Note 10 on page 76.
f) Government grant Grant in Aid from the Department for Culture, Media and Sport is allocated to general purposes and is taken to the SOFA and recognised in the period in which it is received.
Depreciation is provided on all tangible fixed assets other than freehold land and collection items. Amortisation is provided on all intangible assets.
Transfer between funds will occur when Library or Restricted funds services are utilised by an opposite category of fund. Transfers may also occur during the purchase of tangible and heritage assets if a restricted fund is to contribute to the purchase. These transfers are reflected in the transfer column in note 17 on pages 81 and 82.
g) Stocks Stocks are stated at the lower of cost or net realisable value. Provision is made against slow-moving and obsolete stock. Any stocks of consumables held are considered written-off at the time of purchase.
Impairment reviews are carried out at the end of each reporting period in accordance with FRS11 to ensure that the carrying values of the assets do not exceed their recoverable amount.
k) Financial Instruments The Library has applied FRS25
Financial Instruments: Presentation, FRS26 Financial Instruments: Recognition and Measurement and FRS29 Financial Instruments: Disclosure.
Stocks held in respect of bookbinding activities are recorded at cost. As this stock is not of a general nature it would not be costeffective to test the realisable value in determining which provides the lower valuation.
Expenditure on building Digital Infrastructure is capitalised on an annual basis. Any directly attributable costs for the digital programmes are capitalised and depreciated in line with other computer equipment.
h) Foreign currencies Assets and liabilities denominated in foreign currencies are translated at the rate of exchange ruling at the year end. Transactions in foreign currencies are translated at the rate ruling at the time of the transaction. All exchange differences are taken to the SOFA.
Any costs associated with the development of internal systems including web redevelopment are capitalised as IT software or intangible and amortised over the estimated useful life up to three years. This is due to the systems providing long-term benefit to the Library. Depreciation rates are calculated to write off the cost or valuation of Financial Assets Investments comprise restricted funds that have been invested in unit trusts traded on an active market. These have been classified as available for sale and recognised at fair value, being the bid price on the Balance Sheet date. Income generated is recognised as restricted Investment Income on the SOFA, allocated to the restricted fund which holds the investment and reinvested into the capital investment. Unrestricted Investment Income is interest received on unrestricted cash balances. Unrecognised gains and losses arising from changes in the fair value are recognised in the SOFA and taken to a Fair Value Reserve. Recognised gains and losses on disposal of investments are recognised in the SOFA. Trade debtors are recognised at carrying value, reduced by appropriate allowances for estimated irrecoverable amounts.
index provided by the Office for National Statistics.
-
To establish that the correct costs are included in the correct period, it is assumed that, as over 96% of the Library's serial subscriptions operate on a calendar year renewal, the same allocation is applied to all serial expenditure.
-
The financial statements include an accrual for outstanding holiday pay due to employees as at 31 March. The accrual is calculated by pro-rating remaining leave over the holiday calendar period and 31 March.
Financial Liabilities Trade creditors are short-term and are stated at carrying value in recognition that these liabilities fall due within one year. Customer deposits are stated at cost and are repayable on demand. Provision for employees known to be leaving the organisation within one year under early retirement or early severance terms are accounted for under financial liabilities.
o) Contingent Liabilities Contingent liabilities are disclosed in line with FRS 102 SORP. Contingent liabilities are recognised when there is either: a possible but uncertain obligation, or a present obligation that is not recognised because a transfer of economic benefit to settle the possible obligation is not probable; or the amount of the obligation cannot be estimated reliably.
with the Government priority of active engagement in countries with a resonance with the Library's collections and audiences.
v.
Navigation - Costs associated
with being a national centre for reference, study and bibliographical services, including cataloguing, curatorial and bibliographic services costs.
vi.
Public Engagement - Exhibition
costs and costs of Learning programmes, running the British Library Shop and Visitor Services.
vii.
Web - Costs associated with
the operation, content and development of www.bl.uk to increase the Library's impact beyond its physical locations.
viii.
Public Lending Right to Authors - Annual payment to
authors under Public Lending Right.
c)
Governance costs includes the costs of Board Membership remuneration, legal fees, internal and external audit fees, and staff costs associated with the preparation of the statutory accounts.
p) Early Departures All redundancy and other departure costs have been paid in accordance with the provisions of the Civil Service Compensation Scheme and are accounted for in full in the year of departure.
m) Provisions The Library provides for legal or constructive obligations which are of uncertain timing or amount on the balance sheet date on the basis of best estimate of the expenditure required to settle the obligation. Provisions are recognised where there is a present obligation as a result of a past event, it is probable that a transfer of economic benefits will be required to settle the obligation and a reliable estimate
of the amount can be made.
l) Resources Expended
All expenditure is accounted for on an accruals basis and has been classified under headings that aggregate all costs related to the category, including an apportionment of overhead and support costs as shown in note 6 on page 70. a)
Costs of generating funds are those incurred in seeking voluntary contributions and do not include the costs of disseminating information in support of the charitable activities.
b)
Charitable activities are based on the functions of the Library set out in the British Library Act 1972
i.
Access - Costs associated with
making the British Library services available including Document Supply and Reading Rooms.
ii.
Content/Acquisitions - Costs
associated with maintaining a comprehensive collection of books, manuscripts, periodicals, films and other recorded matter. Includes legal deposit processing, acquisitions, collection development and storage.
iii.
Developments - Major projects
/ development expenditure including the Newspaper Programme, UK Research Reserve and Digital Initiatives.
iv.
International - Costs associated
n) Estimation Techniques
In preparation of the accounts a number of estimation techniques are used: -
Index-linked revaluations are used in the interim years between professional revaluations. The Library's land and building are re-valued using an appropriate index provided by the Royal Institute of Chartered Surveyors. Plant and Machinery assets are re-valued using an appropriate
q) Pensions Past and present employees are covered by the provisions of the Principal Civil Service Pension Scheme (PCSPS) and Civil Servants and Others Pension Scheme (alpha). The defined benefit schemes are unfunded and are contributory public service occupational pension schemes made under the Superannuation Act 1972. We recognise the expected cost of these elements, on a systematic and rational basis, over the period during which it benefits from employees' services by payment to the PCSPS/ alpha of amounts calculated on an accruing basis. Liability for payment of future benefits is a charge on the PCSPS/alpha. In respect of the defined contribution schemes, we recognise the contributions payable for the year.
## 2. Voluntary Income
| | | 2016/17 | 2016/17 | 2016/17 | 2015/16 |
|-------------------------------|--------------|------------|-------|-------|-----------|
| | | £000 | £000 | £000 | £000 |
| | Unrestricted | Restricted | Total | | |
| Donated Assets | | 870 | - | 870 | - |
| Other Donations and UK Grants | | 761 | 6,642 | 7,403 | 7,817 |
| EU Grants | | - | 1,399 | 1,399 | 2,102 |
| Total Voluntary Income | | 1,631 | 8,041 | 9,672 | 9,919 |
The £1.4m received in EU grants relates to five grants. The Library is the lead partner for two of these projects, therefore the Library receives the gross grant from the EU funding body for these projects and then distributes payment to other EU partners. In year the library made payments totalling £1.2m to the other EU partners.
## 3. Income From Charitable Activities
Income from Charitable Activities includes Document Supply and other information services, sponsorship income, licensing and royalties, publication sales, exhibition entrance fees, retail income and income for performing Public Lending Right facilities for the Irish Government. The Income from Charitable Activities can be further analysed by both business and geographical segments.
## A) Classes Of Business
| | | 2016/17 | 2015/16 |
|------------------------|---|--------|-----------|
| | | £000 | £000 |
| Access | | 5,013 | 5,116 |
| Content / Acquisitions | | 82 | 88 |
| Developments | | 1,217 | 523 |
| International | | - | - |
| Navigation | | 1,156 | 1,440 |
| Public Engagement | | 5,057 | 5,484 |
| Web | | - | 10 |
| Other (Support) | | 1,255 | 1,138 |
| | | 13,780 | 13,799 |
| Geographical Segments: | | | |
| United Kingdom | | 10,907 | 11,224 |
| Overseas | | 2,873 | 2,575 |
| | | 13,780 | 13,799 |
## 4. Investment Income
| | | 2016/17 | 2015/16 |
|-------------------------|---|------|-----------|
| | | £000 | £000 |
| Interest receivable | | 237 | 380 |
| Dividends receivable | | 412 | 623 |
| Total investment income | | 649 | 1,003 |
## 5. Other Incoming Resources
GRANT IN AID
Total Grant in Aid drawdown by the British Library Board was £93.9m, with £3.3m allocated for capital projects/improvements (£93m received in 2015/16, £3.2m for capital). The Library's Grant in Aid total also included £6m for distribution to authors by Public Lending Right. Grant in Aid funding is available for running costs, capital improvements and collection purchases.
## 6. Net Cost Of Resources Expended
Staff
Other
Depreci-
Allocated
Total
Income
Allocated
2016/17
2015/16
Costs
Direct
ation
Support
Cost
Support
Net Cost3
Total Net
Costs
Costs
Income
Cost
£000
£000
£000
£000
£000
£000
£000
£000
£000
Direct costs
Costs of Generating Funds
536
237
–
–
773
–
–
773
582
Investment Management Fees
–
14
–
–
14
–
–
14
26
Access
14,710
1,512
387
17,451
34,060
(5,546)
63
28,577
26,789
Content / Acquisitions
8,065
13,634
36
21,875
43,610
(2,824)
79
40,865
40,653
Developments
3,164
2,621
825
6,772
13,382
(4,756)
24
8,650
13,694
International
1,663
158
–
–
1,821
(2,452)
–
(631)
(665)
Navigation
9,588
1,714
–
10,810
22,112
(2,919)
39
19,232
16,200
Public Engagement
2,808
4,492
16
7,606
14,922
(5,788)
27
9,161
7,092
Web
421
322
21
778
1,542
(51)
3
1,494
1,985
Public Lending Right to Authors
–
6,080
–
–
6,080
–
–
6,080
6,400
40,955
30,784
1,285
65,292
138,316
(24,336)
235
114,215
112,756
Support Costs
Information Systems and Corporate Services
17,788
18,623
27,640
(64,051)
–
235
(235)
–
–
Governance Costs
211
1,030
–
(1,241)
–
–
–
–
-
58,954
50,437
28,925
–
138,316
(24,101)
–
114,215
112,756
3
Net cost is calculated by deducting provision of services, donated and investment income from total expenditure
In accordance with the *FRS 102 SORP*, the non-Grant in Aid income and total costs of the organisation have been categorised by the Library's activities as set out in the British Library Act 1972. When costs cannot be directly attributed to one of the Library's objectives, they have been allocated to activities on a basis consistent with the use of resources. The support costs have been allocated using the overhead allocation model in place within the Library. The model allocates the costs based on usage and percentage expenditure incurred in directly undertaking an activity.
## A) Staff Costs
| | | | | 2016/17 | 2015/16 |
|--------------------------------------------------|---|---------------|--------|--------|-----------|
| | | Library Staff | Agency | Total | |
| | | £000 | £000 | £000 | £000 |
| Wages and salaries | | 42,984 | 2,092 | 45,076 | 43,777 |
| Social security costs | | 4,224 | - | 4,224 | 3,180 |
| Employer Contributions | | 8,431 | - | 8,431 | 8,181 |
| Voluntary redundancy/restructuring programme for | | | | | |
| former employees - In-year exit costs | | 886 | - | 886 | 1,212 |
| | | 56,525 | 2,092 | 58,617 | 56,350 |
| Board Members' remuneration - see (i) on | | page 72 | | | 337 |
| | | 56,862 | 2,092 | 58,954 | 56,664 |
## Civil Service Compensation Scheme Exit Packages
| Exit package | Number of non-compulsory | Number of compulsory | Total number of exit |
|-------------------------------|-------------------|-------------------|------------------------|
| cost band | departures agreed | departures agreed | packages by cost band |
| | 2016/17 | 2015/16 | 2016/17 |
| < £10,000 | 2 | 2 | - |
| £10,001 - £25,000 | 5 | 9 | - |
| £25,001 - £50,000 | 16 | 17 | - |
| £50,001 - £100,000 | 2 | 3 | - |
| Total number of exit packages | 25 | 31 | |
| - | | | |
| | 1 | 25 | 32 |
| Total Resource cost £ | £846,643 | £1,022,422 | - |
| There were no compulsory | | | |
| departures in 2016/17 (one in | | | |
| 2015/16). | | | |
For 2016/17, employers' contributions of £8,307,173 were payable to the PCSPS (2015/16: £8,058,664) at one of four rates in the range 16.7% to 24.3% of pensionable pay, based on salary bands. The scheme's actuary reviews employer contributions every four years following a full scheme valuation. The contribution rates reflect benefits as they are accrued, not when the costs are actually incurred, and reflect past experience of the scheme.
The Principal Civil Service Pension Scheme (PCSPS) is an unfunded multi-employer defined benefit scheme in which the Library is unable to identify its share of the underlying assets and liabilities. A full actuarial valuation was carried out as at 31 March 2012. Details can be found in the resource accounts of the Cabinet Office: Civil Superannuation (www. civilservice-pensions.gov.uk).
Employees can opt to open a partnership pension account which is a stakeholder pension with an employer contribution. Employers'
contributions of £123,605 (2015/16: £121,979) were paid to one or more of the four appointed stakeholder pension providers. Employer contributions are agerelated and ranged from 3% to
12.5% of pensionable pay up to 30 September 2015 and 8% and 14.75% from 1 October 2015. Employers also match employee contributions up to 3 per cent of pensionable pay. In addition, employer contributions of between 0.5% and 0.8% of pensionable pay, were payable to the PCSPS to cover the cost of the future provision of lump-sum benefits on death in service and ill-health retirement of these employees.
## I) Board Members' Remuneration
| | | | 2016/17 | 2015/16 |
|-----------------------|---|---|------|-----------|
| | | | £000 | £000 |
| Fees and salaries | | | 309 | 290 |
| Social security costs | | | 28 | 24 |
| | | | 337 | 314 |
The Board Members' remuneration shown on page 51 of the Remuneration Report includes all Board members including the Chairman.
## Ii) Senior Employees
The following number of employees, (excluding the Executive Team for whom details of remuneration are contained in the Remuneration Report, members of the British Library Board and the Chairman) received remuneration falling within the following ranges:
| | | | 2016/17 | 2015/16 |
|---------------------|---|---|-----------|-----------|
| | | | No. of | No. of |
| | | | employees | employees |
| £60,001 - £70,000 | | | 9 | 12 |
| £70,001 - £80,000 | | | 11 | 12 |
| £80,001 - £90,000 | | | 6 | 6 |
| £90,001 - £100,000 | | | 1 | 1 |
| £100,001 - £110,000 | | | 1 | - |
| £110,001 - £120,000 | | | 1 | 1 |
All of the above employees are members of the PCSPS pension scheme except one who is not in any pension scheme.
## Iii) Off-Payroll Engagements
The average number of full time equivalent (FTE) staff during the year was:
Following the Review of Tax Arrangements of Public Sector Appointees published by the Chief Secretary to the Treasury on 23 May 2012 and implemented on 23 August 2012, departments and their arm's-length bodies must publish information on their highly paid and/or senior offpayroll engagements.
a. For all off-payroll engagements as of 31 March 2017, for more than £220 per day and that last for longer than six months:
Number that have existed for less than one year at time of reporting
–
Number that have existed for between one and two years at time of reporting
1
Number that have existed for between two and three years at time of reporting
–
Number that have existed for between three and four years at time of reporting
–
Number that have existed for four or more years at time of reporting
1
Total
2
The required evidence and declarations were obtained for all off-payroll engagements.
b. For all new off-payroll engagements, or those that reached six months in duration, between 1 April 2016 and 31 March 2017, for more than
£220 per day and that last for longer than six months:
Number of new engagements, or those reaching 6 months in duration, during the period
2
Number of the above which include contractual clauses giving the department the right torequest assurance in relation to income tax and National Insurance obligations
2
Number for which assurance has been requested
2
Of which:
Number for whom assurance has been received
2
Number for whom assurance has not been received
–
Number that have been terminated as a result of assurance not being received
–
c. For any off-payroll engagements of board members and/or senior officials with significant financial responsibility between 1 April 2016 and 31 March 2017:
Number of off-payroll engagements of board members and/or senior officials with significant financial responsibility during the financial year
–
Number of individuals that have been deemed board members and/or senior officials with significant financial responsibility during the financial year
2
2016/17
2015/16
Staff directly
Total
employed by the
Total
(FTE)
British Library
Agency
(FTE)
Restated
Chief Executive's Office
19
–
19
18
Chief Librarian's Office
682
10
692
578
Chief Operating Officer's Office
815
35
850
811
1,516
45
1,561
1,407
## B) Other Direct Costs
| | | | 2016/17 | 2015/16 |
|--------------------------------------------------|---|--------|--------|-----------|
| | | | £000 | £000 |
| Acquisitions for the collections | | | 11,514 | 11,449 |
| Research & Grants | | | 822 | 1,044 |
| Conservation and binding services | | | 847 | 146 |
| Administration, equipment, supplies and services | | 30,990 | 31,556 | |
| Non-recoverable VAT | | | 56 | 194 |
| Loss on disposal of fixed assets | | | 128 | 95 |
| Author Payments | | | 6,080 | 6,400 |
| | | | 50,437 | 50,884 |
| | | | | |
| The above table is exclusive of staff costs. | | | | |
## 7. Resources Expended
This is stated after charging:
2016/17
2015/16
£000
£000
External Auditors' remuneration
68
69
Rent on land and buildings
126
339
Lease/rental payments on equipment
247
289
Depreciation on fixed assets
28,925
29,929
Bad debt provision movement
30
34
Stock Provision movement
32
18
The auditors' remuneration is for the audit of the Annual Report and Accounts: there was no non-audit work performed during 2016/17, (nil in 2015/16). During the year the Library took advice on taxation matters totalling £32k.
## 8. Intangible Assets
| | | | | Development |
|----|---|---|---|---------|
| | | | | 2016/17 |
| | | | | £000 |
## Cost
| At 1 April 2016 | | | | 2,883 |
|---------------------------------|---|---|---|---------|
| Additions | | | | (5) |
| Disposals | | | | - |
| At 31 March 2017 | | | | 2,878 |
| Amortisation | | | | |
| At 1 April 2016 | | | | 2,793 |
| Charge for year | | | | 30 |
| Disposals | | | | - |
| At 31 March 2017 | | | | 2,823 |
| Net Book Value at 31 March 2017 | | | | 55 |
| Net Book Value at 31 March 2016 | | | | 90 |
Intangible assets comprise development work and technical architecture costs for the British Library website. All intangible assets have been valued on the basis of purchase price. The assets are all depreciated over a period of three years, consistent with the IT equipment policy.
## 9. Tangible Fixed Assets A) Movements
| | Land and | Plant and | Office | Motor | Computer | AICC | Total |
|----------------------|-----------|-----------|-----------|----------|-----------|-------|----------|
| | Buildings | Machinery | Equipment | Vehicles | Equipment | | |
| | £000 | £000 | £000 | £000 | £000 | £000 | £000 |
| Cost or Valuation | | | | | | | |
| | | | | | | | |
| At 1 April 2016 | 948,185 | 346,200 | 10,043 | 38 | 21,875 | 23 1,326,364 | |
| Additions | - | 1,631 | - | - | 1,064 | 2,229 | 4,924 |
| Transfers | - | - | - | - | - | - | - |
| Revaluation | 187,479 | 58,546 | - | - | - | - | 246,025 |
| Disposals | - | (411) | (245) | - | (675) | - | (1,331) |
| At 31 March 2017 | 1,135,664 | 405,966 | 9,798 | 38 | 22,264 | 2,252 1,575,982 | |
| Depreciation | | | | | | | |
| At 1 April 2016 | 10,593 | 60,350 | 9,679 | 25 | 19,043 | - | 99,690 |
| Charge for year | 9,436 | 16,905 | 135 | 4 | 2,415 | - | 28,895 |
| Revaluation | (16,096) | (26,101) | - | - | - | - | (42,197) |
| Disposals | - | (320) | (208) | - | (675) | - | (1,203) |
| At 31 March 2017 | 3,933 | 50,834 | 9,606 | 29 | 20,783 | - | 85,185 |
| NBV At 31 March 2017 | 1,131,731 | 355,132 | 192 | 9 | 1,481 | 2,252 1,490,797 | |
| NBV At 31 March 2016 | 937,592 | 285,850 | 364 | 13 | 2,832 | 23 1,226,674 | |
Assets in the Course of Construction (AICC) represent work on the development of internal computer systems. The Modified Historic Cost Accounting indices for the land and building adjustments are provided by the Department for Culture, Media and Sport. For the Building Structural Fit Out adjustment, the indices are taken from the *Producer Prices Index (MM22) March 2015* available from the Office for National Statistics for Plant and Machinery. Valuations are provided by Deloitte Real Estate.
## B) Valuations
On 31 March 2017 a desktop valuation of the Library's freehold properties at St Pancras was carried out by an external valuer, Deloitte Real Estate, a regulated firm of Chartered Surveyors. The valuation was prepared in accordance with HM Government *Financial Reporting Manual* ('FReM') Guidance, International Valuation Standards ('IVS') and the requirements of the RICS Valuation - Professional Standards January 2014 (revised April 2015) (Global and UK Edition). The St Pancras properties are treated as specialised properties and were valued on a Depreciated Replacement Cost (DRC) basis. The land and main building was valued at £1,361m and the Centre for Conservation at £28.2m. These valuations include some plant and machinery that is included in Fixtures & Fittings and Equipment. The Boston Spa site was revalued at £59m as at 31 March 2014 by Deloitte Real Estate, using the 'Depreciated Replacement Cost' basis of valuation. The values for Boston Spa buildings have been subsequently impacted by indexation, capitalised additions and improvements and depreciation. The next revaluation of Boston Spa is due 31 March 2019. All land and buildings are freehold. The historic cost of the land and buildings is £465m.
## 10. Heritage Assets
Catalogues
The Library has a duty to catalogue items in the collection and for this there is a planned programme of work. All catalogues are listed on the website and can be accessed by members of the public.
As the Library exists to preserve and make available the intellectual heritage of the UK together with purchased and donated material, it does not normally dispose of material in its collections and never disposes of items from the collection accepted under legal deposit. Disposal is governed by the British Library Act and by the policy of the British Library Board.
The British Library The British Library is the national library of the United Kingdom and one of the world's greatest research libraries. It is one of the six legal deposit libraries of the United Kingdom and it receives copies of all publications produced in the United Kingdom and the Republic of Ireland. The Library's collection is one of the largest in the world, holding over 150 million items in all known languages and formats, including books, journals, newspapers, magazines, sound and music recordings, patents, databases, maps, manuscripts, stamps, prints, drawings and much more. It is unique in its breadth, depth and scope. Many items are priceless and irreplaceable.
Preservation and Management of the Library's Assets The Preservation Department's role is to safeguard the collections from harm while enabling continued and appropriate access to them. All activities are underpinned by the Library's core preservation principle of risk management and mitigation. The general public can learn more about this by visiting the Preservation web pages. This is available in hard copy and on our web pages at www.bl.uk/ aboutus/stratpolprog/collectioncare/ discovermore Heritage Assets in the British Library In accordance with the FREM, additions to the collection acquired / donated since 1 April 2001 are capitalised and recognised in the Balance Sheet under Heritage Assets. Heritage Assets are held by the Library for preservation and conservation purposes and do not attract any depreciation as they are deemed to have an infinite life. Due to the size and unique nature of the collection it is not possible to value Heritage Assets acquired prior to 1 April 2001. The cost of doing so would be prohibitive.
Valuation of Heritage Assets Heritage assets are valued as part of the acquisition process as they are added to the collections. We do not have a systematic retrospective programme of valuing heritage items which have been in our collections for many years, although such valuations are carried out for individual items in specific circumstances e.g. items on loan to us. The cost of such a programme of valuation would be prohibitive, both in terms of direct cost and time to complete. For items where copies exist in other institutions or collections, it can take many days to identify if there are relevant market valuations from records of auction prices or sales catalogues. For rare or unique materials no such market valuation exists so individual expert valuation is required. Commercial rates for such expert valuation can be of the order of £750 per day. Rare heritage items can take many days (if not weeks, in the case of manuscript collections) of expert work to arrive at a valuation, so a systematic retrospective programme of such work would be prohibitively expensive.
All items within the British Library collection contribute to the development of knowledge and culture. The collection is carefully developed and managed through a series of policies governing all aspects of acquisitions, preservation and access. A summary of the main policies can be found at www.bl.uk/ aboutus/stratpolprog/coldevpol/.
Acquisitions
Within the Library's acquisition policies, there is a distinction made between unique heritage
items and contemporary, researchlevel academic publications. In our Heritage Acquisitions Policy, heritage items are defined as items acquired to be used preponderantly as primary sources for research, forming part of the Library's collection of unique materials Under this definition, all heritage items are major acquisitions, whether purchased or donated. All such major acquisitions require significant due diligence and many have cultural property issues. We have clear policies to govern such acquisitions, including an ethical acquisitions policy which can be found at www.bl.uk/aboutus/ stratpolprog/coldevpol/ethical.pdf.
## Heritage Assets Purchased
2016/17
2015/16
2014/15
2013/14
2012/13
Cost
No. of
Cost
No. of
Cost
No. of
Cost
No. of
Cost
No. of
£000
Items
£000
Items
£000
Items
£000
Items
£'000
Items
At 1 April
37,760
305
35,827
290
33,710
274
30,117
257
28,338
230
Additions
1,391
9
1,933
15
2,117
16
2,732
17
1,779
27
Transfers
–
–
–
–
–
–
861
–
–
–
Disposals
–
–
–
–
–
–
–
–
–
–
At 31 March
39,151
314
37,760
305
35,827
290
33,710
274
30,117
257
## Heritage Assets Donated
2016/17
2015/16
2014/15
2013/14
2012/13
Valuation
No. of
Valuation
No. of
Valuation
No. of
Valuation
No. of Valuation
No. of
£000
Items
£000
Items
£000
Items
£000
Items
£000
Items
At 1 April
28,088
39
28,088
39
27,906
36
24,603
32
24,503
31
Additions
870
3
–
–
182
3
3,303
4
100
1
Impairment
–
–
–
–
–
–
–
–
–
–
At 31 March
28,958
42
28,088
39
28,088
39
27,906
36
24,603
32
Total at 31 March 68,109
356
65,848
344
63,915
329
61,616
310
54,720
289
## 11. Investments
| | | | 2016/17 | 2015/16 |
|---------------------------------------------|---|---|----------|-----------|
| | | | £000 | £000 |
| Market Value at 1 April | | | 19,722 | 21,317 |
| Acquisitions funded by dividends reinvested | | | 412 | 598 |
| Purchases at Cost | | | 23,514 | 374 |
| Disposals at Cost | | | (22,058) | (1,470) |
| Unrealised Gain / (Loss) | | | 741 | (1,183) |
| Realised Gain on Disposal | | | 1,925 | 86 |
| Market Value at 31 March | | | 24,256 | 19,722 |
| Analysed by: | | | £000 | £000 |
| Listed Securities | | | 24,256 | - |
| Fixed Income | | | - | 4,397 |
| Equities | | | - | 15,065 |
| Cash Trusts | | | - | 260 |
| | | | 24,256 | 19,722 |
| Geographical Analysis | | | | |
| United Kingdom Investments | | | 24,256 | 17,589 |
| Overseas Investments | | | - | 2,133 |
| | | | 24,256 | 19,722 |
Investments are only held for the purpose of the Library's restricted and designated funds, with their aim to achieve an appropriate balance between income generation and capital growth particular to the fund.
## 12. Financial Instruments
loss in 2015/16). As part of the Library's treasury management strategy, the risk of fluctuations is managed through a variety of policies, including holding bank accounts in foreign currencies, to enable us to match our foreign currency transactions as a means of mitigating our currency risk.
Liquidity Risk As around 79% of the cash requirements of the Library are met through Grant in Aid from the Department for Culture, Media and Sport, financial instruments play a more limited role in creating risk than would apply to a non-public sector body of a similar size. The remaining income is self-generated and is volatile. Remote Document Supply is still the major source of self-generated income. The Library has sufficient unrestricted funds to cover its current liabilities.
Interest Rate Risk Risks relating to interest rates are managed by budgeting conservatively for investment income. The table below shows the interest rate profile of the Library's financial assets. The benchmark for the Library's floating rate investments is 0.1%, 15 basis points below the Bank of England base rate.
FRS29 'Financial Instruments: Disclosures' requires entities to provide disclosures which allow users of the accounts to evaluate the significance of financial instruments for the entity's financial position and performance and the nature and extent of risks arising from financial instruments during the period. The majority of financial instruments relate to contracts to buy non-financial items in line with the Library's expected purchase and usage requirements and the Library is therefore exposed to little credit or liquidity risk. The Library holds a portfolio of quoted investments and therefore is subject to some market risk. All 'Financial Instruments' are recorded at fair value as per the requirement of FRS 102.
Market Risk The Library holds some restricted fund balances in unit trust investments, as shown in note 11 on page 77, and so is subject to some market risk. An unrealised gain of £741k has been recorded this year compared to a £1.2m loss in 2015/16. Additional information on the Library's investment policy is given in the Trustees' Annual Report.
Investment Income Profile The table below shows the interest rate profile of the Library's financial assets. As the Library has no finance leases or loans, financial liabilities have been omitted from this table. The benchmark for the Library's floating rate investments is 15 basis points below the Bank of England base rate at 0.1%.
Credit Risk The Library is exposed to credit risk of £1.7m of trade debtors. However this risk is not considered significant as major customers are familiar to the Library. The Library has recovered 99% of trade debtors over the last two years. Bad and doubtful debts are provided for on an individual basis. Write-offs in the year for bad debts amounted to a recovery of £26k (£4k recovery in 2015-16).
Foreign Currency Risk The Library has an international customer and supplier base and so is subject to a degree of foreign currency risk. In 2016/17, net foreign currency exchange gains of £40k were recognised (£43k
| | | | | | |
|----------|------------|--------|------------|---------|---------|
| | Floating/ | Cash | Listed | 2016/17 | 2015/16 |
| | Fixed Rate | Trusts | Securities | Total | Total |
| | £000 | £000 | £000 | £000 | £000 |
| Sterling | 43,252 | - | 24,256 | 67,508 | 63,828 |
| Dollar | 461 | - | - | 461 | 69 |
| Euro | 127 | - | - | 127 | 204 |
| Yen | 126 | - | - | 126 | 75 |
| Total | 43,966 | | | | |
| - | | | | | |
| | 24,256 | 68,222 | 64,176 | | |
## 13. Stocks
| | | 2016/17 | 2015/16 |
|-------------------|---|------|-----------|
| | | £000 | £000 |
| Stocks for resale | | 776 | 874 |
| Raw materials | | 159 | 167 |
| Total stocks | | 935 | 1,041 |
Stocks for resale comprise printed, microfiche, CD-ROM publications and exhibition-related merchandise, and are available from the British Library Shop and Library website. Raw materials stocks are items for the conservation of books including leathers, hides and papers.
## 14. Debtors And Prepayments
| | | 2016/17 | 2015/16 |
|-------------------------------------|---|--------|-----------|
| | | £000 | £000 |
| Amounts falling due within one year | | | |
| Trade debtors | | 1,714 | 1,389 |
| Other debtors | | 332 | 301 |
| VAT | | 2,431 | 2,232 |
| Prepayments and accrued income | | 7,565 | 8,191 |
| | | 12,042 | 12,113 |
## 15. Cash At Bank, In Hand And Short-Term Investments
| | | 2016/17 | 2015/16 |
|--------------------------------------|---|--------|-----------|
| | | £000 | £000 |
| Restricted funds | | 12,065 | 9,801 |
| Monies held on deposit for customers | | 3,483 | 3,422 |
| Cash balances | | 11 | 11 |
| Cash and Cash Equivalents | | 11,907 | 4,220 |
| Fixed Term Deposits | | 16,500 | 27,000 |
| | | 43,966 | 44,454 |
Customer deposit account balances represent payments from customers in advance of supply of goods/services. The Library holds a number of Fixed Term Deposits with varying maturity dates and interest rates.
## A) Analysis Of Change In Net Funds
| | As at | Cash | As at | Cash | As at 31 |
|-----------------------------|--------------|-------|--------|----------|------------|
| | 1 April 2015 | Flows 1 April 2016 | Flows | Mar 2017 | |
| | £000 | £000 | £000 | £000 | £000 |
| Government Banking Services | | | | | |
| (GBS) cash at bank | 6 | - | 6 | (1) | 5 |
| Commercial cash at bank | 42,654 | 1,783 | 44,437 | (487) | 43,950 |
| Cash in hand | 23 | (12) | 11 | - | 11 |
| Total | 42,683 | 1,771 | 44,454 | (488) | 43,966 |
b)
Statement of Cash Flow notes - Reconciliation of net income/(expenditure) to net cash flow from operating activities
| | | 2016/17 | 2015/16 |
|-----------------------------------------------------|-------|-----------|-----------|
| | | £000 | £000 |
| Net income / (expenditure) for the | | | |
| reporting period as per the SOFA | | 270,593 | (2,671) |
| Depreciation Charges | | 28,925 | 29,929 |
| (Gains) / Losses on investments | | (2,666) | 1,097 |
| Dividends, interest & rents from investments | | (649) | (1,003) |
| Loss / (profit) on the sale of Fixed Assets | | 128 | 287 |
| Revaluation of Fixed Assets | | (288,222) | (18,139) |
| Decrease / (increase) in stocks | | 106 | (8) |
| Decrease / (increase) in debtors | | 71 | (2,112) |
| Increase / (decrease) in creditors | | (375) | (2,845) |
| Increase / (decrease) in provisions | | - | (27) |
| Net Cash provided by (used in) operating activities | 7,911 | 4,508 | |
## 16. Creditors
| | | 2016/17 | 2015/16 |
|--------------------------------------|---|--------|-----------|
| | | £000 | £000 |
| Amounts falling due within one year | | | |
| Trade creditors | | 2,187 | 4,274 |
| Monies held on deposit for customers | | 3,483 | 3,422 |
| Other creditors | | 730 | 882 |
| Taxation and social security | | 2,035 | 1,836 |
| Accruals | | 6,316 | 5,857 |
| Deferred income | | 4,068 | 2,941 |
| | | 18,819 | 19,212 |
## B) Deferred Income
| | | |
|-------------------------------------------------|---|-------|
| £000 | | |
| At 1 April 2016 | | |
| | | |
| Release from previous year | | |
| Incoming resources deferred in the current year | | 4,068 |
| At 31 March 2016 | | |
Deferred income relates to grants received and voluntary income recognised against project milestones and progress, and membership and subscription fees which are recognised over the period of the contract.
## 17. Statement Of Funds
| | | As at | Transfers | Expenditure | Incoming | Unrealised | As at |
|----------------------------------------|--------------|-------------|-------|-----------|-----------|----------|-----------|
| | 1 April 2016 | To / (From) | | Resources | Gains and | 31 March | |
| | | | | | | (Losses) | 2017 |
| | | £000 | £000 | £000 | £000 | £000 | £000 |
| Unrestricted funds | | | | | | | |
| | | | | | | | |
| General Funds | | 30,025 | 1,412 | (86,905) | 86,709 | - | 31,241 |
| Designated Funds (Fixed Assets) | | 390,737 | - | (29) | 20,900 | - | 411,608 |
| Designated Funds (Revaluation Reserve) | | 873,787 | - | (43,643) | - | 288,222 | 1,118,366 |
| Public Lending Right Reserve | | - | - | - | 9 | - | 9 |
| Designated Funds | | | | | | | |
| Shaw Fund | | 4,785 | (150) | (3) | 221 | 719 | 5,572 |
| Collection Care Restoration Fund | | 457 | - | (33) | - | - | 424 |
| Membership and General Donations | | 531 | (7) | - | 156 | - | 680 |
| Others | | 80 | (53) | (135) | 567 | - | 459 |
| Donated Asset Reserve | | 28,088 | - | - | 870 | - | 28,958 |
| Total unrestricted funds | | 1,328,490 | 1,202 | (130,748) | 109,432 | 288,941 | 1,597,317 |
## 17. Statement Of Funds (Continued) The Fair Value Reserves Included Within The Funds Stated Above Are:
| | | As at | Transfers | Expenditure | Incoming | Unrealised | As at |
|-------------------------------------------------|--------------|-------------|---------|-----------|-----------|----------|-----------|
| | 1 April 2016 | To / (From) | | Resources | Gains and | 31 March | |
| | | | | | | (Losses) | 2017 |
| | | £000 | £000 | £000 | £000 | £000 | £000 |
| | | | | | | | |
| Restricted funds | | | | | | | |
| | | | | | | | |
| David and Mary Eccles Centre for American Studies 10,598 | (1) | (376) | 199 | 1,267 | 11,687 | | |
| Dingwall No.2 | | 1,435 | - | (1) | 24 | 211 | 1,669 |
| Save our Sounds Fundraising | | 349 | - | - | 864 | - | 1,213 |
| HLF/DCMS Catalyst Endowment (Neighbour) | 1,125 | (30) | - | 116 | - | 1,211 | |
| HLF/DCMS Catalyst Endowment | | 752 | - | (1) | 217 | 95 | 1,063 |
| Ginsburg Legacy | | 694 | - | (36) | 23 | 114 | 795 |
| Polonsky Pre-1200 | | - | (18) | (79) | 720 | - | 623 |
| Two Centuries of Indian Print | | 324 | (234) | (199) | 699 | - | 590 |
| Sir Henry Thomas | | 443 | - | (6) | 7 | 64 | 508 |
| The Medd Fund | | 408 | - | - | 13 | 57 | 478 |
| Hebrew Manuscripts Digitisation Project Phase | 2 | 339 | (122) | (164) | 397 | - | 450 |
| Mellon Save Our Sounds IT Project | | - | - | (26) | 455 | - | 429 |
| British Library Digitisation Campaign | | 302 | - | - | 24 | - | 326 |
| Qatar project | | 285 | (605) | (1,841) | 2,452 | - | 291 |
| Helen Wallis | | 329 | (15) | (70) | 48 | - | 292 |
| Exhibitions Public Services | | 174 | - | (167) | 271 | - | 278 |
| Consolidated Endowment | | 241 | - | - | 6 | 3 | 250 |
| T S Blakeney | | 201 | - | - | 4 | 29 | 234 |
| Anthony Panizzi Foundation | | 190 | - | (2) | 3 | 28 | 219 |
| Skinner Legacy | | 230 | - | (14) | - | - | 216 |
| The Jacob Fund | | 211 | - | - | - | - | 211 |
| Discovering Sacred | | - | - | - | 200 | - | 200 |
| Collection and Preservation Restricted Fund | | 182 | 1 | (62) | 72 | - | 193 |
| Technical and Human Infrastructure for | | | | | | | |
| Open Research (THOR) EC-Funded Project | | 184 | - | (742) | 747 | - | 189 |
| Business & IP Centre (BIPC) - European Regional | | | | | | | |
| Development Fund (ERDF) Shared Operation | | 146 | - | (364) | 385 | - | 167 |
| The Sir John Ritblat Gallery: | | | | | | | |
| Treasures of the British Library | | 227 | - | (65) | - | - | 162 |
| UK PubMed | | 157 | - | (1) | - | - | 156 |
| Educational Projects | | 282 | (8) | (181) | 57 | - | 150 |
| Business & IP Centre Phase 2 | | 158 | 18 | (84) | 53 | - | 145 |
| Medieval Manuscripts Exhibitions | | 193 | (2) | (54) | - | - | 137 |
| Spratt-Bigot Request | | 122 | - | (8) | 3 | 16 | 133 |
| Bridgewater | | 112 | - | - | 2 | 17 | 131 |
| Legal Deposit Libraries Committee Project | | 142 | (45) | - | 32 | - | 129 |
| Family and Community | | 5 | (1) | (23) | 140 | - | 121 |
| Fitzgerald | | 104 | - | (3) | 2 | 15 | 118 |
| Boult | | 105 | - | - | 1 | 11 | 117 |
| American Trust for the British Library | | 76 | - | (2) | 39 | - | 113 |
| BL City Partners | | 130 | (2) | (56) | 35 | - | 107 |
| Others | | 3,285 | (133) | (2,935) | 2,469 | 20 | 2,706 |
| Other (deficit funds) | | | | | | | |
| 4 | | | | | | | |
| | | (2,154) | (5) | (35) | (2,190) | - | (4,384) |
| Total restricted funds | | 22,086 | (1,202) | (7,597) | 8,589 | 1,947 | 23,823 |
| Transfer to unrestricted Fixed Asset reserves | | - | - | 29 | - | - | 29 |
| Total Funds | | 1,350,576 | - | (138,316) | 118,021 | 290,888 | 1,621,169 |
4 See explanation on page 83 for deficit funds
| | As at | Unrealised | As at | Reserve/ Fund | Reserve/ Fund |
|-------------------------------|------|------------|--------|---------------|-----------------|
| | 1 April gains/losses | 31 March | net of | (including as | |
| | 2016 | under Fair | 2017 | Fair Value | Fair Value) |
| | | Value | | at 31 March | as at 31 |
| | | | | 2017 | March 2017 |
| | £000 | £000 | £000 | £000 | £000 |
| Eccles | - | 540 | 540 | 11,147 | 11,687 |
| Shaw Fund | - | 44 | 44 | 5,528 | 5,572 |
| Dingwall No 2 | - | 73 | 73 | 1,596 | 1,669 |
| HLF/DCMS Catalyst Endowment | - | 8 | 8 | 1,055 | 1,063 |
| Ginsburg Legacy | - | 7 | 7 | 788 | 795 |
| Sir Henry Thomas | - | 22 | 22 | 486 | 508 |
| The Medd Fund | - | 3 | 3 | 475 | 478 |
| Consolidated Endowment | - | 1 | 1 | 249 | 250 |
| T S.Blakeney | - | 10 | 10 | 222 | 232 |
| Anthony Panizzi Foundation | - | 10 | 10 | 209 | 219 |
| Spratt-Bigot Bequest | - | 6 | 6 | 129 | 135 |
| Bridgewater | - | 6 | 6 | 125 | 131 |
| Sir Adrian Boult | - | 4 | 4 | 113 | 117 |
| Fitzgerald | - | 5 | 5 | 113 | 118 |
| Others | - | 2 | 2 | 2,551 | 2,553 |
| Restricted Fair Value Reserve | - | 741 | 741 | 24,786 | 25,527 |
The fair value represents the difference between historic cost and market valuation at the Balance Sheet date.
reclaimed from the external funding organisations. Future income streams should more than cover the shortfall and future costs involved in the projects.
the funds with balances of over £100,000 at 31 March 2017 are listed above, with a brief description as to the aims of the fund shown below. Other restricted funds comprise individual amounts less than £100,000.
The transfers of £1.2m relate to internal charges or income applied to the restricted funds for the use of Library facilities and services.
Restricted funds are given to the Library for specific purchases for the collection or for projects that are related to the aims and objectives of the Library. Designated funds are monies which have been identified by the British Library Board for a specific purpose. All The restricted funds in deficit at the year end represent four funds for which, due to the administration restrictions of these funds, costs are expended first and subsequently Hebrew Manuscripts Digitisation Phase 2
Polonsky Foundation Grant funding for the digitisation of 1250 Hebrew Manuscripts from the British Library Collection.
HLF/DCMS Catalyst Endowment (Neighbour)
A bequest left to the Library for the purchase of musical manuscripts printed edition and documents of musical interest to supplement (not replace) the Library's normal yearly allotment of funds for that purpose.
Designated Funds Shaw Fund Established by a Charity Commission order dated 13 September 2000, with the income being available for the general purposes of the British Library Board. At a meeting in September 2003, the Board adopted the following expenditure policy for the Shaw Fund income:
Mellon Save Our Sounds IT
Project Andrew W Mellon-funded project called Enhancing Discovery and Access for Sound collections, part of the wider Save Our Sounds programme.
HLF/DCMS Catalyst Endowment
To build a long-term endowment fund from donations and Heritage Lottery Fund matched funding. This will provide a sustainable annual income stream that will be used to enhance the Library's collections, increasing access and engagement to them.
British Library Digitisation Campaign To raise funds from external sources to support the Library's Digitisation Programme.
"To be applied as an addition to other sources of funding, for the benefit of the readership of the British Library; for the acquisition of manuscripts and other materials, to support specific projects of a scholarly or research nature, and for other similar purposes as the Board may determine".
Ginsburg Legacy An endowment from the estate of Henry Ginsburg to fund the full time permanent post of 'Henry Ginsburg Curator for Thai, Lao and Cambodian Collections'.
Collection Care Restoration Fund This fund represents money recovered by the Library following action taken in respect of damage / theft to the Collection. These monies have been reserved in order to repair the damage caused to the Collection items.
Qatar Fund For the British Library and the Qatar Foundation ten-year partnership delivering online access to archives and manuscripts relating to modern Gulf History and the development and transmission of scientific knowledge in the Islamic world.
Polonsky Pre-1200
A collaborative project funded by The Polonsky Foundation with the Bibliothèque nationale de France to digitise 800 pre-1200 manuscripts and provide free online access.
Helen Wallis Donations in memory of Helen Wallis (1925–1995), the first British Library Map Librarian. Primary purpose of the fund is to finance the Wallis fellowships.
Membership and General Donations A range of externally received funds, with the funds being available for the general purpose of the British Library, as decided upon by the Executive Team.
Exhibitions Public Service The fund is used for the development of future exhibition projects.
Two Centuries of Indian Print The Fund's aims are to catalogue and digitise the Library's early printed South Asian books, dating from 1713–1914, as well as to fund innovation research into Indian book history and the digital humanities and to fund capacitybuilding workshops for partner institutions in India.
Restricted Funds The David and Mary Eccles Centre for American Studies Founded by the late Viscount and Viscountess Eccles, to further the establishment of a Centre for American Studies.
Sir Henry Thomas Founded in 1981 by Miss Amy Thomas for the purchase of books relating to the culture and literature of Spain.
Consolidated Endowment Account Founded in 1975, the fund is to be used for any purpose approved by the British Library Board where there has not been adequate provision made through government Grant in Aid.
Dingwall No. 2
Founded by Dr Eric John Dingwall, for the purchase of fine editions or the subscription of foreign periodicals.
The Medd Fund For the conservation of manuscripts in the Board's collections written by British composers working since 1950.
Save our Sounds Fundraising Income raised externally to support the Save Our Sounds programme.
T S Blakeney Founded in 1977 by Thomas Sydney Blakeney, for the purchase of western manuscripts.
The Sir John Ritblat Gallery: Treasures of the British Library A donation from Sir John H Ritblat for the Treasures Gallery.
Anthony Panizzi Foundation Founded in 1982 by an anonymous donor, for the advancement of public education by funding a lecture or series of lectures in the subject of advanced bibliography.
Legal Deposit Libraries Committee Project Cost sharing agreement with five other Legal Deposit Libraries, to fund Legal Deposit Libraries Liaison manager's post and ongoing costs.
UK PubMed Project To fund a new online resource to promote free access to research and further biomedical discovery.
Skinner Legacy A legacy from Dr Joyce Skinner to be used for conservation.
Educational Projects Funds raised from external sources to support the Library's Learning activities with schools and young people.
Family and Community A grant-funded family and community programme, which will increase the Library's engagement with new audiences, and make the Library more accessible for hard-toreach families.
Jacob Fund A legacy from William Jacob to be used solely for the conservation of British books and literary periodicals.
Discovering Sacred Donation from the Exilarch's Foundation to fund the Library's online learning resource called Discovering Sacred Texts.
Fitzgerald Air Mail Fund The trust was founded in 1953 by Mrs Fitzgerald with the aim of preserving and cataloguing the Fitzgerald Air-Mail collection of stamps.
Business & IP Centre (BIPC)
Phase 2
The fund was set up to collect donations / sponsorship for the BIPC from sources other than London Development Agency. The funds will be used to further the BIPC objectives in supporting entrepreneurs.
Collection and Preservation Restricted Fund Donations and grants to assist preservation.
Sir Adrian Boult Founded through a public appeal, for commissioning and production of recordings of musical lectures or similar functions.
Medieval Manuscripts Exhibitions To support research for the development of Medieval Manuscripts Exhibitions, currently the Anglo-Saxons exhibition in 2018/19.
American Trust for the British Library (ATBL)
Donations from ATBL to pursue Library objectives, such as acquisitions or cataloguing.
Technical and Human Infrastructure for Open Research (THOR) EC Funded Project A 30 month EC Funded project to establish seamless integration between articles, data and researches across the research lifecycle.
Spratt-Bigot Bequest For the purchase of works in French by French authors.
Business & IP Centre (BIPC) -
European Regional Development Fund (ERDF) Shared Operation The fund is to support entrepreneurial growth for the Business & IP Centre.
Bridgewater The trust fund was founded in 1829, by Francis Henry, Earl of Bridgewater, and is for the purchase of manuscripts for addition to the Bridgewater collection.
British Library City Partners The fund will allow the British Library and the Library of Birmingham to deliver a cultural partnership to allow the British Library to share its collections, knowledge and expertise with staff and users of the Library of Birmingham.
## 18. Revaluation Reserve Movement
| | | £000 |
|------------------|---|-----------|
| At 1 April 2016 | | 873,777 |
| Arising in year | | 246,025 |
| Realised | | (752) |
| Backlog | | (673) |
| Disposals | | (11) |
| At 31 March 2017 | | 1,118,366 |
## 19. Commitments Under Operating Leases
| | Operating Leases which expire | Buildings | | Equipment |
|----------------------|---------|---------|---------|---------|
| | 2016/17 | 2015/16 | 2016/17 | 2015/16 |
| | £000 | £000 | £000 | £000 |
| Within one year | 40 | 40 | 118 | 37 |
| Two to five years | 120 | 120 | 10 | - |
| More than five years | 144 | 200 | - | - |
| Total | 304 | 360 | 128 | 37 |
## 20. Provision For Liabilities And Charges
A provision has been made in full for employees leaving the organisation under early retirement or Civil Service Compensation Scheme terms. The provision represents the estimated future costs to the Library, for both staff who have left and staff who are known to be leaving in 2016/17.
| | | | 2016/17 | 2015/16 |
|----------------------------------------------|---------------------|-------------|-------|-----------|
| | Early Retirement/ Other Liability | Total | Total | |
| | Severance Provision | and Charges | | |
| | £000 | £000 | £000 | £000 |
| At 1 April | 17 | 137 | 154 | 419 |
| Additional Provision | - | 19 | 19 | 43 |
| Release of Provision | - | - | - | (243) |
| Utilisation of Provision | (1) | - | (1) | (65) |
| At 31 March | 16 | 156 | 172 | 154 |
| Less: Provisions falling due within one year | (16) | (156) | (172) | (154) |
| Amounts falling due after one year | - | - | - | - |
Redundancy and other departure costs have been paid in accordance with the provisions of the Civil Service Compensation Scheme, a statutory scheme made under the Superannuation Act 1972. Exit costs are accounted for in full in the year of departure. Where the Library has agreed early retirements, the additional costs are met by the Library and not by the Civil Service pension scheme. Ill-health retirement costs are met by the pension scheme and are not included in the table.
## 21. Analysis Of Net Assets Between Funds
| | Unrestricted | Restricted | Total |
|--------------------------------|-----------|---------|-----------|
| | Funds | Funds | |
| Fund balances at 31 March 2017 | | | |
| | £000 | £000 | £000 |
| are represented by: | | | |
| | | | |
| | | | |
| Intangible fixed assets | 55 | - | 55 |
| Tangible fixed assets | 1,490,797 | - | 1,490,797 |
| Heritage assets | 68,109 | - | 68,109 |
| Investments | 5,471 | 18,785 | 24,256 |
| Current assets | 42,774 | 14,169 | 56,943 |
| Current liabilities | (9,860) | (9,131) | (18,991) |
| Non-current liabilities | - | - | - |
| Total net assets | 1,597,346 | 23,823 | 1,621,169 |
## 22. Capital Commitments
| | | 2016/17 | 2015/16 |
|------------------------------------|---|------|-----------|
| | | £000 | £000 |
| | | | |
| Contracted and not provided for | | 234 | - |
| | | | |
| Authorised, but not contracted for | | 80 | - |
The contracted capital commitment figure relates to a gas main replacement project and software development. The authorised but not contracted item relates to software development.
## 23. Related Party Transactions
The British Library is a Non-Departmental Public Body, sponsored by the Department for Culture, Media and Sport. The Department for Culture, Media and Sport is regarded as a related party. During the year the Library has had a number of material transactions with the Department and other entities for which the Department is the sponsor, for example: Arts Council England, the BBC–PSG group, the British Film Institute, the British Museum, the Heritage Lottery Fund, Historic England, the Imperial War Museum, the Natural History Museum, the Science Museums Group, the Victoria and Albert Museum, the Royal Museums Greenwich - National Maritime Museum, The National Archives and the National Portrait Gallery. During the year a number of Board members contributed to the Library's Corporate Membership Scheme. The Library sets aside office space and equipment for the Friends of the British Library to undertake some of their duties. However there is no direct financial support from the Library to the Friends of the British Library. The Library also entered into material related party transactions with other related parties during the year, as set out overleaf:
Relationship
Expenditure
Related Party
Nature of
Income
2016/17
Transaction
2016/17
£000
£000
David Higham Associates
Royalty payments
28
Dr Simon Thurley, a member of the British Library Board, is an author with contracts signed through the related party
Higher Education Policy Institute
Membership
2
Professor Dame Helen Wallace, a member of the British Library Board, is a trustee for the related party
House of Lords
Document Supply transactions
1
Baroness Blackstone, Chairman of the British Library, and Lord Fellowes and Lord Janvrin, members of the British Library Board, are members of the related party
Institute of Historical Research London
Document Supply transactions
2
Dr Simon Thurley, a member of the British Library Board, is a senior research fellow of the related party
7
10
Mr Roly Keating, Chief Executive of the British Library, is the Chairman of the related party
Knowledge Quarter
Rental income, Membership expenditure.
Price Waterhouse Coopers
Consultancy work
87
Dr Stephen Page, a member of the British Library Board, is a senior adviser to the related party
Society of Authors
Royalty payments
14
Ms Tracy Chevalier, a member of the British Library Board, is member of the Advisory Council of the related party
University of Edinburgh
Document Supply transactions
24
21
Dr Robert Black, a member of the British Library Board, is a member of the Court of the related party
University of Manchester
Document Supply transactions
35
23
Mr Patrick Plant, a member of the British Library Board, is an honorary lecturer at the related party
## 24. Post Balance Sheet Events
There were no reportable events between 31 March 2017 and the date the accounts were authorised for issue. The accounts were authorised for issue by the Accounting Officer and Board of Trustees on the date the C&AG certified the accounts.
## 25. Contingent Liabilities British Library Newspaper Digitisation Project.
The British Library has undertaken the digitisation of millions of pages from the archive using a commercial partner to take on the costs of digitisation in return for being able to exploit the digitisations commercially. The supplier has warranted in its contract with the Library that use of the digitisations will not infringe copyright, or give rise to any possible action for defamation and has undertaken to cover any liability falling on the Library as a result of any such claims (in addition to the cost of defending the action) up to £5m. DCMS has agreed to underwrite any liability which arises beyond that, for the duration that such claims might arise. It is considered that a claim in excess of £5m would be extremely unlikely but in the event that the liability is called, provision for any payment will be sought through the normal Supply procedure.
The British Library extends thanks to everyone who has contributed to the development of the Annual Report and Accounts 2016/17. Produced in-house. © British Library Board 2017.
British Library
96 Euston Road London NW1 2DB
British Library Boston Spa Wetherby West Yorkshire LS23 7BQ
Public Lending Right First Floor Richard House Sorbonne Close Stockton-on-Tees TS17 6DA T +44 (0)330 333 1144 @britishlibrary /britishlibrary www.bl.uk Cover image: British Western Front Trench Model, 1917 displayed in our Maps of the 20th Century: Drawing the Line exhibition which opened in November 2016. It drew upon the Library's incredible collection of over four million maps to shed new light on 20th-century historical narratives. Photo by Tony Antoniou. | en |
0213-pdf |
## The Uk Is On Track To Meet The Second Carbon Budget
Total territorial emissions for 2013-2015 combined The second Carbon Budget figures will not be finalised until end of budgetary period *reporting in 2019.*
## Energy Supply Remains The Largest Emitting Sector Of Uk 2015 Greenhouse Gas Emissions
Other includes Public and Industrial Process sectors (the Land Use, Land Use Change and Forestry (LULUCF) sector is excluded from the sector statistics above as it acted as a net sink of emissions). Please note the percentages above do not sum to 100% due to rounding.
Further information: **https://www.gov.uk/government/collections/final-uk-greenhouse-gas-emissions-national-statistics** Enquiries: [email protected]
Energy supply and waste management sectors experienced the largest reductions in emissions from 2014 to 2015
2014-2015 % change
Energy supply
Waste management
Business
Other
Agriculture
LULUCF
Transport
Residential
12%
7%
3%
1%
0%
1%
2%
4%
1990-2015 % change
48%
73%
26%
72%
17%
229%
2%
17%
LULUCF has a large percentage decrease from 1990-2015 as
emissions in this sector have gone from being a net source in 1990
(5.7 MtCO2e) to a net sink of emissions in 2015 (-7.4 MtCO2e).
| en |
3915-pdf |
| SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|-----------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| AC TRAINING SERVICES | Corporate Serv & Neighbourhood | Vehicle Maintenance | Seminars & Short Training | 19/02/2018 | 540.00 |
| ** NAME REDACTED ** | Community Services | Homelessness | Rent And Rent Deposits | 15/02/2018 | 600.00 |
| ALLPAY LIMITED DIRECT DEBIT ACCOUNT | Finance, Efficiency & Assets | Banking Charges | Transaction Costs - All Pay | 07/02/2018 | 999.87 |
| ANCHOR PRINT GROUP LIMITED | Corporate Serv & Neighbourhood | Reprographics | Print Mats (Int. Print Room) | 15/02/2018 | 645.58 |
| ANCHOR PRINT GROUP LIMITED | Leader | Performance Management | Outside Printing | 22/02/2018 | 700.00 |
| BEAVER BUS | Corporate Serv & Neighbourhood | Fleet Management | Mot'S | 28/02/2018 | 226.00 |
| BEEJAY SUPPLIES | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 14/02/2018 | 267.82 |
| BIG CITY BANNERS & SIGNS | Corporate Serv & Neighbourhood | Publicity, Promotion & Market. | Publicity & Promotion | 01/02/2018 | 360.00 |
| BLABY PARISH COUNCIL | Other | General Fund Balance Sheet | Commuted Sums - Open Spaces | 28/02/2018 | 26,100.00 |
| BRAUNSTONE TOWN COUNCIL | Corporate Serv & Neighbourhood | Customer Services | Rent Payments | 06/02/2018 | 7,500.00 |
| BROCKINGTON COLLEGE | H Improv, Leisure & Regulatory | Spa - Exercise Ref & Heart Sm | Hire Of Rooms | 15/02/2018 | 241.50 |
| BROOKSIDE CONSTRUCTION (LEICESTER) LTD | Other | General Fund Balance Sheet | In Year Capital Additions | 19/02/2018 | 21,234.96 |
| CALE ACCESS UK LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 08/02/2018 | 8,950.50 |
| CAPITA BUSINESS SERVICESLTD | Finance, Efficiency & Assets | Banking Charges | Transaction Costs - Cards | 19/02/2018 | 2,582.01 |
| CCS MEDIA LTD | Corporate Serv & Neighbourhood | Information Management | Software Maintenance | 19/02/2018 | 252.56 |
| CCS MEDIA LTD | H Improv, Leisure & Regulatory | Building Control Division | Computer Equipment | 06/02/2018 | 624.10 |
| CCS MEDIA LTD | H Improv, Leisure & Regulatory | Building Control Division | Computer Equipment | 06/02/2018 | 596.34 |
| CHEMPAC SOLUTION LIMITED | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Protective Clothing/Uniforms | 12/02/2018 | 272.00 |
| CHEMPAC SOLUTION LIMITED | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Protective Clothing/Uniforms | 19/02/2018 | 238.00 |
| CIPFA | Finance, Efficiency & Assets | Financial Services | Seminars & Short Training | 07/02/2018 | 295.00 |
| CLOCKWISE | Other | General Fund Balance Sheet | Deductions - Clockwise | 22/02/2018 | 405.00 |
| COLLEGE GARTH LTD | H Improv, Leisure & Regulatory | Control Of Dogs | Small Misc Contracts | 22/02/2018 | 1,544.32 |
| COUNTESTHORPE PARISH COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 01/02/2018 | 1,275.24 |
| COUNTESTHORPE PARISH COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 28/02/2018 | 16,614.60 |
| COVERGOLD | Planning, Housing, Econ & Comm | Planning Administration | Equipment R & M | 15/02/2018 | 550.00 |
| CVN PROPERTY REPAIR SERVICES | Other | General Fund Balance Sheet | In Year Capital Additions | 07/02/2018 | 5,285.00 |
| D H PEPPER & SON | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Composting Fees | 14/02/2018 | 1,097.06 |
| D H PEPPER & SON | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Composting Fees | 28/02/2018 | 1,065.33 |
| DAISY COMMUNICATIONS LIMITED | Corporate Serv & Neighbourhood | Ict Services | Telecoms - Calls | 09/02/2018 | 1,338.22 |
| DAVID KIRTON DESIGNS | Other | General Fund Balance Sheet | In Year Capital Additions | 07/02/2018 | 227.75 |
| DAVIES SPORTS | H Improv, Leisure & Regulatory | Spa - Inactive Young People | Other Equipment | 12/02/2018 | 299.97 |
| DENNIS EAGLE LTD | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Accidental Damage Repair Costs | 19/02/2018 | 1,228.40 |
| DENNIS EAGLE LTD | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Accidental Damage Repair Costs | 27/02/2018 | 313.63 |
| DENNIS EAGLE LTD | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 01/02/2018 | 2,476.38 |
| DENNIS EAGLE LTD | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 12/02/2018 | 261.74 |
| DENNIS EAGLE LTD | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 22/02/2018 | 244.61 |
| DETECTOR ALARMS LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Rea: Security | 15/02/2018 | 315.00 |
| DETECTOR ALARMS LIMITED | Finance, Efficiency & Assets | Whetstone Depot | Cyc: Intruder/Panic Alarm Serv | 15/02/2018 | 700.00 |
| DISCLOSURE & BARRING SERVICE | Other | General Fund Balance Sheet | Misc - Criminal Records Bureau | 07/02/2018 | 422.00 |
| DTM GARDENS & LANDSCAPES LIMITED | Corporate Serv & Neighbourhood | Grounds Maintenance Service | Countryside Areas Maintenance | 27/02/2018 | 7,400.00 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|-----------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|------------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| DTM GARDENS & LANDSCAPES LIMITED | H Improv, Leisure & Regulatory | Green Space Development | Hired Services | 27/02/2018 | 4,600.00 |
| DURA SPORT (LEISURE CARE) LIMITED | Finance, Efficiency & Assets | The Pavillion - Land And Build | Pla: All Weather Pitch Works | 07/02/2018 | 325.00 |
| EDEN BROWN SYNERGY LIMITED | Community Services | Benefits Section | Temporary/Casual Staff | 12/02/2018 | 928.13 |
| EDEN BROWN SYNERGY LIMITED | Community Services | Benefits Section | Temporary/Casual Staff | 12/02/2018 | 811.25 |
| ELECTORAL REFORM SERVICES | Leader | Register Of Electors | Hired Services | 28/02/2018 | 708.97 |
| ENERGY METERING TECHNOLOGY LIMITED | H Improv, Leisure & Regulatory | Climate Change | Project/Initiatives Fees | 28/02/2018 | 1,220.00 |
| EQUIPMENT TRADE CONSULTANTS LTD | Finance, Efficiency & Assets | Council Offices & Land | Cyc: Lift Servicing | 27/02/2018 | 455.00 |
| ERNST & YOUNG LLP | Finance, Efficiency & Assets | External Audit Fees | Audit Fees | 06/02/2018 | 14,838.00 |
| ESPO | Finance, Efficiency & Assets | Open Spaces Management | Open Space Development | 07/02/2018 | 417.00 |
| ESPO | Finance, Efficiency & Assets | The Pavillion - Land And Build | Gas | 08/02/2018 | 428.03 |
| ESPO | Finance, Efficiency & Assets | The Pavillion - Land And Build | Gas | 22/02/2018 | 581.63 |
| F G MOSS & SON | Other | General Fund Balance Sheet | In Year Capital Additions | 22/02/2018 | 1,782.00 |
| FAROL LIMITED | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 27/02/2018 | 298.76 |
| FIRMSTEP LTD | Corporate Serv & Neighbourhood | Communications | Software Maintenance | 22/02/2018 | 7,178.00 |
| FIRSTCALL T/A NESTOR PRIMCARE SERVICES LIMITE | Leader | Emergency Planning & Bus. Cont | Out Of Hours Service | 19/02/2018 | 282.75 |
| FORD & SLATER | Corporate Serv & Neighbourhood | Cleansing Services | Accidental Damage Repair Costs | 22/02/2018 | 408.62 |
| FORD & SLATER | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 07/02/2018 | 541.42 |
| FORD & SLATER | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 12/02/2018 | 536.92 |
| FORD & SLATER | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 27/02/2018 | 844.11 |
| FREETHS LLP | H Improv, Leisure & Regulatory | Envirocrime | Project/Initiatives Fees | 14/02/2018 | 450.00 |
| G HARRISON BUILDRITE LEICESTER LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 14/02/2018 | 4,071.00 |
| GAE SMITH HOLDINGS LIMITED | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Disposal Fees | 15/02/2018 | 9,989.91 |
| GAMBLING COMMISSION | Planning, Housing, Econ & Comm | Grant Aid & Access Activities | Other Local Authorities | 07/02/2018 | 261.00 |
| GILVAR LINING LTD | Other | General Fund Balance Sheet | In Year Capital Additions | 08/02/2018 | 425.00 |
| GLENFIELD PARISH COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 01/02/2018 | 8,646.43 |
| GREEN CONTROL SYSTEMS | Finance, Efficiency & Assets | The Pavillion - Land And Build | Pla: Heating And Ventilation | 28/02/2018 | 1,960.00 |
| GREEN CONTROL SYSTEMS | Finance, Efficiency & Assets | The Pavillion - Land And Build | Rea: Electrical | 28/02/2018 | 530.00 |
| GROUNDSMAN TOOLS & SUPPLIERS | Corporate Serv & Neighbourhood | Cleansing Services | Equipment R & M | 27/02/2018 | 229.50 |
| ** NAME REDACTED ** | Other | General Fund Balance Sheet | Debtors Suspense | 28/02/2018 | 295.00 |
| H20 CLEANING SERVICES | Finance, Efficiency & Assets | The Pavillion - Land And Build | Rea: Roofing | 13/02/2018 | 375.00 |
| HARBOROUGH DISTRICT COUNCIL | H Improv, Leisure & Regulatory | Car Parks | Homelessness | 07/03/2018 | -13,545.38 |
| HARBOROUGH DISTRICT COUNCIL | H Improv, Leisure & Regulatory | Car Parks | Other Partnership Support | 07/03/2018 | 13,545.38 |
| HARBOROUGH DISTRICT COUNCIL | H Improv, Leisure & Regulatory | Car Parks | Other Partnership Support | 08/02/2018 | 15,265.56 |
| HARBOROUGH DISTRICT COUNCIL | Leader | Corporate Management | Provision Amounts | 19/02/2018 | 1,400.00 |
| HAYLEY SHAW | H Improv, Leisure & Regulatory | The Pavilion | Hired Services | 27/02/2018 | 325.00 |
| HBINFO LIMITED | Community Services | Benefits Section | Sundry It Purchases | 07/02/2018 | 425.00 |
| HEALTH MANAGEMENT LIMITED | Leader | Human Res. Train & Development | Occupational Health | 15/02/2018 | 910.10 |
| HERITAGE HOTEL | Community Services | Homelessness | Hire Of Rooms | 14/02/2018 | 490.00 |
| HERITAGE HOTEL | Community Services | Homelessness | Hire Of Rooms | 19/02/2018 | 1,755.00 |
| HINCKLEY & BOSWORTH COUNCIL | Corporate Serv & Neighbourhood | Communications | Hbbc: Ict Services Provision | 01/02/2018 | 4,908.50 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|-------------------------------------|--------------------------------|--------------------------------|------------------------------|--------------|-----------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| HINCKLEY & BOSWORTH COUNCIL | Corporate Serv & Neighbourhood | Ict Services | Hbbc: Ict Services Provision | 01/02/2018 | 3,796.58 |
| HINCKLEY & BOSWORTH COUNCIL | Corporate Serv & Neighbourhood | Ict Services | Hbbc: Ict Services Provision | 01/02/2018 | 23,738.75 |
| HM COURTS & TRIBUNALS SERVICE | Community Services | C.Tax Billing, Coll & Recovery | Court Fees | 07/02/2018 | 1,393.00 |
| HOWKINS AND HARRISON | Finance, Efficiency & Assets | Open Spaces Management | Open Space Development | 12/02/2018 | 750.00 |
| IDOX SOFTWARE LIMITED | Leader | Performance Management | Seminars & Short Training | 01/02/2018 | 2,500.00 |
| IDOX SOFTWARE LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 07/02/2018 | 7,500.00 |
| IMPERIAL POLYTHENE PRODUCTS LIMITED | Corporate Serv & Neighbourhood | Cleansing Services | Other Equipment | 13/02/2018 | 2,802.91 |
| IMPERIAL POLYTHENE PRODUCTS LIMITED | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Refuse Sacks | 19/02/2018 | 904.80 |
| IMPERIAL POLYTHENE PRODUCTS LIMITED | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Refuse Sacks | 27/02/2018 | 1,730.43 |
| INFORM CPI LIMITED | Community Services | Nndr Billing & Coll Costs | Professional Fees | 12/02/2018 | 1,345.00 |
| INFORM CPI LIMITED | Community Services | Nndr Billing & Coll Costs | Professional Fees | 12/02/2018 | 1,570.00 |
| INFORM CPI LIMITED | Community Services | Nndr Billing & Coll Costs | Professional Fees | 12/02/2018 | 2,480.00 |
| INNOVATIVE SAFETY SOLUTIONS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 01/02/2018 | 240.00 |
| INNOVATIVE SAFETY SOLUTIONS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 01/02/2018 | 240.00 |
| INNOVATIVE SAFETY SOLUTIONS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 01/02/2018 | 240.00 |
| INNOVATIVE SAFETY SOLUTIONS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 01/02/2018 | 240.00 |
| INNOVATIVE SAFETY SOLUTIONS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 01/02/2018 | 240.00 |
| INNOVATIVE SAFETY SOLUTIONS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 01/02/2018 | 240.00 |
| INNOVATIVE SAFETY SOLUTIONS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 01/02/2018 | 240.00 |
| INNOVATIVE SAFETY SOLUTIONS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 01/02/2018 | 240.00 |
| INNOVATIVE SAFETY SOLUTIONS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 01/02/2018 | 240.00 |
| INNOVATIVE SAFETY SOLUTIONS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 01/02/2018 | 240.00 |
| INNOVATIVE SAFETY SOLUTIONS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 01/02/2018 | 240.00 |
| INNOVATIVE SAFETY SOLUTIONS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 01/02/2018 | 240.00 |
| INNOVATIVE SAFETY SOLUTIONS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 01/02/2018 | 240.00 |
| INNOVATIVE SAFETY SOLUTIONS LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 01/02/2018 | 240.00 |
| INPHASE LIMITED | Leader | Performance Management | Software Maintenance | 19/02/2018 | 3,256.80 |
| ** NAME REDACTED ** | Other | General Fund Balance Sheet | Debtors Suspense | 28/02/2018 | 563.40 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Cleansing Services | Temporary/Casual Staff | 12/02/2018 | 297.07 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Cleansing Services | Temporary/Casual Staff | 15/02/2018 | 216.51 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Cleansing Services | Temporary/Casual Staff | 15/02/2018 | 745.18 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Cleansing Services | Temporary/Casual Staff | 19/02/2018 | 352.32 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Cleansing Services | Temporary/Casual Staff | 22/02/2018 | 745.18 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 15/02/2018 | 508.54 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 15/02/2018 | 1,409.80 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 19/02/2018 | 820.71 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 19/02/2018 | 352.32 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 19/02/2018 | 469.90 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 19/02/2018 | 966.72 |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 19/02/2018 | 339.86 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|---------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|------------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| JAM PERSONNEL | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Temporary/Casual Staff | 22/02/2018 | 2,301.00 |
| JAMES ANDREWS RECRUITMENT SOLUTIONS LIMITED | Community Services | Housing Services | Gross Pay | 07/02/2018 | 723.98 |
| JAMES ANDREWS RECRUITMENT SOLUTIONS LIMITED | Community Services | Housing Services | Gross Pay | 12/02/2018 | 382.48 |
| JOHNSTON SWEEPERS LTD | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 12/02/2018 | 368.29 |
| KEEP BRITAIN TIDY | H Improv, Leisure & Regulatory | A Place To Grow | Project/Initiatives Fees | 14/02/2018 | 319.00 |
| KINGS ARMOURED SECURITY SERVICES LIMITED | Corporate Serv & Neighbourhood | Customer Services | Security Services | 07/02/2018 | 215.20 |
| KINGS ARMOURED SECURITY SERVICES LIMITED | H Improv, Leisure & Regulatory | Car Parks | Security Services | 08/02/2018 | 320.61 |
| KIRBY MUXLOE PARISH COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 15/02/2018 | 14,644.10 |
| LAND DATA | Corporate Serv & Neighbourhood | Information Management | Seminars & Short Training | 13/02/2018 | 280.00 |
| LANGUAGE LINE LIMITED | Corporate Serv & Neighbourhood | Communications | Subscriptions | 15/02/2018 | 295.00 |
| LEARNING POOL LIMITED | Leader | Staff Training And Development | Hired Services | 28/02/2018 | 6,175.00 |
| LEAWOOD BUILDERS | Other | General Fund Balance Sheet | In Year Capital Additions | 07/02/2018 | 5,507.00 |
| LEICESTER CITY COUNCIL | Community Services | Hospital Discharge Project | Professional Fees | 13/02/2018 | 17,282.70 |
| LEICESTER CITY COUNCIL | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 14/02/2018 | 300.00 |
| LEICESTER CITY COUNCIL | H Improv, Leisure & Regulatory | Environmental Health | Seminars & Short Training | 06/02/2018 | 225.00 |
| LEICESTER MARRIOTT HOTEL | Planning, Housing, Econ & Comm | Economic Development | Publicity & Promotion | 27/02/2018 | 706.25 |
| LEICESTERSHIRE COUNTY COUNCIL | Community Services | Light Bulb Project | Computer Equipment | 07/02/2018 | 240.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Commercial Waste Fees | 14/02/2018 | 9,137.99 |
| LEICESTERSHIRE COUNTY COUNCIL | Planning, Housing, Econ & Comm | Planning Delivery | Consultant'S Fees | 14/02/2018 | 7,844.20 |
| LEICESTERSHIRE COUNTY COUNCIL | Community Services | Llt - Harborough | Harborough - Dfg Agency Acc. | 06/02/2018 | 2,420.77 |
| LEICESTERSHIRE COUNTY COUNCIL | Community Services | Llt - Harborough | Harborough - Dfg Agency Acc. | 06/02/2018 | 5,514.79 |
| LEICESTERSHIRE COUNTY COUNCIL | Community Services | Llt - Harborough | Harborough - Dfg Agency Acc. | 06/02/2018 | 3,613.46 |
| LEICESTERSHIRE COUNTY COUNCIL | Community Services | Llt - Harborough | Harborough - Dfg Agency Acc. | 06/02/2018 | 3,570.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Community Services | Llt - Harborough | Harborough - Dfg Agency Acc. | 06/02/2018 | 507.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Community Services | Llt - Oadby & Wigston | O&W - Dfg Agency Account | 22/02/2018 | 3,300.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | In Year Capital Additions | 28/02/2018 | 1,170.33 |
| LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | Creditors -County-Superann Ees | 01/02/2018 | 12,750.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | Creditors -County-Superann Ees | 01/02/2018 | 166,678.77 |
| LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | Creditors -County-Superann Ees | 28/02/2018 | 12,750.00 |
| LEICESTERSHIRE COUNTY COUNCIL | Other | General Fund Balance Sheet | Creditors -County-Superann Ees | 28/02/2018 | 164,403.86 |
| LEICESTERSHIRE PROMOTIONS | H Improv, Leisure & Regulatory | Tourism | Hired Services | 07/02/2018 | 1,000.00 |
| LEICESTERSHIRE PROMOTIONS | H Improv, Leisure & Regulatory | Tourism | Hired Services | 07/02/2018 | 1,500.00 |
| LEICESTERSHIRE PROMOTIONS | H Improv, Leisure & Regulatory | Tourism | Hired Services | 07/02/2018 | 2,500.00 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | -1,886.40 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 382.80 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 1,315.10 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 586.70 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 480.30 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 1,807.55 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 209.00 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|-----------------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|-----------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 636.50 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 23/02/2018 | 544.30 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 2,154.60 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 2,493.60 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 831.90 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 1,323.40 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 266.57 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 413.79 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 836.58 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 558.00 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 435.00 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 343.20 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 330.00 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 1,310.22 |
| LGSS LAW | Corporate Serv & Neighbourhood | External Legal Fees | Legal Fees | 19/02/2018 | 384.00 |
| LIFE FITNESS (UK) LTD | H Improv, Leisure & Regulatory | The Pavilion | Licences | 27/02/2018 | 5,023.67 |
| LLOYDS BUSINESS NETWORKS LTD | Corporate Serv & Neighbourhood | Ict Services | Infrastructure - Cre | 07/02/2018 | 238.48 |
| LOCAL GOVERNMENT IMPROVEMENT & DEVELOPMENT | Finance, Efficiency & Assets | L A Assocs - Subscriptions | Subscriptions | 22/02/2018 | 890.00 |
| LOCAL WORLD LIMITED | Finance, Efficiency & Assets | Open Spaces Management | Advertising - Notices | 09/02/2018 | 624.32 |
| LOCAL WORLD LIMITED | Planning, Housing, Econ & Comm | Planning Delivery | Advertising - Notices | 12/02/2018 | 264.14 |
| LOCAL WORLD LIMITED | Planning, Housing, Econ & Comm | Planning Delivery | Advertising - Notices | 22/02/2018 | 312.16 |
| LODGE TYRES CO LTD | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Accidental Damage Repair Costs | 12/02/2018 | 791.56 |
| LODGE TYRES CO LTD | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Accidental Damage Repair Costs | 12/02/2018 | 372.24 |
| LODGE TYRES CO LTD | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Accidental Damage Repair Costs | 12/02/2018 | 744.48 |
| LODGE TYRES CO LTD | Corporate Serv & Neighbourhood | Vehicle Maintenance | Tyres | 07/02/2018 | -648.08 |
| LODGE TYRES CO LTD | Corporate Serv & Neighbourhood | Vehicle Maintenance | Tyres | 12/02/2018 | 2,253.78 |
| LUTTERWORTH AND DISTRICT JOURNAL | Corporate Serv & Neighbourhood | Publicity, Promotion & Market. | Publicity & Promotion | 19/02/2018 | 395.50 |
| MAX CLEANERS & MAINTENANCE LIMITED | Finance, Efficiency & Assets | Whetstone Depot | Cleaning | 07/02/2018 | 1,906.67 |
| MEL RESEARCH LIMITED | Leader | Performance Management | Surveys | 14/02/2018 | 3,600.00 |
| MERTRUX LTD | Corporate Serv & Neighbourhood | Refuse Coll & Domestic Recyc | Accidental Damage Repair Costs | 06/02/2018 | 222.60 |
| MIDLAND HR ****DIRECT DEBIT ACCOUNT ONLY**** | Finance, Efficiency & Assets | Financial Services | Software Maintenance | 28/02/2018 | 3,171.14 |
| MIDLAND HR ****DIRECT DEBIT ACCOUNT ONLY**** | Finance, Efficiency & Assets | Financial Services | Software Maintenance | 28/02/2018 | 496.13 |
| MIDLAND HR ****DIRECT DEBIT ACCOUNT ONLY**** | Finance, Efficiency & Assets | Financial Services | Software Maintenance | 28/02/2018 | 289.41 |
| MIDLAND HR ****DIRECT DEBIT ACCOUNT ONLY**** | Finance, Efficiency & Assets | Financial Services | Software Maintenance | 28/02/2018 | 303.88 |
| MIDLAND HR ****DIRECT DEBIT ACCOUNT ONLY**** | Other | General Fund Balance Sheet | In Year Capital Additions | 09/02/2018 | 1,019.00 |
| MISHEON DE REYA LLP | Finance, Efficiency & Assets | Financial Services | Vat Consultancy | 07/02/2018 | 2,000.00 |
| MISS GEMMA TAYLOR | H Improv, Leisure & Regulatory | Spa - Sports Dev. & Commercial | Hired Services | 07/02/2018 | 250.00 |
| MISS RACHEL CLARKE | H Improv, Leisure & Regulatory | The Pavilion | Hired Services | 19/02/2018 | 650.00 |
| MOLYNEUX ROSE LTD | Finance, Efficiency & Assets | Trad Services - Whet Ind Est | Head Lease | 28/02/2018 | 49,875.00 |
| MOORINGS MEDIQUIP UK LIMITED | Community Services | Llt - Oadby & Wigston | O&W - Dfg Agency Account | 22/02/2018 | 386.00 | | SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|----------------------------------------|--------------------------------|--------------------------------|--------------------------------|--------------|----------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| MORGANS LOCKSMITHS | Finance, Efficiency & Assets | Public Conveniences | Rea: Building | 22/02/2018 | 226.98 |
| ** NAME REDACTED ** | Community Services | Homelessness | Rent And Rent Deposits | 15/02/2018 | 350.00 |
| NOTTINGHAM CITY COUNCIL | Finance, Efficiency & Assets | L A Assocs - Subscriptions | Subscriptions | 15/02/2018 | 4,995.00 |
| POLYCOPY | Corporate Serv & Neighbourhood | Reprographics | Print Mats (Int. Print Room) | 01/02/2018 | 846.00 |
| PRATT & CHESTERTON ELECTRICAL | Finance, Efficiency & Assets | Council Offices & Land | Rea: Electrical | 08/02/2018 | 400.00 |
| PREMIER MOT | Corporate Serv & Neighbourhood | Vehicle Maintenance | Seminars & Short Training | 21/02/2018 | 1,900.00 |
| PREMIERE PROPERTY SERVICES LTD | Community Services | Housing Pvt Sec Renewal Grants | Grants - Other Small Grants | 06/02/2018 | 1,140.00 |
| PREMIERE PROPERTY SEVICES LTD | Other | General Fund Balance Sheet | In Year Capital Additions | 22/02/2018 | 3,450.00 |
| PROPERTY MAINTENANCE SERVICES LTD | Community Services | Llt - Harborough | Harborough - Dfg Agency Acc. | 06/02/2018 | 5,747.00 |
| PROPERTY MAINTENANCE SERVICES LTD | Other | General Fund Balance Sheet | In Year Capital Additions | 28/02/2018 | 1,990.80 |
| PROXIMITY FUTURES LIMITED | Planning, Housing, Econ & Comm | Economic Development | Project/Initiatives Fees | 23/02/2018 | 6,800.00 |
| PROXIMITY FUTURES LIMITED | Planning, Housing, Econ & Comm | Economic Development | Project/Initiatives Fees | 23/02/2018 | 1,014.00 |
| PTTP PLANNING SERVICES | Planning, Housing, Econ & Comm | Development Strategy | Consultant'S Fees | 01/02/2018 | 2,910.00 |
| R E BRADSHAW | Other | General Fund Balance Sheet | In Year Capital Additions | 07/02/2018 | 2,800.00 |
| REACH MARKETING COMMUNICATIONS | Community Services | Nndr Billing & Coll Costs | Advertising - Notices | 07/02/2018 | 593.80 |
| REGENT OFFICE CARE LIMITED | Corporate Serv & Neighbourhood | Grounds Maintenance Service | Security Services | 12/02/2018 | 1,011.15 |
| REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Security Services | 08/02/2018 | 619.70 |
| REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Council Offices & Land | Rea: Security | 13/02/2018 | 275.00 |
| REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | The Pavillion - Land And Build | Security Services | 08/02/2018 | 619.70 |
| REGENT OFFICE CARE LIMITED | Finance, Efficiency & Assets | Whetstone Depot | Security Services | 13/02/2018 | 395.90 |
| RESOLUTION DATA MANAGEMENT LTD | Corporate Serv & Neighbourhood | Ict Services | Applications - Business | 22/02/2018 | 349.00 |
| RICOH UK LIMITED | Corporate Serv & Neighbourhood | Reprographics | Mfd Rental | 27/02/2018 | 1,089.84 |
| RICOH UK LIMITED | Corporate Serv & Neighbourhood | Reprographics | Mfd Copy Charge | 27/02/2018 | 1,943.91 |
| RICOH UK LIMITED | Corporate Serv & Neighbourhood | Reprographics | Mfd Copy Charge | 23/02/2018 | 619.96 |
| ROSSENDALES | Finance, Efficiency & Assets | Financial Services | Debt Collection Services | 01/02/2018 | 377.34 |
| ROYAL MAIL GROUP LIMITED | Leader | Local Elections | Postages | 28/02/2018 | 332.18 |
| ROYAL MAIL GROUP LIMITED | Leader | Register Of Electors | Postages | 22/02/2018 | 542.50 |
| ROYAL TOWN PLANNING INSTITUTE | Planning, Housing, Econ & Comm | Planning Delivery | Seminars & Short Training | 07/02/2018 | 415.00 |
| RTPI CONFERENCES | Planning, Housing, Econ & Comm | Planning Delivery | Seminars & Short Training | 07/02/2018 | 244.00 |
| RUDKIN & HERBERT LIMITED | Community Services | Llt - Oadby & Wigston | O&W - Dfg Agency Account | 07/02/2018 | 6,210.00 |
| RUDKIN & HERBERT LIMITED | Other | General Fund Balance Sheet | In Year Capital Additions | 28/02/2018 | 4,971.00 |
| S G CLEANERS LTD | Community Services | Hospital Discharge Project | Disposal Fees | 13/02/2018 | 3,270.00 |
| S G CLEANERS LIMITED | Community Services | Housing Pvt Sec Renewal Grants | Grants - Other Small Grants | 22/02/2018 | 1,202.00 |
| SFB MOBILE TYRE SERVICE CENTRE | Corporate Serv & Neighbourhood | Cleansing Services | Accidental Damage Repair Costs | 22/02/2018 | 212.00 |
| SKY BUSINESS | H Improv, Leisure & Regulatory | The Pavilion | Licences | 19/02/2018 | 468.00 |
| SLM LIMITED | Other | General Fund Balance Sheet | Debtors Suspense | 28/02/2018 | 350.00 |
| SODEXO MOTIVATION - DIRECT DEBIT ONLY | Other | General Fund Balance Sheet | Deductions - Childcare Voucher | 22/02/2018 | 3,308.50 |
| SOLOPROTECT LIMITED | Other | General Fund Balance Sheet | Control A/C - Solo Protect | 12/02/2018 | 583.00 |
| SOLOPROTECT LIMITED | Other | General Fund Balance Sheet | Control A/C - Solo Protect | 28/02/2018 | 583.00 |
| STAFFORDSHIRE COUNTY COUNCIL | H Improv, Leisure & Regulatory | Con Of Other Pub. Health Risks | Sampling Fees | 07/02/2018 | 424.00 |
| SUPPLIER NAME | PORTFOLIO | COST CENTRE | EXPENDITURE CLASS | POST. DATE | AMOUNT |
|------------------------------------------|--------------------------------|--------------------------------|------------------------------|--------------|----------|
| | IRRECOVERABLE VAT | | | | |
| PROCLASS | | | | | |
| REF. | | | | | |
| T & L BUILDERS | Other | General Fund Balance Sheet | In Year Capital Additions | 07/02/2018 | 4,350.00 |
| TAXSHIELD | Finance, Efficiency & Assets | Financial Services | Research & Development | 27/02/2018 | 275.00 |
| TAYLORS ELECTRICAL SERVICES | Finance, Efficiency & Assets | The Pavillion - Land And Build | Pla: Heating And Ventilation | 22/02/2018 | 2,900.00 |
| TENNANTS DISTRIBUTION LIMITED | Other | General Fund Balance Sheet | Fuel | 15/02/2018 | 400.00 |
| THE LOTTERIES COUNCIL | Planning, Housing, Econ & Comm | Grant Aid & Access Activities | Other Local Authorities | 12/02/2018 | 350.00 |
| THE OYSTER PARTNERSHIP LIMITED | Planning, Housing, Econ & Comm | Planning Delivery | Temporary/Casual Staff | 06/02/2018 | 1,080.00 |
| THE OYSTER PARTNERSHIP LIMITED | Planning, Housing, Econ & Comm | Planning Delivery | Temporary/Casual Staff | 01/02/2018 | 1,710.00 |
| THE OYSTER PARTNERSHIP LIMITED | Planning, Housing, Econ & Comm | Planning Delivery | Temporary/Casual Staff | 08/02/2018 | 1,443.00 |
| THE OYSTER PARTNERSHIP LIMITED | Planning, Housing, Econ & Comm | Planning Delivery | Temporary/Casual Staff | 08/02/2018 | 1,433.25 |
| THE OYSTER PARTNERSHIP LIMITED | Planning, Housing, Econ & Comm | Planning Delivery | Temporary/Casual Staff | 08/02/2018 | 1,989.00 |
| THE OYSTER PARTNERSHIP LIMITED | Planning, Housing, Econ & Comm | Planning Delivery | Temporary/Casual Staff | 13/02/2018 | 1,710.00 |
| THE OYSTER PARTNERSHIP LIMITED | Planning, Housing, Econ & Comm | Planning Delivery | Temporary/Casual Staff | 15/02/2018 | 1,316.25 |
| THE OYSTER PARTNERSHIP LIMITED | Planning, Housing, Econ & Comm | Planning Delivery | Temporary/Casual Staff | 22/02/2018 | 1,710.00 |
| THE OYSTER PARTNERSHIP LIMITED | Planning, Housing, Econ & Comm | Planning Delivery | Temporary/Casual Staff | 19/02/2018 | 1,413.75 |
| THE OYSTER PARTNERSHIP LIMITED | Planning, Housing, Econ & Comm | Planning Delivery | Temporary/Casual Staff | 27/02/2018 | 1,443.00 |
| THE PRUDENTIAL ASSURANCE COMPANY LIMITED | Other | General Fund Balance Sheet | Deductions - Avc | 22/02/2018 | 756.78 |
| THE SOPHIE LANCASTER FOUNDATION | Community Services | Comm Safety - Domestic Abuse | Other Third Party | 19/02/2018 | 1,000.00 |
| THE SOPHIE LANCASTER FOUNDATION | Community Services | Comm Safety - Domestic Abuse | Other Third Party | 19/02/2018 | 960.00 |
| THE WRIGHT FOUNDATION | H Improv, Leisure & Regulatory | Health And Recreation | Seminars & Short Training | 14/02/2018 | 625.00 |
| THOMAS INTERNATIONAL UK LTD | Leader | Staff Training And Development | Hired Services | 23/02/2018 | 250.00 |
| THOMSON REUTERS PROFESSIONAL | Leader | Register Of Electors | Subscriptions | 01/02/2018 | 111.50 |
| TONY ARNOLD | Community Services | Llt - Oadby & Wigston | O&W - Dfg Agency Account | 22/02/2018 | 4,914.00 |
| TOTAL GAS & POWER LIMITED | Finance, Efficiency & Assets | The Pavillion - Land And Build | Electricity | 15/02/2018 | 1,418.29 |
| UNISON | Other | General Fund Balance Sheet | Deductions - Unison | 07/02/2018 | 311.75 |
| UNIVERSAL BLUE LIMITED | Leader | Staff Training And Development | Hired Services | 06/02/2018 | 2,000.00 |
| VENN GROUP LTD | Community Services | C.Tax Billing, Coll & Recovery | Temporary/Casual Staff | 01/02/2018 | 350.00 |
| VODAFONE LIMITED (CORPORATE) | Community Services | Light Bulb Project | Telephones (Mobile/Pagers) | 07/02/2018 | 218.92 |
| VODAFONE LIMITED (CORPORATE) | Corporate Serv & Neighbourhood | Vehicle Maintenance | Telephones (Mobile/Pagers) | 07/02/2018 | 473.09 |
| VODAFONE LIMITED (CORPORATE) | H Improv, Leisure & Regulatory | Environmental Health | Telephones (Mobile/Pagers) | 07/02/2018 | 261.04 |
| WATER PLUS GROUP LIMITED | H Improv, Leisure & Regulatory | Car Parks | Water Charges | 27/02/2018 | 917.27 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 06/02/2018 | 1,348.79 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 14/02/2018 | 396.63 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 22/02/2018 | 720.14 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 28/02/2018 | 658.12 |
| WHISTL NORTH LIMITED | Other | General Fund Balance Sheet | Misc - Postage Meter - Tnt | 28/02/2018 | 213.14 |
| WORKPLACE PRODUCTS | H Improv, Leisure & Regulatory | Spa - Sports Dev. & Commercial | Other Equipment | 12/02/2018 | 240.00 |
| WORKPLACE PRODUCTS | H Improv, Leisure & Regulatory | Spa - Sports Dev. & Commercial | Other Equipment | 12/02/2018 | 321.00 |
| XMA LIMITED | Corporate Serv & Neighbourhood | Ict Services | Desktop - Printers | 28/02/2018 | 256.74 |
| ZOELLER SYSTEMS LIMITED | Corporate Serv & Neighbourhood | Vehicle Maintenance | Normal Repairs | 06/02/2018 | 390.00 |
| en |
3247-pdf |
## Idg90800
Implied consent: A check list for dealing with MPs and other elected representatives
## Considerations
First read the question that the MP asks. You can reasonably assume that the customer has consented to you disclosing information about the specific enquiry but not that they have consented to you disclosing information that does not concern it. Here are some issues you should consider when drafting responses to MPs:
1. Is the person who contacted the MP the customer or acting with the
customer's authority?
If the person who has contacted the MP is not the customer and does not have the written authority of the customer to act on their behalf, you will need to contact the MP and request a written authority from the customer.
## Examples Of Situations When You Should Take Special Care:
- The constituent writes about their partner's (including spouse's) affairs with
HMRC. However, if, for example, a husband and wife have jointly approached an MP about an issue common to them both, you can reasonably assume that they have both given implied consent for you to disclose information to the MP about their individual tax affairs.
- The constituent writes about a matter in which they are jointly involved with
another person, for example a business partnership or a tax credits claim.
You can disclose information about a partnership debt to a nominated partner but not any information about another partner's personal tax affairs
(see IDG33000 for further information). Seek advice if you are unclear about any issue relating to joint tax affairs. In tax credits cases, care must also be taken when deciding what information needs to be disclosed about a joint claim, particularly when there has been a change of circumstances or the claim has ended or been amended.
- The correspondence is about a limited company. Make sure that the
constituent is a director, or has the authority from a Director to write to an MP.
- In bankruptcy cases, any authority we have that allows us to deal with
another party during 'bankruptcy proceedings' (before the person is made bankrupt), does not give us authority to deal with them after the customer has been made bankrupt.
## 2. What Has The Customer Asked Their Mp To Pursue On Their Behalf?
Read the question that the MP is asking. Some customers want their MP to clarify their tax or benefit position for them, for example, to find out how a tax credit calculation has been made. In this case, we can assume that the customer has given their consent for us to disclose personal financial information to their MP in order to deal with the point raised. However, if for example, the customer asks about how their 2005/06 payment/repayment was calculated, we should not also provide details of other years unless they are relevant to that calculation. However, sometimes customers are questioning our process or policy, or are concerned about a delay in processing something, or in responding to them. In all of these cases, the customer has not given their consent for us to disclose personal financial information to their MP and you should therefore not do so in your response. In such cases we can respond in general terms about our process or policy and disclose a minimal amount of information about the customers circumstances e.g. we wrote to your constituents on (give date) or the child benefit was paid on
(give date). If the MPs question is more specific you should consider writing direct to the customer with detailed information about their situation and write to their MP advising them that you have responded directly to their constituent.
3. What information do you need to provide in order to answer the query?
Read the letter carefully and work out exactly what the customer is asking. Some complaint letters can be very long and cover several years of dispute but that does not mean you should automatically write a review of each and every year. In all
cases, the information you provide to the MP should be relevant to the query and necessary to answer it. Even if you think you have the customer's implied consent to provide personal financial information to the MP, the personal information you provide should be the minimum necessary to answer the query.
Examples
- Mrs A writes to her MP seeking clarification on a general point of policy. Her
query is very specific and she seems to understand what has happened with her tax affairs. Only send the MP information relating to the policy query, not details of the customer's specific tax affairs. If there is any doubt on this point write to the MP on the policy issue and advise them that you have written to the customer with details of how it applies to their tax situation.
- Mr B writes to his MP disclosing some information about his tax affairs but
does not mention amounts of tax or salary/pension. You must not assume that the customer has given consent for his MP to receive information about all of his personal tax affairs.
- Mrs C writes to her MP stating that she is at a total loss to understand what
has happened with her tax affairs and clearly gives consent for her MP to pursue this issue on her behalf. Although it appears safe to provide information to the MP about any aspect of Mrs C's tax affairs (including amounts of tax, salary or pension), it is still advisable to restrict the information you pass on to the MP according to the question which has been asked
Please see additional guidance and further examples below.
## Additional Guidance
Do Read the letter very carefully to work out exactly what the customer is asking and reply to the specific point they are making. Example: "Is it fair that HMRC are asking me for money for 2008/09 because they have not processed my post" Provide the minimum amount of personal information required to deal with the query.
Give out unnecessary personal details just because we have then.
Example: "I note that Mrs Smith is claiming
benefit for three children"
Example: "I note that Mrs Smith is claiming benefit for Timothy born on 21/05/1998, Justin born on 03/04/2000 and Sally born on 14/07 2002."
Restrict your response to details of the claimant and not their partners
Provide details of partners unless you are unable to deal with the query without them.
Example: "Miss Jones had two separate claims to credits for 2006/07. The first period to 30/06/2006 was a joint claim and the second period was a single claim."
Keep your responses factual.
Give your own opinions.
Example: "After her marriage Mrs Patel chose to pay national insurance contributions at the reduced rate."
Keep any financial details to the minimum required to deal with the query.
Include information that is not necessary.
Example: "Mr Kelly's underpayment resulted from the wrong tax code being applied to his income for 2006/07 and his tax code for 2007/08 was therefore reduced to collect the additional tax due."
Do Not Provide a detailed review of the year just because it is referred to. Example: "Let me explain to you how we have calculated Mr X's liability for the year 2008/09"
Example: "Miss Jones had a joint claim to credits with Mr Big for the first period of 2006/07. On 30/06/07 Mr Big walked out on Miss Jones taking his two children from a previous relationship with him and she claimed as a single person for the rest of the year. Example: "After her marriage Mrs Patel chose to pay national insurance contributions at the reduced rate which was probably because as a newly married person money was in short supply and it seemed like a sensible thing to do at the time." Example: "Mr Kelly's employers Blackhorse Ltd used a tax code of 333L which failed to take account of his pension of £1,300 from Sussex Health Ltd and amount of state retirement pension he was receiving. As a result of this Mr Kelly underpaid his tax for 2006/07 by £578.00. We therefore calculated his tax code to set his personal allowances first against his state pension and then reduced the code to be set against his other income to K60 which will recover the underpayment." | en |
3802-pdf |
## Key Performance Indicator Assessment Template
Key performance indicators (KPIs) are important measures of your business that have a direct influence on its overall performance. When choosing KPIs you should ensure that they are SMART:
specific
measurable achievable realistic time-based
Once you have chosen your business' KPIs, you should create a KPI assessment template that lists information on your KPIs, how they affect the business, and how you can ensure you meet the targets. By presenting the information in a KPI assessment template, you or your staff should be able to easily manage your KPIs and concentrate on achieving the most important or profitable ones.
## Template Document Begins On Next Page
## Name Of Key Performance Indicator (Kpi)
Enter the KPI name here - eg manufacturing cycle time of product
## Kpi Explanation
Write a brief description of the KPI here - eg every product to be manufactured in less than 3
hours
## Relevance Of The Kpi
Why the KPI is important to the success of the business - eg manufacturing the product faster gives us more stock to sell and more market share
## Does This Kpi Affect Any Part Of The Business?
Explain other KPIs important to the business that this KPI may affect - eg may affect delivery speed, customer satisfaction, and product quality
## How To Measure The Kpi
Explain how you measure the success or failure of this KPI - eg this KPI is successful when the product is produced within the allocated time but to the right quality standard. KPI is not met when the product is produced too slowly, or to an unsatisfactory standard.
## How To Affect This Kpi Positively (Listed By Importance Of Activity Or Highest Benefit)
1.
List here any things you can do in **your** day-to-day business that will have a positive effect on this KPI
2.
3.
4.
5.
6.
7.
8.
9.
10.
| en |
4016-pdf |
## Employment Tribunals
Claimant:
Mr S Josic Capital Reinforcing (Ireland) Limited Respondent:
Liverpool
ON:
3 February 2017 HELD AT:
26 May 2017
(in the absence of the parties)
BEFORE:
Employment Judge Horne REPRESENTATION: Claimant:
Respondent: In person Mr M Mensah, counsel
## Reconsideraton Judgment
The judgment sent to the parties on 12 October 2016 is confirmed.
## Reasons The Judgment Sought To Be Reconsidered
1. At a Preliminary Hearing on 7 October 2016, I had to determine whether the
claimant was a worker and the respondent his employer within the meaning of Section 43K of the Employment Rights Act 1996. In a judgment announced at the hearing and sent to the parties on 12 October 2016, I found that the claimant did not fall within this definition and accordingly that the Tribunal had no jurisdiction to consider his claim. On 22 November 2016, written reasons ("the Reasons") for the judgment were sent to the parties. Abbreviations in this document are explained in the Reasons.
2. One of the arguments advanced by the claimant at the Preliminary Hearing was
that he had signed a written contract of employment with Red Rock. I shall refer to this contract as the "RREC". At paragraphs 5.2 and 11.2 of the Reasons I
rejected the claimant's contention. Paragraph 5.2 expressed my view that the claimant's evidence in this regard had been unreliable.
## The Reconsideration Application
3. On 6 December 2016 the claimant submitted an application for reconsideration of
the judgment. It consisted of two emailed documents each accompanied by attachments. The larger of the two documents ran to 32 paragraphs. Not all of these were easy to follow. It was, however, a clear theme of his application that he had evidence to support his contention that he had signed the RREC.
4. Attached to the claimant's application were the following:
4.1. a copy of the RREC;
4.2. part of a transcript ("the Alicija transcript") of a secretly recorded conversation
on 6th December 2016 between the claimant and "Alicija", a worker at Red Rocks Leicester office;
4.3. further schedules to the SJT1 terms; 4.4. a further SMS exchange between 3 and 7 August 2015, in which Mr
Thompson requested proof of the claimant's VAT registration and the claimant and Mr Thompson, made arrangements for the claimant's registration with Red Rock.
5. It is now conceded by the respondent that the claimant did sign the RREC on 7
August 2015. As will be seen, however there were several twists and turns in the evidence before the respondent made that concession.
## The Rrec
6. Here are some of the features of the RREC that I found to be relevant:
6.1. the document was printed on a standard form supplied by Red Rock. 6.2. The template included a blank space where the name of the employee was to
be inserted. In handwriting the claimant wrote "SJT1 Limited".
6.3. Immediately below the name of the employee, somebody had handwritten
the claimant's date of birth.
6.4. The final page of the document bore the claimant's signature. Next to the
signature, the claimant handwrote "Director of SJT1 Limited".
6.5. Below the claimant's signature was a further signature purporting to be on
behalf of Red Rock. The signature has never been identified, but is clearly different from that of Mr Thompson.
6.6. Both signatures bore the date 7 August 2015. 6.7. By clause 6 of the RREC, "refusal of a suitable assignment by the employee
without good cause may constitute gross misconduct under the disciplinary policy and procedure set out in the employee handbook and may result in the termination of the employee's employment without notice and without a payment in lieu of notice".
6.8. Clause 7 of the RREC required the employee to contact Red Rock by 9 am
every Monday morning which he had not worked for Red Rock to discuss whether or not any suitable work was available for the employee. In the event of the employee failing to make such contact, at the designated time,
the employee was to be regarded as unavailable for work and to have resigned their employment with Red Rock.
6.9. By clause 12, the employee was entitled to receive the Daily Pay in respect
of each day worked payable weekly in arrears. There was no need for
invoicing.
6.10.
Clauses 35 and 37 of the RREC entitled the employee to take unpaid
leave (by prior written agreement with Red Rock) or paid leave (on
giving a minimum of two weeks written notice, and subject to Red Rock's right to refuse permission).
6.11.
Clause 27 required an employee holding a grievance to present such
grievance in accordance with Red Rock's written grievance policy.
## Preliminary Consideration Of The Claimant'S Application
7. I gave preliminary consideration of the reconsideration application on 20 January
2017. By a written case management order sent to the parties the same day, I observed:
"(2) In my view the claimant's application does have some reasonable prospect of success. If it is correct that the claimant signed a contract of employment with Red Rock at Red Rock's premises using Red Rock's standard terms, it is at least arguable that the terms on which the claimant worked were determined not by the claimant but by Red Rock. The claimant should not raise his hopes too high: the Tribunal will have to consider the effect of the claimant having signed in his capacity as Director of SJT1 Limited and will also have to consider whether the SJT1 terms superseded the contract of employment. (3)
There is however an additional reason why it may be necessary in the interests of justice to reconsider the judgment. As the claimant makes clear in his application, the written reasons for the judgment at paragraphs 5.2 and 11.2 call the reliability of the claimant's evidence into question. If it is true that the claimant did in fact sign a written contract of employment at Red Rock's premises, that particular criticism of the claimant would be unfounded. Bearing in mind that, at the preliminary hearing, the respondent invited the Tribunal to read in full the reasons for a judgment in a different case involving the claimant as being relevant to the claimant's credibility, and also considering that the claimant has brought other claims at which similar considerations may well arise, it is only right that written reasons should not impugn the claimant's credibility when newly-disclosed documents suggests that he was right all along. It remains to be seen whether the respondent accepts or denies that the document recently produced by the claimant was in fact signed on 7 August 2015 by the people whose signatures the document purports to bear. The original document will be an important piece of evidence in this regard".
## The Reconsideration Hearing And Grounds For Reconsideration
8. The parties attended a reconsideration hearing on 3 February 2017. At the
outset of the hearing I attempted to clarify with the claimant the grounds of his application. From time to time during the hearing he added to his list of grounds until eventually he confirmed that the list was complete.
9. Here, then, is the complete list of all the claimant's grounds for reconsideration:
9.1. He had in fact signed the RREC. 9.2. The Reasons (paragraph 11) wrongly recorded the date of the
claimant's
visit to Red Rock's premises to complete his registration.
9.3. Mr Thompson only signed the Schedules. He did not sign the SJT1 Terms
themselves.
9.4. The Alicija transcript showed that the substitution clause in the SJT1 terms
was a sham.
9.5. I had been wrong to conclude that there had been an agreement by
exchange of text messages on 21 October 2015 leading to the assignment
with the respondent starting on 21 October 2015.
9.6. The SJT1 terms had been determined by SJT1 Limited rather than the
claimant.
9.7. I had made an error of law regarding offer, acceptance, and
consideration in
the law of contract.
9.8. The Alicija transcript showed that the parties had no intention to create legal
relations when agreeing the SJT1 terms.
9.9. The claimant's email of 7 August 2015 "referred to at page 86AA of the
original preliminary hearing bundle" explained the Schedules by reference to paragraph 29 of the SJT1 terms. A signature to the Schedules would only indicate an agreement if the original SJT1 terms themselves were signed.
9.10.
The Schedule was a variation of the SJT1 terms.
9.11.
Some of the Schedules had not been signed.
9.12.
Mr Thompson was no longer employed by Red Rock.
9.13.
The Reasons had been wrong to record that the claimant had attended
Red Rock's premises for assessment. In fact he had gone there for
registration.
9.14.
The Reasons were internally inconsistent. It was not open to me to
find that the Schedules incorporated the SJT1 terms if those terms had not been signed.
9.15.
Paragraph 45.3 of the Reasons had observed, "Amongst other things,
the heading, 'Schedule' begs the question, 'Schedule to what?' The SJT1 terms provided the obvious answer." The claimant disagreed. A reasonable person would understand the Schedule as "pulling out a client from a really bad spot, nothing else".
9.16.
The terms on which the claimant worked were determined in part by a
three-way agreement between himself, Red Rock, and the respondent. The terms and conditions of that agreement were set out in Red Rock's terms of business for the supply of agency workers which the respondent had signed.
9.17.
The substitution clause in the SJT1 terms did not prevent the claimant
from being a worker within the statutory definition because both Red Rock and the respondent had the right to veto any substitute supplied by the
claimant. In support of this ground the claimant relied on Croke -v- Hydro Aluminium Worcester Limited UKEAT/0238/05.
9.18.
Mr Thompson in his text messages always asked if the claimant could
do the driving and did not refer to anybody driving on his behalf.
9.19.
Red Rock's terms of business with the respondent provided for
invoicing and payment. It was these terms, and not the SJT1 terms or the Schedules that determined how invoices should be raised and paid.
9.20.
Mr Thompson did not permit the claimant to invoice Red Rock monthly.
9.21.
The terms of the Schedules and the SJT1 terms were a sham because
they provided for SJT1 Limited to provide "IT equipment, maps, sat nav, PPE, basic tool". In fact, the claimant said, all he brought was his "hi vis", boots
and navigation system.
9.22.
Red Rock's standard terms of business with the respondent contained
provision as to how the agreement should be terminated.
9.23.
The Schedules had not been signed at the time of booking the claimant
for an assignment, but once the assignment had already been completed.
9.24.
In the second week of the claimant's assignment with the respondent,
Mr Warren told the claimant that he had received an email from Red Rock attaching various documents relating to the claimant. This, argued the claimant, was evidence that the respondent had intended to be bound by Red Rock's standard terms of business, clause 3 and that the claimant was a party to that agreement.
9.25.
Red Rock paid insurance in respect of the claimant's driving. That
was inconsistent with the SJT1 terms, which provided that SJT1 Limited should pay the insurance.
10.
At the reconsideration hearing the claimant gave evidence on oath. On the subject of the RREC, the claimant told me the following: 10.1.
He had an audio recording of a conversation between himself and Red
Rock's director, Mr Dan Brown. It was his evidence that he had asked Mr Brown during that conversation for disclosure of the registration pack which included the RREC.
10.2.
He was not sure exactly when he had obtained the copy of the RREC
which he had submitted alongside his reconsideration application. He was, however, sure that he had obtained it after the preliminary hearing on 7 October 2016.
10.3.
On an unknown date after 7 October 2016, the claimant had visited
Red Rock's premises in Birkenhead and spoken to an employee whom he knew as "Danielle". She had personally handed him the RREC.
11.
Mr Thompson also gave evidence at the reconsideration hearing. He told the Tribunal: 11.1.
He had not signed the RREC.
11.2.
At all times he knew that he was contracting with a limited company.
He therefore had no reason to provide the claimant with a contract of employment.
11.3.
The standard recruitment pack used by Red Rock included sample
contracts for different categories of work provider. These included construction industry scheme workers, sole traders, limited companies and employees.
11.4.
The only employee called Danielle working at Red Rock's Birkenhead
office was Danielle Murray. Ms Murray ceased to be an employee on 30th August 2016. In support of this evidence he produced an email from Ms Murray dated 3 February 2017.
12.
In the light of this rather surprising clash of evidence, the parties agreed that the records held by Red Rock had become highly relevant and that steps ought to be taken to secure their disclosure. It was therefore agreed that the reconsideration hearing would be adjourned for the purposes of a specific disclosure application
against Red Rock.
13.
On 10 February 2017, the claimant emailed the respondent's solicitors about the RREC. His email informed them that, contrary to his oral evidence, he had obtained the RREC copy "one or two days before the hearing".
## The Hearing On 24 March 2017
14.
The parties appeared again in front of me on 24 March 2017 for a specific disclosure application. Nobody from Red Rock attended. At the hearing, the claimant returned to the subject of when he had obtained the copy of the RREC. He said, "Last time I unawaringly [sic] lied to you that I got the contract after the hearing. I got it before the hearing. I thought there was overwhelming proof that my contract with Red Rock wasn't legally binding. By those rules, I put that aside. I got the contract on 12 September 2016".
15.
In the absence of any opposition from Red Rock, I made an order for specific disclosure in the terms requested. The documents covered by the order were: "
(1) the employment records of Danielle Murray so far as they are relevant to the dates on which she was employed by [Red Rock];
(2) any documents that formed part of the claimant's registration pack completed on or about 7 August 2015, or confirmation that no such documents exist; and
(3) any documents evidencing the use of substitute drivers by employees or contractors of Red Rock Partnership Limited and/or Rainbow People Limited, or confirmation that no such documents exist."
## Disclosure By Red Rock And Parties' Written Submissions
16.
On 2 May 2017 the parties sent their written submissions to the Tribunal. By this time Red Rock had complied with the disclosure order. A number of Red Rock's documents accompanied the written submissions. These included:
16.1.
the claimant's application for employment with Red Rock;
16.2.
a pre-employment questionnaire completed by the claimant;
16.3.
the claimant's agreement to opt out of the statutory 48 hour week;
16.4.
a certificate of incorporation of SJT1 Limited, the company's VAT
registration certificate and;
16.5.
a brief numeracy and literacy test completed by the claimant.
17.
All these documents bore the dates 7 August 2015 or 8 August 2015.
18.
The submissions also attached Red Rock's employment records for Ms Murray. These included a letter from Mr Brown to Ms Murray terminating her employment with effect from 26 August 2016.
19.
The claimant's written submissions were brief. He claimed that "something really fishy is going on regards Ms Daniel employment". It was hard to understand the basis upon which he made that assertion, but it appeared to rely on transcripts of telephone calls. The claimant continued, "and also regards substitute drivers,
you can see, that that was all fabricated … they never had them nor they are going to". He pointed out that in the registration pack he had been treated like an employee.
20.
Attached to the claimant's written submissions were four ".ODT" files, described as transcripts of various conversations. Later that day, the Tribunal emailed the claimant to inform him that the attachments could not be opened. He was asked to re-send them in either PDF or word document format or by another method. The claimant did not reply.
21.
The respondent's submissions conceded that the claimant had signed the RREC on 7 August 2016. Nevertheless, it was the respondent's case that the original judgment should stand. The RREC did not alter the analysis. According to the respondent, the parties never seriously intended to be bound by its terms. In any event, it was superseded by the SJT1 terms.
## Relevant Law
22.
The old Employment Tribunal Rules of Procedure 2004 required that judgments could be "reviewed", but only on one of a prescribed list of grounds. One of those grounds was that "new evidence [had become] available since the conclusion of the hearing to which the decision relates, provided that its existence could not
have been reasonably known of or foreseen at that time." This proviso reflected the well-known principle in civil litigation deriving from *Ladd v. Marshall* [1954] 3 All ER 745, CA.
23.
The current 2013 Employment Tribunal Rules of Procedure replaced the old list of grounds with a single test: a judgment will be reconsidered where it is "necessary in the interests of justice to do so". There is no specific provision for fresh evidence. Nor is there any express prohibition a party relying on evidence about which he knew or ought to have known before the judgment was given. Nevertheless, the "interests of justice" test must, in my view, incorporate a strong public interest in the finality of litigation, even if it is not as inflexible as the proviso in the 2004 Rules. Where a party could reasonably have been expected to rely on the evidence first time around, it would take a particularly good reason to give that party a fresh opportunity to rely on it.
24.
The overriding objective of the 2013 Rules is to enable the tribunal to deal with cases fairly and justly. Dealing with cases fairly and justly, to my mind, includes allowing, where possible, parties to rely on all the evidence upon which they wish to rely that is relevant to the issues to be decided. It also, by rule 2, includes
putting the parties on an equal footing, avoiding delay, saving expense, and dealing with cases in ways that are proportionate to the complexity and importance of the issues.
25.
Since the Judgment and Reasons were sent to the parties, the case of Day v.
Health Education England [2017] EWCA Civ 329 was decided by the Court of Appeal. In addition to the reconsideration grounds, I have taken the initiative to examine whether, in the light of *Day* (if the pun can be forgiven), the Judgment ought to be varied or revoked.
26.
Day is authority for the proposition that a worker can have two employers under section 43K of ERA. These may be both the agency (supplier or introducer) and the end-user (person for whom the work was done). Both may substantially determine the terms under which the individual worked. It therefore does not
matter which of the two employers determined the terms to the greater extent. Put another way, the tribunal should not ask itself whether the worker's terms were substantially determined by the end-user as opposed to the agency or vice versa. What matters is whether either of those two entities substantially determined the terms as opposed to the claimant. As Elias LJ put it at paragraph 11, "…if the terms on which the individual is engaged are substantially determined by the individual himself, he cannot bring himself within this extended definition of "worker". That is so even if the end-user and/or introducer can also be said substantially to determine the terms of engagement."
## Conclusions
27.
Having taken account of all the new evidence and arguments, I have reached the view that it would not be necessary in the interests of justice to revoke the original judgment. I address each ground in turn.
## Ground 1 - The Rrec
28.
I should immediately acknowledge that my finding expressed in paragraphs 5.2 and 11.2 of the Reasons cannot stand in its present form. The claimant did sign the RREC on behalf of JST1 Limited on 7 August 2015.
29.
In the light of this finding I have reflected anew on the reliability of the witness evidence in this case.
30.
I must now take Mr Thompson's evidence with care. His evidence that Red Rock had no reason to use a contract of employment is clearly wrong. Somebody from Red Rock did sign one. That may be because they had a different practice to that of Mr Thompson for dealing with limited companies, because they were unused to dealing with limited companies, or because Mr Thompson did not want to admit to the tribunal that he had treated the claimant as an employee.
31.
Even taking this cautious approach, I remain convinced by Mr Thompson's evidence that at all times he believed he was dealing with a limited company. His actions in chasing SJT1 Limited's VAT registration on 3 August 2015 lends support to his oral evidence in this regard.
32.
Mr Josic has laid to rest one concern I had about his credibility, but in doing so, has caused others to emerge in its place. His evidence about when he obtained the copy of the RREC was inconsistent. He also appears to have changed his version of why he did not disclose that document at the preliminary hearing on 7 October 2016. Unfortunately, I have no note of any explanation given by the
claimant as to why he had not disclosed it. The context suggests that the claimant's explanation at that time was that he did not think that the document was relevant. At the hearing on 3 February 2016, the clear impression being given by the claimant was that he had not got the document at the time of the preliminary hearing and therefore had no opportunity to disclose it. On 24 March 2017, his explanation was that he thought there was overwhelming proof that the RREC was not legally binding.
33.
In my view the RREC was a sham. Neither party can have intended that a limited company should be an employee. This was not intended to be an agreement with an umbrella company, which in turn would employ the claimant. The terms and conditions in the RREC were clearly directed at an individual employee and not an umbrella company. The claimant's remarks on 24 March
2017 rather suggest that the claimant himself acknowledges that the RREC was not binding.
34.
A closer look at the terms of the RREC confirms the position: 34.1.
The SMS exchanges do not show regular contact from the claimant to
Red Rock on Mondays whilst he was not working on assignment.
34.2.
On 9 October 2015, 12 October 2015 and 16 to 19 October 2015,
(Reasons paragraphs 23, 25 and 27) the claimant declined offers of driving assignments giving a variety of reasons. There was no enquiry as to whether the claimant had good cause for declining these offers. Neither party seriously believed that by declining assignments in this way the claimant might be committing gross misconduct.
34.3.
Even if on 7 August 2015 the parties can be taken to have intended to
be bound by the RREC, those obligations were in my view superseded by the SJT1 terms and/or the Schedules. The mechanism by which this happened is set out at paragraph 45 of the Reasons.
35.
Paragraph 11 of the Reasons wrongly records the date. It should be 7 August
2015. In my view, the real date only strengthens the ultimate conclusion. The claimant offered the SJT1 terms on the same day that he signed the RREC on his company's behalf. The close proximity in time demonstrates in my view the lack of serious intention that the claimant should enter into an individual contract of employment.
36.
This argument was advanced at the preliminary hearing. I dealt with it at paragraph 18 of the reasons, and at paragraph 45, explained, how, in my view the SJT1 terms became part of the contract despite not having been signed by Mr Thompson.
37.
I do not agree that the Alicija transcript demonstrates that the substitution clause in the SJT1 terms was a sham. The claimant's conversation with Alicija occurred over a year after the SJT1 terms were agreed. Alicija was employed at a completely different office. The claimant did not make clear in the conversation that he was contracting on behalf of a limited company.
38.
Paragraph 45.6 of the Reasons mistakenly refers to an agreement having been reached on 21 October 2015. It is clear, however, from paragraph 28, that I found that the agreement had actually taken place on 20 October 2015. In any
event, one day's difference does not alter the analysis.
39.
The claimant appears to be arguing that, if the terms on which the claimant worked were substantially determined by SJT1 Limited, they were not determined by him. In my view, this argument misses the point of the test in Section 43K. The claimant's case is that the "third person" who introduced or supplied him to do the work was Red Rock. It was never his case that the introducer or supplier
was SJT1 Limited. The question is whether the claimant substantially determined the terms on which he did the work as opposed to either Red Rock or the respondent: see *Day.* It is not enough for him to show that the terms were substantially determined by SJT1 Limited as opposed to himself.
40.
At paragraph 45 of the Reasons I set out my analysis of the offer, acceptance and consideration for the SJT1 terms and Schedules. If the claimant believes I have erred in law in this regard, he can make that point in his appeal to the Employment Appeal Tribunal.
41.
The claimant confirmed that this ground was essentially the same as Ground 4. I reject it for the same reasons.
## Grounds 9 And 10
42.
These two grounds appear to be making the same point. The claimant's argument, as I understand it, seems to me to be entirely circular. He appears to be saying that Schedules that were expressed to be pursuant to Clause 29 of the SJT1 terms could not be binding, despite their signature, because they only
derived their force from Clause 29 itself. If the SJT1 terms were not signed, then Clause 29 would have no effect, thus robbing the Schedules of their status as amendments to the SJT1 terms. This argument appears to be based on the premise that the status of the Schedules is governed by Clause 29. If Clause 29 did govern the Schedules, it must mean that the SJT1 terms were binding. If Clause 29 did not govern the Schedules, the Tribunal has to determine what the contractual effect of signing the Schedules was, against the background of all the preceding emails and texts. The reasons at paragraph 45 set out my conclusions in this regard.
43.
The Reasons already took account of the fact that not all of the schedules were signed.
44.
I cannot see the relevance of Mr Thompson no longer being employed by Red Rock.
45.
In my view it does not matter what label one attaches to the claimant's visit to Red Rock's premises on 7 August 2015. Whether it is called "assessment", "induction" or "registration", the effect is the same. The RREC was a sham and the SJT1 terms were binding.
46.
This ground appears to advance nothing new and I reject it for the reasons already given.
47.
The claimant appears to agree with paragraph 45.3 of the Reasons, in that he appears to accept that a reasonable person would understand the Schedules to have been intended to be read alongside something else. Where the claimant
parts company from the Reasons is in trying to ascertain what that "something else" would be. My view was that a reasonable person would think that the Schedules were to be read alongside the SJT1 terms. The claimant's opposing argument is that a reasonable person would think that the Schedules were a reference to "pulling out a client from a really bad spot, nothing else". I cannot see how any reasonable reader of the Schedules would interpret them in that way.
48.
This is one of a number of grounds that stands or falls on the question of who were the parties to Red Rock's standard terms of business. The claimant's case is that it was a tripartite contract. I disagree. It is noteworthy that the standard terms expressly excluded any rights of third parties. They were never expressly agreed by the claimant. The parties were stated to be Red Rock and the respondent. I cannot see why it would be necessary to imply that such a contract existed between the claimant and either of those parties. The terms clearly regulate the obligations of Red Rock and the respondent between each other and nobody else. The relationship between Red Rock and the claimant is capable of being explained by the SJT1 terms.
49.
The substitution clause in the SJT1 terms is consistent with a genuine right of substitution. The fact that Red Rock and/or the respondent had a limited right to satisfy themselves reasonably of the skills and experience of the substitute did not make the right of substitution meaningless. Nothing in *Croke* alters the position. *Croke* concerned the question of whether the worker had been introduced or supplied by a third person. The existence of a limited right of substitution was not incompatible with the notion that the third person had supplied the worker. There was no issue as to whether the third person had substantially determined the terms under which the worker had worked. In this case the question is who determined those terms. The relevance of the substitution clause is not to the question of supply but to who determined whether the right of substitution should exist or not. That term, in my view, was determined by the claimant on behalf of SJT1 Limited and not either the respondent or Red Rock.
50.
Part of my order for disclosure was for Red Rock disclose documents in relation to the right of drivers to send substitutes. It is not entirely clear what, if anything,
Red Rock disclosed in that regard. The claimant interprets Red Rock's disclosure (or lack of it) to mean that drivers in practice did not send substitutes. That is one possible interpretation. Another might be that Red Rock did not keep records when limited companies with whom they dealt sent alternative drivers to perform the services on their behalf. I am inclined to agree with the claimant that the former interpretation is more likely. Red Rock probably would have wished to keep sufficient documentation to demonstrate that, where a service provider did send along a substitute driver, they had undertaken some basic checks to satisfy themselves that the driver was suitably qualified. This finding only gets the claimant so far, however. He still has to bridge the gap between the lack of evidence of substitutes being used in practice and an intention on his part and that of Red Rock that the substitution clause in the SJT1 terms should be meaningless. The claimant insisted that the work he did should be governed by the SJT1 terms. For the reasons given in paragraph 47, my view was that the SJT1 terms were not a sham.
51.
I do not have a note of it being put to Mr Thompson that he only ever asked for the claimant to do the driving. The SMS exchanges contain a number of enquiries by Mr Thompson into the possibility of other drivers besides the claimant being able to cover the work. An exchange on 24 August 2015 is an example. One possible explanation is that the claimant was being asked for an alternative driver who could contract separately with Red Rock. Another is that SJT1 Limited was entitled to send that driver to do work on its behalf. Cross examination of Mr Thompson on that point would have helped establish the context. I cannot say that it is so incompatible with a right of substitution as to make it necessary in the interests of justice to revoke the judgment
52.
This ground relates to the Red Rock terms of business with the respondent. I have already expressed my views in this regard.
53.
I am not sure that I follow this ground. The Schedules to the SJT1 terms provided for weekly invoicing. Refusal of the claimant's request for monthly invoicing, if it occurred, would be consistent with the Schedules. The alternative would appear to be that the method of payment was to be governed by the RREC. It is unlikely that either party intended this eventuality. If that is what the parties intended, the claimant would not have submitted regular invoices on behalf of SJT1 Limited.
54.
I see no contradiction between the equipment provided for in the Schedules and the equipment actually supplied by the claimant.
55.
This is another ground that depends for its success on the Red Rock terms of business creating rights and obligations for the claimant. My view is that they do not.
56.
This is an argument that the claimant made at the preliminary hearing. The Reasons at paragraphs 45 and 46 explain why I did not agree with that argument.
57.
Clause 3 of Red Rock's standard terms of business provided:
"When making an introduction to the hirer [Red Rock] shall inform the hirer of the following …
that the agency worker has the experience, training, qualifications and any authorisations which the hirers considers are necessary … to perform the services."
58.
On the claimant's version, which I have no reason to disbelieve, Red Rock's
conduct (in forwarding the claimant's driving documents to the respondent) was consistent with Red Rock being bound by clause 3.
59.
Where this ground falls down is on the same point as before - the claimant was not a party to the standard terms. The fact that the respondent informed the claimant of Red Rock's actions (which happened to comply with clause 3) is, to my mind, beside the point.
60.
Part of the fee paid by the respondent to Red Rock included a payment in respect of liability insurance for the claimant's driving. The claimant makes a good point that the respondent appears to have given Red Rock something of a windfall, because the SJT1 terms already provided that SJT1 Limited would ensure that its drivers were adequately insured. One possible reason is that Red Rock did not seriously believe that the SJT1 Limited would really put insurance cover in place. Another is that they wished to adopt a "belt and braces" approach. It would be better for a driver to be doubly insured than not insured at all. Taking all of the circumstances into account, including those in Reasons, paragraph 47, my view remains that the SJT1 terms were not a sham and were genuinely intended by the claimant to be binding.
61.
For all of these reasons my conclusion is that the original judgment should be confirmed.
##
Employment Judge Horne
Date: 9 June 2017
## Judgment And Reasons Sent To The Parties On
4 July 2017 FOR THE TRIBUNAL OFFICE
| en |
1541-pdf | C ( 8 9 )
CABINET
## Memoranda
Date
B r i e f
D e s c r i p t i o n
S e r i a l
No.
17.1.89
GREEN PAPERS ON THE LEGAL PROFESSION
Memorandum by t h e
L o r d
C h a n c e l l o r
24.1.89
DRAFT WHITE PAPER ON THE REFORM OF THE NATIONAL HEALTH SERVICE Note by t h e
S e c r e t a r y o f
t h e C a b i n e t
14.2.89
ECONOMIC STRATEGY
Memorandum by t h e
C h a n c e l l o r o f t h e
E x c h e q u e r
15.2.89
REVIEW BODY REPORTS
1989
Note by t h e
S e c r e t a r y o f
t h e C a b i n e t
7.3.89
THE L E G I S L A T I V E
PROGRAMME 1989-9
0
Memorandum by t h e
L o r d
P r e s i d e n t
THIS DOCUMENT I S THE
PROPERTY OF
HER BRITANNIC MAJESTY'S GOVERNMENT
uary
1989
!• א^׳CABINET
## Green Papers On The Legal Profession
Memorandum by the Lord Chancellor Green Papers on
/>׳T^uary 1 ? 0 7
<- ״
©
^
. .a r l^ **r״nt**־incenc l e g a l profession'
fees.
Copies of the f r u i t s of my
ρ
profession ( E ( C P ) ( 8 8 Committee on Economic
ancing by authorised p r a c t i t i o n e r s and contingency
sed Green Papers are attached. These Papers are
colleagues on competition i n the l e g a l
i c h was
endorsed by the M i n i s t e r i a l Steering
y Sub-Committee on Competition P o l i c y ( E ( C P ) )
th meeting).
That paper flowed from my
f Lady Marre's committee ("A
Time f o r
e on the Future of the Legal Profession
f the Bar and
the Council of
the
Law
a i l e d to
address the fundamental
issues
ing the profession.
on 5 October 1988 ( E ( C
disappointment with the
r e
Change" - Report of the C*
presented to
the General
Co*
Society, J u l y 1988).
That r e
about organisation
and s t r u c t
## The Work And Organisation Of The
2.
I have t r i e d i n my proposed mainXjt'een Paper (The Work
and
Organisation of
the L e g a l Professionj£rS<6Aamine the s t r u c t u r e
and
p r a c t i c e s of the p r o f e s s i o n from f i r s t V^p^iples. The
Paper s t a t e s that
our o v e r a l l o b j e c t i v e i s t o
see that t h a ^ i u b l i c has
the best possible
access to
l e g a l s e r v i c e s and
that those s e r v i c e s are of the r i g h t q u a l i t y
for the p a r t i c u l a r needs of the c l i e n t .
I t sets competition and the
maintenance of standards as i t s
twin approaches to
achieving t h i s
objective.
I t t h e r e f o r e promotes the removal o / ^ i ^ e t r i c t i o n s on
competition, where these serve no u s e f u l purpose, wrfile seeking to ensure
that there are safeguards, which are suf
f
i c i e n t ττγ^־׳τκΚ
more, to
maintain
the standards of
conduct and
the i n t e g r i t y of
the\iej$aA^profession. The
Paper then seeks to
draw out the s t r u c t u r e which is^־jf/^uited to
give
e f f e c t to
these p r i n c i p l e s , against the background
ol
the public for l e g a l s e r v i c e s today.
3.
The
Paper accordingly s e t s out
possible
new arrange
education and
for the maintenance of
professional standar
regard education, q u a l i f i c a t i o n s , t r a i n i n g and
standards
as
i n ensuring the l e g a l p r o f e s s i o n i s best structured to
meet
the public. The
Paper proposes new arrangements i n respect ο
which should ensure t h a t a l l
those, but
only those, who are d
trained, s u i t a b l y experienced and subject to
codes of
cond
## ^^^Rofession
1/arious needs of re propgJ^Wv duct which^^V.
m a i n t a i n s t a n d a r d s , w i l l have r i g h t s of a u d i e n c e .
T h e r e a r e s e v e r a l
c o n s e q u e n t i a l p r o p o s a l s , p a r t i c u l a r l y i n r e s p e c t o f a c c e s s t o c o u n s e l , the
!ppointment o f Queen's C o u n s e l , and appointments t o t h e j u d i c i a r y ; and t h e
נer goes on t o h i g h l i g h t a number o f i s s u e s r e l a t i n g t o the
i n t e r n a l
j n i s a t i o n o f b a r r i s t e r s ' and s o l i c i t o r s ' p r a c t i c e s which I b e l i e v e
b e n e f i t from a thorough e x a m i n a t i o n .
The Paper a l s o proposes the
J:on o f t h e monopoly c u r r e n t l y e n j o y e d by s o l i c i t o r s on c a r r y i n g out
; n t i o u s probate work f o r r e w a r d .
CON
i ^ $ N G BY AUTHORISED PRACTITIONERS
4. ' TYi&£ff/&r& two s u p p o r t i n g Green P a p e r s .
The Paper,
on c o n v e y a n c i n g by
a u t h o r i s & A / p ^ a c t i t i o n e r s proposes a new and l e s s cumbersome system f o r
p e r m i t t i n g o c o n v e y a n c i n g by i n s t i t u t i o n s t h a n t h a t c o n t a i n e d i n s c h e d u l e
to t h e B u i l d i n g S o c i e t i e s A c t 1986, w h i l e a l s o s e e k i n g t o r e a s s u r e t h e
p u b l i c t h a t t h e Government remains committed t o t h e a v a i l a b i l i t y of a
c o u n t r y - w i d e n e t w e j ^ . o f l o c a l l e g a l s e r v i c e p r o v i d e r s .
I n s t i t u t i o n a l
c o n v e y a n c e r s w i l f l / D e ) V e q u i r e d t o f o l l o w and e n f o r c e a s t r i c t code o f
conduct, but w i l N ^ h ^ a ^ b e
a b l e t o use t h e i r own employed s o l i c i t o r s or
l i c e n s e d c o n v e y a n c e s
^ o f f e r c o n v e y a n c i n g s e r v i c e s t o the p u b l i c ,
i n c l u d i n g t h e i r
own
## Contingency Fees
s r e h e a r s e s the arguments f o r and a g a i n s t
5.
The Paper on c o n t i n g the i n t r o d u c t i o n of c o n t i n e x p e r i e n c e o f c o n t i n g e n c y t h a t i t would be a p p r o p r i a t e s p e c u l a t i v e a c t i o n s on the mod s u g g e s t s t h a t t h i s might be coup the c o s t s , p a y a b l e t o t h e l a w y e r however, o n l y s e e k s v i e w s on whethe t h i s and i n t r o d u c e c o n t i n g e n c y f e e s awarded, even i f c o n t r o l s were p l a c e f e e s c o u l d be used.
TIMETABLE
6.
The P a p e r s have been d r a f t e d w i t h the h e l p
w o r k i n g p a r t y c h a i r e d by one of my
o f f i c i a l s ; a
of c o l l e a g u e s ' comments on the d r a f t s .
I have
e a r l y a c t i o n i n mind.
I propose a t h r e e month c
p u b l i c a t i o n which w i l l l a s t t o t h e end of A p r i l t h
s h o r t , but i n my v i e w s u f f i c i e n t , p e r i o d .
I t s h o u l d
s u f f i c i e n t time t o t a k e f i r m d e c i s i o n s i n t h e l i g h t ο
Green P a p e r s and t o announce those d e c i s i o n s i n t h e f o
both Houses of P a r l i a m e n t b e f o r e t h e summer r e c e s s t h i s y
the
l i n e s e n v i s a g e d i n t h e Green P a p e r s w i l l r e q u i r e prima
I f we f o l l o w the t i m e t a b l e I have s e t o u t , the n e c e s s a r y le£
p r o v i s i o n s c o u l d be i n c l u d e d i n t h e C o u r t s and L e g a l S e r v i c e
p r o p o s i n g f o r the 1989-90 P a r l i a m e n t a r y s e s s i o n .
e s , e s p e c i a l l y i n t h e l i g h t of the mixed
e U n i t e d S t a t e s .
The Paper concludes
pduce i n t o E n g l a n d and Wales
a l r e a d y e x i s t s i n S c o t l a n d ;
and
h t h e a b i l i t y t o agree an u p l i f t on
the event o f s u c c e s s . The Paper,
I d be a p p r o p r i a t e t o go beyond
t o the amount of the damages
^ ^ ^ e x t e n t t o which c o n t i n g e n c y
i n t e r - d e p a r t m e n t a l
ave had the b e n e f i t
the Papers w i t h
on p e r i o d a f t e r
T h i s i s a
jus j u s t
ses t o the
statement to
hanges on
s l a t i o n .
e
pbp^
am
## Conclusion
I a c c o r d i n g l y i n v i t e c o l l e a g u e s t o agree t o the p u b l i c a t i o n o f t h e i r e e Green Papers w i t h t h e i n t e n t i o n t h a t we should r e a c h f i r m d e c i s i o n s
the p r o p o s a l s s e t
out i n t h e s e P a p e r s b e f o r e the summer r e c e s s t h i s
- I f
c o l l e a g u e s agree t o t h i s a p p r o a c h , I propose t h a t t h e s e
Papers
|rd be p u b l i s h e d by way o f a r e s p o n s e t o a w r i t t e n PQ on Wednesday
ry 1989.
1 ^ D e ^ j a r t m e n t
## Contingency Fees Contents
Chapter 1.
I n t r o d u c t i o n
Chapter 2.
Background
The p o s i t i o n i n England and Wales
The p o s i t i o n i n Scotland The p o s i t i o n i n the United S t a t e s of America
Chapter 3.
Arguments f o r and
a g a i n s t
the i n t r o d u c t i o n
of
contingency fees
The r i s k of a c o n f l i c t of
i n t e r e s t
P r o t e c t i o n by p r o f e s s i o n a l codes of conduct
The United S t a t e s experience
L e v e l s of damages
The r u l e t h a t c o s t s follow the event Other f a c t o r s i n the US system
Volume of l i t i g a t i o n
Access to j u s t i c e Allowing the consumer t o choose
Product
l i a b i l i t y
Summary
Chapter 4.
How a system of contingency fees might operate
A s p e c u l a t i v e b a s i s A r e s t r i c t e d contingency b a s i s
An u n r e s t r i c t e d contingency b a s i s
## Chapter 1 - Introduction
1.1
A contingency fee arrangement i s one whereby a
lawyer
agrees t h a t he
w i l l
accept
h i s c l i e n t ' s case on
the
b a s i s t h a t he r e c e i v e s no payment i f the case i s l o s t , but t h a t i f i t i s won,
he w i l l be paid some percentage
o r
s h a r e
of
t h e
award made by
the
c o u r t .
Such
agreements are unenforceable i n England and Wales and
s o l i c i t o r s
and
b a r r i s t e r s
a r e
p r o h i b i t e d
by
t h e i r
r e s p e c t i v e p r o f e s s i o n a l codes of conduct from entering i n t o them.
I n S c o t l a n d ,
s o l i c i t o r s may
agree
to
conduct l i t i g a t i o n on a ' s p e c u l a t i v e ' b a s i s , t h a t i s ,
they w i l l r e c e i v e t h e i r normal taxed c o s t s i f the case
i s won,
but nothing i f i t i s l o s t .
Contingency fees
are, however, allowed
i n many of the j u r i s d i c t i o n s of
the United S t a t e s of America, where the payment made to t h e
lawyer
o f t e n
r e l a t e s
t o the amount of damages
recovered by the c l i e n t .
1.2
The
use of contingency fees i n England and Wales has
always p r e v i o u s l y been r e s i s t e d .
The main arguments
a g a i n s t t h e i r use are t h a t : -
( a )
they may r e s u l t i n a c o n f l i c t of i n t e r e s t between lawyer and c l i e n t .
The lawyer w i l l have a d i r e c t f i n a n c i a l i n t e r e s t i n the outcome of the case and w i l l be u n a b l e t o g i v e the c l i e n t i m p a r t i a l advice.
T h i s may lead t o : -
( i )
the lawyer being tempted t o encourage the c l i e n t to s e t t l e e a r l y to avoid the e f f o r t involved i n f i g h t i n g the case;
( i i )
the lawyer concentrating on c a s e s with a
high nuisance value where the defendant
i s more l i k e l y t o be forced i n t o making an o f f e r to s e t t l e ; and
( i i i )
t h e
l a w y e r
b e i n g
tempted
t o
t r y to
enhance h i s c l i e n t ' s chances of success,
p e r h a p s
by
c o a c h i n g
w i t n e s s e s
o r
withholding inconvenient evidence;
and
(b)
experience
i n the USA
suggests
t h a t
contingency
f e e s : -
( i )
encourage
j u r i e s to award e x c e s s i v e l y
high damages; and
( i i )
encourage
l i t i g a n t s
t o proceed
w i t h
c a s e s with very
l i t t l e merit,
leading
to an explosion of l i t i g a t i o n .
1.3
Proponents of
the
i n t r o d u c t i o n of contingency
f e e s
d i s c o u n t
t h e s e arguments.
They point out
t h a t
the
dangers of
a
c o n f l i c t
of
i n t e r e s t
may
be
guarded
a g a i n s t
by
p r o p e r c o d e s
o f
c o n d u c t
and
t h r o u g h
r e s t r i c t i o n s on the amount a lawyer i s able to recover.
They a l s o note t h a t what a r e c o n s i d e r e d
t o be
the
u n d e s i r a b l e elements of the US
system go wider than
c o n t i n g e n c y
f e e s
and
have
t h e i r
r o o t s
i n some
fundamental d i f f e r e n c e s between the
j u r i s d i c t i o n s
i n
the US and t h a t i n England and Wales. These d i f f e r e n c e s
are explored more f u l l y i n paras 3.5 to 3.10 below.
1.4
Current Government p o l i c y i s , moreover, i n favour
of
d e r e g u l a t i o n . T h i s e n t a i l s the removal of
r e s t r i c t i o n s
and
t h e c o n s e q u e n t w i d e n i n g
o f
c h o i c e
f o r
those
providing a s e r v i c e and f o r the consumer, u n l e s s there
are c l e a r p u b l i c i n t e r e s t reasons t o t h e c o n t r a r y .
The Government a l s o b e l i e v e s t h a t the onus should be on those who want t o maintain a r e s t r i c t i o n t o j u s t i f y i t .
1.5
The arguments i n f a v o u r o f t h e i n t r o d u c t i o n of
contingency fees a r e t h a t : -
( a )
they would give i n d i v i d u a l s and o r g a n i s a t i o n s
who
do not q u a l i f y f o r l e g a l a i d , but who
cannot
support expensive l i t i g a t i o n , t h e opportunity of bringing t h e i r c l a i m s to
court;
(b)
t h e y
w o u l d
e n c o u r a g e a g r e a t e r
l e v e l o f
commitment on the
p a r t of
the
lawyer; and
( c )
they would encourage competition between lawyers,
as c l i e n t s would be able t o shop around between
s o l i c i t o r s
t o s e e k t h e most
a d v a n t a g e o u s
agreement.
1.6
The R o y a l Commission on L e g a l S e r v i c e s
1
(Benson)
considered whether contingency
f e e s should be allowed
i n England and Wales, but concluded t h a t any change
i n
the law
which gave lawyers a d i r e c t f i n a n c i a l i n t e r e s t
i n the
outcome of
a case was
not
i n
the
p u b l i c i n t e r e s t
on the
grounds t h a t i t
would endanger the
independence
of the
l e g a l p r o f e s s i o n . The Royal Commission b e l i e v e d
t h a t the system would not work w e l l here and would give r i s e to s e r i o u s d i s s a t i s f a c t i o n .
I t would b e n e f i t only a l i m i t e d c l a s s of l i t i g a n t s and would reward some lawyers d i s p r o p o r t i o n a t e l y . The Royal Commission on L e g a l S e r v i c e s i n S c o t l a n d
2
(Hughes) a l s o concluded
11979 Cmnd 7648 *1980 Cmnd 7846
t h a t c o n t i n g e n c y f e e s should not be Introduced i n Scotland.
They were p a r t i c u l a r l y concerned about the r i s k t h a t a c o n f l i c t of i n t e r e s t might a r i s e between a s o l i c i t o r and h i s c l i e n t where t h e r e was an agreement to a c t on a contingency b a s i s .
1.7
More r e c e n t l y , however, both the C i v i l J u s t i c e Review
3
and
t h e Marre R e p o r t
4
have recommended
t h a t
the
p o s s i b i l i t y of allowing contingency
fee
arrangements
between l a w y e r s and
t h e i r
c l i e n t s
s h o u l d
be
r e -
examined.
I n s u g g e s t i n g
t h a t
the
p r o h i b i t i o n
on
contingency f e e s should be open to re-examination the C i v i l J u s t i c e Review pointed out t h a t there have been
major advances i n r e g u l a t i o n p o l i c y , and t h a t i t could
be argued t h a t the r i s k s a r i s i n g out of a contingency
fee system could be c o n t r o l l e d by s p e c i f i c r e g u l a t i o n s
r a t h e r than a general ban.
1.8
I t i s a g a i n s t t h i s background t h a t the Government has
concluded t h a t f u r t h e r c o n s i d e r a t i o n should be given to
the q u e s t i o n whether
e x i s t i n g
b a r s t o t h e use
of
c o n t i n g e n c y
f e e s s h o u l d
be
l i f t e d .
T h i s
paper
explores the i s s u e s and examines p o s s i b l e mechanisms
for the c o n t r o l of contingency f e e s and the scope f o r
change.
1.9
The Government would welcome comments on the
i s s u e s
r a i s e d i n t h i s paper by 2 May 1989. Submissions should be addressed t o :
## Report Of The Review Body On C I V I L J U S T I C E 1988 Cm 394
"A Time f o r Change" - Report of the Committee on the Future of the Legal P r o f e s s i o n presented to the General C o u n c i l of the Bar and the Council of the Law Society, J u l y 1988 (Marre).
Room 412
Lord Chancellor'8 Department Trevelyan House 30 Great P e t e r S t r e e t London SW1P 2BY
## Chapter 2 - Background
The p o s i t i o n i n England and Wales
2.1
C o n t i n g e n c y f e e a r r a n g e m e n t s
h a v e
a l w a y s
been
unenforceable a t
common law
i n
England and Wales.
2.2
Maintenance (the g i v i n g of a s s i s t a n c e , encouragement or
support t o l i t i g a t i o n by a person who has
no l e g i t i m a t e
i n t e r e s t i n
the
l i t i g a t i o n nor
any
motive recognised by
the court as j u s t i f y i n g the
i n t e r f e r e n c e ) and champerty
(the
maintenance of an a c t i o n i n c o n s i d e r a t i o n of a
promise t o give the
maintainer a share i n
the
proceeds
or s u b j e c t matter of the a c t i o n ) were long
p r o h i b i t e d
a t common law. I t was considered t o
be a g a i n s t p u b l i c
p o l i c y t h a t l i t i g a t i o n should be promoted and supported
by
t h o s e
w i t h no i n t e r e s t i n i t .
B l a c k s t o n e ' s
Commentaries record t h a t "This i s
an offence
a g a i n s t
p u b l i c
j u s t i c e ,
a s i t k e e p s
a l i v e
s t r i f e and
contention, and p e r v e r t s the remedial
process of
law
i n t o an engine of oppression."
1
2.3
The C r i m i n a l Law
Act
1967
abolished t h e
o l d common
law
offences of
maintenance and
champerty. S e c t i o n 14(2) of
the same Act provides, however, t h a t a b o l i t i o n of the
common law
offences s h a l l not
a f f e c t any r u l e a s
t o the
c a s e s i n
which a c o n t r a c t i s
t o
be t r e a t e d a s contrary
to p u b l i c p o l i c y or otherwise
i l l e g a l . Agreements to
m a i n t a i n
an a c t i o n
t h e r e f o r e
remain
u n e n f o r c e a b l e
today.
1
Blackstone's Commentaries on the
Law
of England
(1897)
S.12
Agreements t o a c t on a contingency b a s i s a r e a l s o
2.4
r e s t r i c t e d
by s e c t i o n 59 of the S o l i c i t o r s Act 1974.
T h e y a r e p r o s c r i b e d
c o m p l e t e l y
i n r e s p e c t
o f
proceedings i n England and Wales by r u l e 8 of the S o l i c i t o r s P r a c t i c e Rules 1988. T h i s provides t h a t : -
" ( 1 ) A
s o l i c i t o r who i s r e t a i n e d
o r employed t o
prosecute any a c t i o n ,
s u i t or other contentious
proceeding
s h a l l not e n t e r i n t o any arrangement
to r e c e i v e a contingency f e e i n r e s p e c t of that
proceeding.
(2) Paragraph ( 1 )
of t h i s Rule s h a l l not apply to an
arrangement i n r e s p e c t of an a c t i o n ,
s u i t or
other contentious proceeding i n any country other
than England or Wales when such arrangement i s
made between a s o l i c i t o r and a person e n t i t l e d to
p r a c t i c e as a lawyer i n t h a t other country i n
r e s p e c t of t h a t proceeding."
The p o s i t i o n i n Scotland
2.5
I n Scotland t h e r e i s a long t r a d i t i o n of the lawyer
a c t i n g on a s p e c u l a t i v e b a s i s . The s p e c u l a t i v e
a c t i o n
i s u s u a l l y an a c t i o n f o r
damages f o r personal i n j u r y .
S o l i c i t o r and advocate undertake t o a c t
f o r
the pursuer
on the b a s i s t h a t they w i l l not be remunerated except i n the event of success and t h a t any c o s t s such as c o u r t f e e s w i l l be defrayed by the s o l i c i t o r . The c o u r t s i n Scotland have long recognised t h a t t h i s i s a p e r f e c t l y l e g i t i m a t e b a s i s on w h i c h t o c a r r y on l i t i g a t i o n and t h a t i t i s a reasonable way of enabling people who do not q u a l i f y f o r l e g a l a i d t o finance c o s t l y l i t i g a t i o n :
X Insurance Co ν A and Β 1936 SC.
239. Undertaking to a c t on a s p e c u l a t i v e b a s i s imposes on both advocate and s o l i c i t o r s p e c i a l d u t i e s t o s a t i s f y themselves t h a t there 18 a reasonable prospect of s u c c e s s .
I f a s o l i c i t o r w i s h e s t o i n s t r u c t an
advocate on a s p e c u l a t i v e b a s i s he must s t a t e the
f a c t
e x p l i c i t l y i n h i s i n s t r u c t i o n s and the advocate i s not bound to
accept.
2.6
I n the event of the case being s u c c e s s f u l the
s o l i c i t o r
and advocate are paid t h e i r normal f e e . I f the case i s
l o s t
t h e y
a r e
p a i d
n o t h i n g .
T r a d i t i o n a l l y
t h e
s p e c u l a t i v e
a c t i o n
i s u s e f u l to pursuers who
have a
reasonable case, but who
are not e l i g i b l e f o r l e g a l a i d
on
f i n a n c i a l grounds, such as small b u s i n e s s e s .
At
a
time when the arguments i n favour of contingency fees
as such were f i r m l y r e j e c t e d , the Royal Commission
on
L e g a l
S e r v i c e s
i n
S c o t l a n d
r e c o g n i z e d
t h a t
t h e
s p e c u l a t i v e a c t i o n played an important r o l e i n S c o t t i s h l a w .
The
v i e w
was,
however,
t a k e n
t h a t
s m a l l
businesses ought properly to obtain insurance to cover
t h e i r needs as p o t e n t i a l l i t i g a n t s .
2.7
An important feature of t h i s system i s t h a t i t o f f e r s
no
p r o t e c t i o n
to
the
pursuer a g a i n s t
the award
of
expenses i n the event of an u n s u c c e s s f u l outcome.
The
r u l e t h a t c o s t s follow the event i s thus not
a f f e c t e d
by
a scheme s u c h
a s
t h e
s p e c u l a t i v e
a c t i o n .
The
u n s u c c e s s f u l
pursuer remains l i a b l e f o r the c o s t s
of
h i s s u c c e s s f u l opponent.
The p o s i t i o n i n the United S t a t e s of America
2.8
When t h e
s u b j e c t
o f
c o n t i n g e n c y
f e e s
p r o p e r
i s
d i s c u s s e d
the
f i r s t
point
of r e f e r e n c e
i s i n v a r i a b l y
the
USA,
where the Supreme Court has
recognised
the
v a l i d i t y of contingency fee c o n t r a c t s s i n c e 1850.
There
i s , however, a v a r i e t y of schemes operating
w i t h i n
the
50 s t a t e s . Each s t a t e has i t s own
i n d i v i d u a l p r a c t i c e
and i t s own c o n t r o l s on contingency f e e agreements between lawyers and c l i e n t s . The S t a t e of Maine, f o r example, p r o h i b i t s contingency f e e s e n t i r e l y . I n New York, Michigan and Delaware, s t a t u t e has o v e r r u l e d i n i t i a l r e s t r i c t i o n s .
C o n t i n g e n c y f e e s a r e n o t p r o h i b i t e d i n New J e r s e y , A l a b a m a , O h i o and
C a l i f o r n i a , but they a r e s u b j e c t t o l i m i t a t i o n s and
c o n t r o l s .
2.9
Contingency fees a r e
most frequently used i n personal
i n j u r y cases where the p o t e n t i a l award ( o r
reward)
i s
g r e a t e s t . Some lawyers may a l s o agree t o a c t
on a
c o n t i n g e n c y
b a s i s i n o u t s t a n d i n g
debt, workmen's
compensation,
corporate
b u s i n e s s
p r a c t i c e , t a x a t i o n ,
land compensation and w i l l c o n t e s t s .
2.10
Despite a longstanding and general acceptance of
the
contingency b a s i s f o r remuneration, t h e U.S. c o u r t s have p r o s c r i b e d t h e use of t h e contingency f e e
i n
c e r t a i n
a r e a s on t h e grounds of p u b l i c p o l i c y . The
D i s c i p l i n a r y
R u l e s o f t h e Code o f P r o f e s s i o n a l
R e s p o n s i b i l i t y (CPR)
allow contingency f e e agreements
only i n c i v i l c a s e s , p r o h i b i t i n g t h e i r use
i n
c r i m i n a l
m a t t e r s . The E t h i c a l Considerations of the CPR a l s o
a d v i s e
t h a t contingency f e e s a r e not appropriate i n
domestic c a s e s .
2.11
Across the s t a t e s v a r i o u s methods a r e
used to f i x
the
fee recoverable by the lawyer. For
example, the lawyer
may be able t o a s s e s s h i s
f e e using a formula which
takes account of the s i z e of the award recovered. I n
other j u r i s d i c t i o n s the
"customary r a t e " may be applied
or the
r a t e may be f i x e d by the
Bar
A s s o c i a t i o n , by
the
court
( p a r t i c u l a r l y i n the case of l i t i g a n t s under a
d i s a b i l i t y ) , by s t a t u t e p r e s c r i b i n g t h e maximum fee
t h a t can
be recovered or
by an a d m i n i s t r a t i v e agency.
2.12
The most common b a s i s of charging f o r contingency
fees
i n
t h e USA
i s , however, a p e r c e n t a g e
o f t h e
sum
recovered. The
a c t u a l
f i g u r e can be c a l c u l a t e d i n a
number of ways. There may
be one
r a t e a p p l i c a b l e
to
the whole recovery; decreasing percentage r a t e s as the amount of the recovery i n c r e a s e s ; i n c r e a s i n g percentage
r a t e s
a s
t h e amount o f
t h e
r e c o v e r y
i n c r e a s e s ,
dependent on the expenditure of a d d i t i o n a l
s k i l l
and
e f f o r t ;
or a s e r i e s of
i n c r e a s i n g
percentage
r a t e s
applied to the recovery depending on the stage reached
i n the proceedings before the recovery. The agreement
w i l l a l s o s t i p u l a t e whether the c o s t s and expenses of
the a c t i o n are to be deducted from the recovery before
or a f t e r the lawyer's percentage i s computed.
2.13
No
j u r i s d i c t i o n other than those i n the United
S t a t e s
operates an e x t e n s i v e contingency fee system.
## Chapter 3 - Arguments For And Against The Introduction Of Contingency Fees The R I S K Of A C O N F L I C T Of I N T E R E S T
.
II.
The p r i n c i p l e s underlying the p r o h i b i t i o n i n England
3.1
and Wales of the use of contingency fees r e l a t e , as has been noted above, to the u n d e s i r a b i l i t y of anyone being allowed i n any way t o encourage or support l i t i g a t i o n i n which he does not have an i n t e r e s t .
I n p a r t i c u l a r the b e l i e f i s t h a t i t i s u n p r o f e s s i o n a l f o r a lawyer to be paid on a contingency b a s i s .
The main concern i s t h a t t o a c t on a contingency b a s i s would, f o r the lawyer, produce an unacceptable c o n f l i c t between h i s i n t e r e s t s and those of h i s c l i e n t and encourage him to behave i n an u n p r o f e s s i o n a l manner.
The c o n f l i c t i s s a i d t o a r i s e from the f a c t t h a t a
3.2
l a w y e r a c t i n g on a contingency b a s i s has a d i r e c t i n t e r e s t i n the outcome of the l i t i g a t i o n and t h a t t h i s w i l l prevent him from being an i m p a r t i a l a d v i s e r .
He w i l l be open t o t h e temptation of encouraging h i s c l i e n t t o accept an e a r l y (and perhaps u n n e c e s s a r i l y low) settlement i n order to avoid the high expense ( f o r the lawyer) of a t r i a l .
He may concentrate on c a s e s which have l i t t l e m e r i t but a high nuisance value, which w i l l cause the opponent t o s e t t l e even i f h i s chances of s u c c e s s i n any t r i a l would be good.
The lawyer's d i r e c t i n t e r e s t i n the outcome might lead him to indulge i n u n d e s i r a b l e p r a c t i c e s designed t o enhance h i s c l i e n t ' s c h a n c e s , such a s c o a c h i n g w i t n e s s e s , withholding inconvenient evidence or f a i l i n g t o c i t e l e g a l a u t h o r i t i e s which damage h i s c l i e n t ' s c a s e .
P r o t e c t i o n by p r o f e s s i o n a l codes of conduct
3.3
I t i s not c l e a r t h a t there i s any r e a l b a s i s to these
f e a r s .
C l i e n t s probably already expect t h e i r lawyers
t o be
f u l l y committed to the case and, s i n c e t h i s i s
what every c l i e n t 18 l i k e l y t o want, t o winning
that
c a s e .
Wanting s u c c e s s cannot
be wrong i n
i t s e l f ,
provided t h a t u n f a i r means a r e not used i n achieving
i t .
Any tendency on the p a r t of a lawyer to "improve"
h i s
c l i e n t ' s
c a s e ought t o be c a p a b l e of
c o n t r o l
through p r o f e s s i o n a l codes of conduct, and the judges
a l r e a d y
p o s s e s s t h e power t o p e n a l i s e
s o l i c i t o r s
p e r s o n a l l y i n c o s t s f o r any improper a c t or omission i n
t h e
c o n d u c t
o f
l i t i g a t i o n
1 .
Both
s i d e s
of
t h e
p r o f e s s i o n
a r e , i n England
and Wales,
s u b j e c t
to
s t r i n g e n t codes of p r a c t i c e which, i f broken, may l a y
the lawyer open to d i s c i p l i n a r y proceedings before h i s p r o f e s s i o n a l body which can r e s u l t i n h i s l o s i n g h i s
r i g h t t o p r a c t i s e .
To assume t h a t t h e f i n a n c i a l
i n t e r e s t introduced by a contingency fee w i l l o v e r r i d e
the s t a n d a r d s of an
i n d i v i d u a l i n r e l a t i o n t o h i s
c l i e n t i s to assume an unreasonably
low standard of
conduct
f o r the p r o f e s s i o n as a whole.
There i s no
evidence to j u s t i f y t h i s
assumption.
3.4
I t must
a l s o be remembered t h a t the v a l u e of
the
s u b j e c t matter of the lawyer's work can a l r e a d y be
r e l e v a n t to the f e e s charged.
Appendix 2 to Order 62
of the Rules of the Supreme Court s e t s out the f a c t o r s
which have t o be taken i n t o account i n the e x e r c i s e of
a t a x i n g o f f i c e r ' s
d i s c r e t i o n to f i x c o s t s .
These
f a c t o r s i n c l u d e , amongst others, "the importance of the
cause or matter to the c l i e n t " and "where money or property i s involved, i t s
amount o r v a l u e " .
The same
p r i n c i p l e s apply i n r e s p e c t of both contentious and non-contentious matters.
1
Order 62 r u l e 11 of the Rules of the Supreme Court.
## The United S T A T E S Experience
3.5
C r i t i c s
o f
c o n t i n g e n c y
f e e s
p o i n t
t o
t h e
U.S.
experience as f u r t h e r j u s t i f i c a t i o n f o r continuing
the
ban on t h e i r use i n England and Wales.
I t i s s a i d that
the e x i s t e n c e of contingency f e e s encourages j u r i e s i n c i v i l
c a s e s
t o award e x c e s s i v e l y h i g h damages
to
s u c c e s s f u l
p l a i n t i f f s , because i t i s known t h a t
the
balance
otherwise
l e f t a v a i l a b l e a f t e r the lawyer
has
taken h i s percentage (which may
be as high as 50%)
may
be
i n s u f f i c i e n t
to compensate the
p l a i n t i f f
f o r h i s
i n j u r i e s .
3.6
I t i s a l s o s a i d t h a t the a b i l i t y to sue on a contingent
b a s i s encourages the p u r s u i t of
low
merit
c a s e s
f o r
n u i s a n c e
v a l u e
a g a i n s t
o r g a n i s a t i o n s
w i t h
s i z e a b l e
a s s e t s ,
s u c h
a s
l a r g e companies
and
Government
departments. The combination of high l e g a l f e e s - which cannot,
a s
i n England
and
Wales, be
r e c o v e r e d
i n
c o s t s - and
the f e a r of p u n i t i v e damages i s s a i d
to
encourage companies i n p a r t i c u l a r t o s e t t l e out of court, whatever the merits of the case, to save time and money. T h i s causes an i n c r e a s e i n the insurance premiums which have to be paid by l a r g e o r g a n i s a t i o n s w h i c h a r e u l t i m a t e l y p a s s e d on t o t h e consumer.
F i n a l l y , i t i s s a i d t h a t the e x i s t e n c e of contingency
f e e s encourages the
d i s t a s t e f u l p r a c t i c e of
"bountyhunting" lawyers
c h a s i n g
those a f f e c t e d by
a major
d i s a s t e r .
## L E V E L S Of Damages
3.7
I t i s not
c l e a r to what extent the e x i s t e n c e of
the
j u r y i n U.S.
c i v i l a c t i o n s leads to e x c e s s i v e awards of
damages.
I t i s a t
l e a s t
l i k e l y ,
as
c r i t i c s
of
the
U.S. system suggest, t h a t knowledge of the e x i s t e n c e of a contingency f e e agreement and of the high percentages required by lawyers, w i l l induce c i v i l j u r i e s t o make e x c e s s i v e awards of damages.
The judge 18, however, able t o reduce the damages i n i t i a l l y awarded by the j u r y and i t may be t h a t e x c e p t i o n a l l y high awards r e s u l t where a judge f a i l s t o give adequate d i r e c t i o n s to t h e j u r y or where there 18 a d e s i r e t o make an example of a defendant i n circumstances g i v i n g r i s e to p u b l i c concern.
3.8
Contingency fees ( i f
introduced i n t o England and Wales)
would need t o operate w i t h i n the c u r r e n t system of
awarding damages.
Here, damages a r e almost
always
awarded by t h e judge, and o n l y i n c e r t a i n
l i m i t e d
c a t e g o r i e s of a c t i o n s (such as defamation), by a j u r y .
The
p r e s e n t method of awarding damages i s a staged
process i n v o l v i n g the determination of general damages
for
the type of i n j u r y s u f f e r e d and s p e c i a l damages
for
expenditure and l o s s t o the date of the hearing,
plus expected l o s s of income and f u t u r e expenses.
As
the sum of damages t o be paid remains w i t h i n the power of the judge according t o w e l l - e s t a b l i s h e d g u i d e l i n e s , the i n t r o d u c t i o n of contingency f e e s would appear to have l i t t l e bearing on the sums awarded.
J u s t as there i s no evidence t h a t the a p p l i c a t i o n of the s t a t u t o r y charge t o damages and property recovered by a l e g a l l y aided l i t i g a n t r e s u l t s i n i n c r e a s e d awards of damages,
8ο i t seems u n l i k e l y t h a t c u r r e n t p r a c t i c e s i n the awards of damages would change i n the event of the i n t r o d u c t i o n of contingency f e e s .
Even i f i t were thought t h a t t h e r e was a r i s k t h a t judges i n England and Wales would r e a c t i n the way i n which i t i s s a i d t h a t U.S. j u r i e s r e a c t , t h i s c o u l d be avoided by I n t r o d u c i n g a r u l e t h a t the f a c t t h a t the case was b e i n g r u n on a c o n t i n g e n c y b a s i s s h o u l d not be r e v e a l e d u n t i l a f t e r judgment had been given.
The approach could be s i m i l a r to t h a t taken on payment into court, the e x i s t e n c e of which i s not r e v e a l e d to the j u d g e u n t i l t h e c a s e h a s c o n c l u d e d and he i s c o n s i d e r i n g the award of c o s t s .
The r u l e t h a t " c o s t s follow the event"
3.9
There i s a f u r t h e r s i g n i f i c a n t d i f f e r e n c e between the
p o s i t i o n i n the United S t a t e s of America
and t h a t i n
England and Wales.
Here, the l o s i n g party i s u s u a l l y
required to pay the reasonable c o s t s of h i s s u c c e s s f u l o p p o n e n t .
T h e r e
i s no
s u c h
r u l e
i n t h e
U.S.
j u r i s d i c t i o n s which allow contingency
f e e s .
At
the
moment i n England and Wales, the r i s k of having to pay
c o s t s
i f u n s u c c e s s f u l c o u l d be
s a i d
t o a c t as
a
d e t e r r e n t on the
p l a i n t i f f .
He
has t o weigh very
c a r e f u l l y
the chances
of
l o s s before embarking
on
l i t i g a t i o n .
I f he i s able to avoid the r i s k of paying
h i s own
c o s t s under a contingency fee agreement,
he
may
be more w i l l i n g
than a t p r e s e n t t o embark
on
l i t i g a t i o n , even i f he c a n n o t a v o i d a p o t e n t i a l l i a b i l i t y to h i s s u c c e s s f u l opponent.
S i n c e h i s lawyer i s , however, l i k e l y to have conducted a very rigorous assessment of the prospects of s u c c e s s before t a k i n g a case on a contingency b a s i s , i t i s u n l i k e l y t h a t the i n t r o d u c t i o n of contingency fees, taken together with the r u l e t h a t c o s t s follow the event, would have any r e a l impact on the propensity t o l i t i g a t e .
C e r t a i n l y i t i s thought t h a t the e x i s t e n c e i n England and Wales of the r u l e t h a t c o s t s follow the event would continue t o have a d e t e r r e n t e f f e c t , even i f contingency fees were to be allowed.
Any change i n t h i s r u l e would c e r t a i n l y l e a v e defendants unprotected, and t h i s would not be d e s i r a b l e , given t h a t i t i s hard t o see how a defendant to an a c t i o n f o r damages could b e n e f i t from the i n t r o d u c t i o n of contingency f e e s .
Other f a c t o r s i n the US system
3.10
There a r e
s e v e r a l other
d i f f e r e n c e s between the
US
j u r i s d i c t i o n s and t h a t i n England and Wales which need
to
be
taken i n t o account. United S t a t e s
s o c i e t y i s
l i t i g i o u s on a s c a l e not known i n England and Wales. I n the USA,
t r e b l e damages may
be awarded i n
a n t i - t r u s t
cases and,
i n other
c a s e s , p u n i t i v e damages are
very
much more widely
used than they are
i n England
and
Wales. There i s , t h e r e f o r e , a much g r e a t e r i n c e n t i v e i n
t h e
USA
f o r
p l a i n t i f f s
t o pursue m a r g i n a l
c a s e s .
F i n a l l y , c l a s s a c t i o n s may
be brought i n the USA
and
t h i s ,
combined
w i t h
t h e
o t h e r
f a c t o r s
a l r e a d y
mentioned, encourages "bounty-hunting" by US
lawyers.
Volume of l i t i g a t i o n
3.11
I t i s i n any event unclear t h a t the mere e x i s t e n c e of
c o n t i n g e n c y
f e e s
would
l e a d
t o
an
u p s u r g e
i n
l i t i g a t i o n .
Quite apart from any
r e s t r a i n i n g e f f e c t
t h a t the c o s t s r u l e s might have, i t i s u n r e a l i s t i c to suppose t h a t lawyers, as p r o f e s s i o n a l people running businesses, would w i l l i n g l y take on c a s e s where there was v e r y l i t t l e r e a l p r o s p e c t of s u c c e s s .
The s o l i c i t o r i n v i t e d to a c t on a contingency b a s i s w i l l have to make a r i g o r o u s assessment of the l i k e l y chances of success and the p o s s i b l e amount of damages recoverable.
Cases which w i l l be d i f f i c u l t to prove, perhaps i n v o l v i n g the c o l l e c t i o n of h i g h l y complex e v i d e n c e , w i l l not be t a k e n on u n l e s s t h e l i k e l y rewards are high enough to reward the work t h a t w i l l have to be undertaken. T h i s assessment w i l l have to be undertaken i n more d e t a i l t h a n where t h e work i s undertaken on a time charge b a s i s . So although a l a r g e r s e c t i o n of the community would have a c c e s s t o a means of funding t h e i r l i t i g a t i o n , i n p r a c t i c e s o l i c i t o r s w i l l s i f t out the l e s s v i a b l e c a s e s a s they do a t present.
The contingency fee would, however, g i v e some people the opportunity of s e e k i n g l e g a l a d v i c e and would g i v e others the choice of how they pay f o r the s e r v i c e s of a s o l i c i t o r .
## Access To J U S T I C E
3.12
The main advantage of contingency f e e s i s t h a t
they
might g i v e
" s m a l l "
p l a i n t i f f s
the o p p o r t u n i t y
of
b r i n g i n g
t h e i r
c l a i m s t o c o u r t .
" S m a l l " i n
t h i s
context means those i n d i v i d u a l s and o r g a n i z a t i o n s who do not
r e c e i v e
l e g a l a i d but who
n e v e r t h e l e s s have
i n s u f f i c i e n t
means t o
s u p p o r t
t h e
f u l l
c o s t
of
e x p e n s i v e
l i t i g a t i o n
and
who
cannot
c a l l
on,
f o r
example, the support of a trade union or do not have
l e g a l expenses insurance.
Where t h e r e i s a d e s i r e or
need t o l i t i g a t e t h e r e i s a l s o a demand f o r the means
to do so.
Although l e g a l a i d i s widely a v a i l a b l e i n t h i s c o u n t r y f o r t h o s e whose means f a l l below p r e s c r i b e d l i m i t s , i t i s not a v a i l a b l e to those above those l i m i t s or i n r e s p e c t of c e r t a i n proceedings (such as proceedings before roost t r i b u n a l s ) .
There may be s e c t i o n s of the population whose means take them above the l e g a l a i d e l i g i b i l i t y l i m i t s who might wish to l i t i g a t e on a contingency b a s i s .
## Allowing The Consumer To Choose
3.13
Contingency
f e e arrangements
may
a l s o
be
s a i d
to
encourage a g r e a t e r l e v e l of commitment on the p a r t of
the lawyer, who would have a s t a k e i n the outcome of
t h e p r o c e e d i n g s
( i f i t c a n
be
a c c e p t e d
t h a t
the
e x i s t e n c e o f t h i s s t a k e d o e s n o t p r o d u c e an unacceptable c o n f l i c t of i n t e r e s t between the lawyer and h i s c l i e n t , nor p l a c e the lawyer's duty to the c o u r t i n j e o p a r d y ) .
I f c o n t i n g e n c y f e e s were introduced t h i s would be a f u r t h e r i n c e n t i v e f o r the c l i e n t to shop around a v a i l a b l e firms of s o l i c i t o r s , s i n c e the l i k e l y c o s t to him would be i n f l u e n c e d by the c h o i c e between c o n t i n g e n c y o r c o n v e n t i o n a l f e e arrangements, as w e l l as by the p r i c e s t r u c t u r e of d i f f e r e n t f i r m s .
T h i s w i l l p l a c e p r e s s u r e on the s o l i c i t o r to operate e f f i c i e n t l y , e s p e c i a l l y where the c o n t i n g e n c y b a s i s i s concerned, because the more
drawn-out the proceedings, the lower the l i k e l y reward
f o r the s o l i c i t o r and the l a t e r he w i l l get
i t .
3.14
Contingency fee arrangements would a l s o spread the r i s k
of l i t i g a t i o n f o r "small" l i t i g a n t s who can be expected
r a r e l y
to r e s o r t to the c o u r t s f o r the r e s o l u t i o n of
t h e i r d i s p u t e s .
The U.S.
system of contingency f e e s
s h i f t s the r i s k s of l i t i g a t i o n from the p l a i n t i f f to the lawyer.
The lawyer i s able to spread those
r i s k s
over a number of c a s e s and i s t h e r e f o r e i n a b e t t e r p o s i t i o n to bear them.
3.15
Removing the ban on contingency fees would enable the
c l i e n t who has a cause of a c t i o n to seek out the most advantageous agreement; and allowing t h i s freedom of
c h o i c e may alone be regarded as grounds f o r l i f t i n g the ban on contingency f e e s .
## Product L I A B I L I T Y
3.16
There
i s a
s i g n i f i c a n t
argument i n f a v o u r of
the
i n t r o d u c t i o n of contingency f e e s to be drawn from the
US
e x p e r i e n c e . I t i s one
of a number of
p o s s i b l e
measures which may
c o n f i d e n t l y be expected,
on
the
b a s i s of experience i n the United S t a t e s , to s h i f t the present balance of advantage between the l i t i g a n t s i n p r o d u c t l i a b i l i t y c a s e s . Such a s h i f t would make producers more conscious of t h e i r duty t o supply safe products, and induce them to give product s a f e t y higher p r i o r i t y i n the conduct of t h e i r b u s i n e s s . T h i s i n turn would t e n d t o r e d u c e t h e number and s e v e r i t y of i n j u r i e s s u f f e r e d by people as a r e s u l t of d e f e c t i v e and unsafe products. I n the United S t a t e s i n d u s t r y ' s i n c r e a s i n g concern with product s a f e t y , which now makes European producers appear by comparison to be backward, has been f u e l l e d by f e a r of adverse court judgements and awards of damages, r a t h e r than by r e s p e c t f o r the c r i m i n a l l a w w h i c h p r e s c r i b e s c e r t a i n s a f e t y requirements f o r c e r t a i n goods ( s u c h as e l e c t r i c a l equipment) or by any a l t r u i s t i c wish t h a t the r i s k of i n j u r i e s to consumers should be kept to a minimum.
## Summary
3.17
I t appears
t h a t e x i s t i n g
r e s t r i c t i o n s on the use of
c o n t i n g e n c y
f e e s developed
because
of the need
to
prevent i n t e r f e r e n c e i n the conduct of proceedings i n c o u r t and the encouragement of c a s e s which would not
otherwise have been brought.
The adoption of express
r e s t r i c t i o n s
i n t o
p r o f e s s i o n a l
codes
o f
p r a c t i c e
r e f l e c t s the d i s t a s t e with which lawyers, as members of
a p r o f e s s i o n a l group, viewed the use of such d e v i c e s as contingency f e e s .
3.18
Rules which were developed to prevent i n t e r f e r e n c e with
the a d m i n i s t r a t i o n of j u s t i c e i n feudal times may
no
longer be appropriate to the demands of the p u b l i c f o r
t h e d e l i v e r y of
e f f i c i e n t
and
b u s i n e s s - l i k e
l e g a l
s e r v i c e s .
There i s a c l a s s of l i t i g a n t s who may drop
c l a i m s because they are i n e l i g i b l e f o r l e g a l a i d but do
not b e l i e v e they have s u f f i c i e n t means to pursue t h e i r c l a i m s unaided, even though t h e y a r e r e a s o n a b l y c o n f i d e n t of s e c u r i n g damages. There a r e , however, w o r r i e s about the c o n f l i c t between the i n t e r e s t s of the c l i e n t and those of the s o l i c i t o r which, t o the extent t h a t t h e y do not c o i n c i d e i n a c o n t i n g e n c y f e e agreement, may put the c l i e n t i n a weaker and l e s s
advantageous p o s i t i o n .
3.19
S o l i c i t o r s and b a r r i s t e r s have had to respond to market
p r e s s u r e s i n other areas, such as a d v e r t i s i n g .
The ban
on the use of contingency
f e e s could be
completely
l i f t e d and a l l
r e s t r i c t i o n s removed. I t could be argued
t h a t
the
c l i e n t does not need any
p r o t e c t i o n when
e n t e r i n g i n t o an agreement with a s o l i c i t o r and that he
i s
p e r f e c t l y capable of shopping
around to seek
the
most advantageous terms.
The s o l i c i t o r does, however,
have g r e a t e r knowledge o f t h e
l i k e l y
c o s t s
i n a
p a r t i c u l a r s e t of circumstances.
He w i l l , t h e r e f o r e ,
be
i n a s t r o n g e r p o s i t i o n than the
c l i e n t
i n the
n e g o t i a t i o n s leading up to a contingency fee agreement.
I f
t h e
p a r t i e s
t o t h e agreement
a r e
i n
unequal
p o s i t i o n s when the bargain i s being s t r u c k then some
means may
be r e q u i r e d of
r e s t r i c t i n g
the terms
of
agreement t h a t the s o l i c i t o r might otherwise be able to
impose on the c l i e n t .
3.20
The l e s s o n s to be drawn from the U.S.
experience are
t h a t the u n r e s t r i c t e d use of contingency f e e s appears t o be
u n d e s i r a b l e .
The
d i f f e r e n c e s between
the
j u r i s d i c t i o n s
a r e , however,
s u c h
t h a t
t h e
w o r s t
excesses of U.S.
contingency fee arrangements
should
n o t
d e v e l o p
i n E n g l a n d
and
W a l e s .
I t i s t h e
combination
of such
f a c t o r s as a j u r y ' s
a b i l i t y
to
award damages, the absence of any r u l e t h a t the l o s e r
pays the winner's c o s t s , the p o s s i b i l i t y of p u n i t i v e
damages and the use of c l a s s a c t i o n s , none of which i s p r e s e n t i n England and Wales, which, taken together with the a b i l i t y to use contingency f e e s , g i v e s r i s e to the worries about the U.S. system. I t 18 worth bearing i n mind, moreover, t h a t the t i d e of opinion i n the U n i t e d S t a t e s of America i s t u r n i n g a g a i n s t the u n r e s t r i c t e d use of contingency fee agreements.
Some s t a t e s a r e now reviewing t h e i r p o l i c i e s i n t h i s area and c o n s i d e r i n g t i g h t e r c o n t r o l s on the way contingency fees are operated.
## Chapter 4 - H O W A System Of Contingency Fees Might Operate
A s p e c u l a t i v e b a s i s
4.1
The f i r s t , and perhaps most obvious, r e l a x a t i o n of
the
e x i s t i n g r e s t r i c t i o n s i n England and Wales would be
to
allow
s o l i c i t o r s and counsel to a c t
on a s p e c u l a t i v e
b a s i s , a s i s
already p o s s i b l e i n
Scotland.
A s o l i c i t o r
would be f r e e to agree with h i s c l i e n t t h a t he would
be paid only i f
the proceedings were s u c c e s s f u l . I f
they were, he would, however, recover
only h i s taxed
c o s t s and would not be e n t i t l e d to any share i n
the
damages or property recovered i n
the l i t i g a t i o n .
I f i t
were necessary t o i n s t r u c t counsel,
t h i s would
again
be on a s p e c u l a t i v e b a s i s , with counsel's
c l e r k being
informed of the b a s i s before the b r i e f was accepted.
Counsel would be f r e e to t u r n i t
down i f
he were not
prepared to a c t
on a s p e c u l a t i v e b a s i s .
I t
would
not,
however, be n e c e s s a r y t o obtain a f u l l
t a x a t i o n i n
every
case funded on a s p e c u l a t i v e b a s i s .
Taxation
would be required only where, as i s
the
case now, there
i s a dispute between s o l i c i t o r and c l i e n t as t o
the
amount t h a t the s o l i c i t o r can reasonably charge i n h i s
b i l l .
4.2
There does not appear t o be any s u b s t a n t i a l argument
a g a i n s t t h e i n t r o d u c t i o n o f s p e c u l a t i v e
a c t i o n s i n
England and Wales.
4.3
The s e c o n d
r e l a x a t i o n would be t o b u i l d on t h e
i n t r o d u c t i o n of t h e s p e c u l a t i v e a c t i o n . The obvious
shortcoming of such a c t i o n s , so f a r
a s s o l i c i t o r s and
c o u n s e l
a r e concerned, i s t h a t
t h e r e i s no e x t r a
element t o compensate them f o r the c a s e s which they u n d e r t a k e on a s p e c u l a t i v e
b a s i s b u t w h i c h a r e
u n s u c c e s s f u l .
They w i l l not, t h e r e f o r e , wish to c a r r y
too great a r i s k and w i l l be concerned t o
be as sure as
1
they can t h a t they accept s p e c u l a t i v e a c t i o n s only where the prospects of success a r e e x c e l l e n t . The f a c t t h a t lawyers a r e l i k e l y t o be p a r t i c u l a r l y cautious i n t h e i r judgment of prospective s p e c u l a t i v e a c t i o n s means t h a t t h e c l a s s of c a s e s which i s c a p a b l e o f being funded i n t h i s way i s l i k e l y t o be v e r y s m a l l .
I n f o r m a t i o n r e c e i v e d from the F a c u l t y of Advocates i n d i c a t e s t h a t a p p r o x i m a t e l y 1 % o f t h e F a c u l t y ' s c a s e l o a d i s conducted on a s p e c u l a t i v e b a s i s , t h e a c t i o n s undertaken being mainly r e p a r a t i o n c a s e s i n the Court of Session.
4.4
T h i s d i f f i c u l t y could be overcome by adding an element
to the taxed
c o s t s t o r e f l e c t the s p e c u l a t i v e nature
of t h e agreement and t o reward t h e s o l i c i t o r and
counsel f o r the r i s k t h a t they undertake i n e n t e r i n g
i n t o t h e a g r e e m e n t .
T h i s
might
a l s o
encourage
s o l i c i t o r s t o be more w i l l i n g t o consider a c t i n g on a
s p e c u l a t i v e b a s i s than they would be i f
a l l they could
recover was t h e i r taxed c o s t s .
4.5
The percentage t o be added t o the taxed c o s t s i n
the
event of success could be s u b j e c t only t o the agreement
of the s o l i c i t o r and h i s c l i e n t (which would
transform
the s p e c u l a t i v e a c t i o n i n t o something s i m i l a r t o the u n r e s t r i c t e d contingency f e e agreement known i n the USA, which i s
u n l i k e l y t o be i n
the p u b l i c i n t e r e s t ) or
i t
c o u l d
be a
f i x e d
p e r c e n t a g e
p r e s c r i b e d i n
l e g i s l a t i o n or i n a p r o f e s s i o n a l code of conduct. I t
might be appropriate t o f i x the percentage by reference
to the amount o f taxed c o s t s recoverable,
perhaps by
way of a small u p l i f t , r a t h e r than by r e f e r e n c e t o
the
amount of damages or property recovered.
T h i s would
mean t h a t the lawyer would not have a d i r e c t
f i n a n c i a l
i n t e r e s t i n the l e v e l of damages recovered. The
,taxed
c o s t s ' would not, i n these circumstances, be the amount
recoverable from the defendant, but the amount t h a t the l a w y e r c a n r e a s o n a b l y e x p e c t t o r e c o v e r from h i s c l i e n t .
T h i s approach might t h e r e f o r e a l s o minimise the r i s k of the a d d i t i o n a l
, s p e c u l a t i v e ' element being passed on t o the u n s u c c e s s f u l defendant.
Any tendency on the p a r t of the lawyer t o i n f l a t e h i s taxed c o s t s , and thus h i s percentage u p l i f t , could be c o n t r o l l e d through the normal process of t a x a t i o n .
## A R E S T R I C T E D Contingency B A S I S
4.6
The next r e l a x a t i o n , which could be i n a d d i t i o n to
the
i n t r o d u c t i o n of s p e c u l a t i v e a c t i o n s , would be to allow lawyers and l i t i g a n t s t o agree contingency fees, but on a
r e s t r i c t e d
b a s i s .
The idea here would be t h a t a
lawyer could agree to be remunerated on a 'no win no
fee'
b a s i s , recovering i n the event of s u c c e s s some
p r o p o r t i o n o f t h e amount o f damages o r p r o p e r t y
recovered.
The f e e could be based on a percentage of
the damages recovered, and t h a t percentage would be
dependent on the stage the proceedings had reached when
the c a s e was concluded; f o r
example, where the case i s
s e t t l e d : p r i o r t o proceedings being i s s u e d , 25%; a f t e r
proceedings have commenced but before t r i a l , 33 1/3%;
during o r a f t e r t r i a l , 40%; on appeal, 50%.
Another method based on p e r c e n t a g e s would be t o f i x t h e percentage fee i n r e l a t i o n t o the s c a l e of the damages recovered: the l a r g e r the sum recovered, the s m a l l e r the percentage charged.
D i f f e r e n t methods of f i x i n g the f e e might be a p p r o p r i a t e t o d i f f e r e n t types of a c t i o n .
Allowing a percentage dependent on the stage r e a c h e d might, f o r example, be a p p r o p r i a t e t o a personal i n j u r y case, whereas a s c a l e r e l a t i n g t o the amount recovered might be more s u i t a b l e i n outstanding debt c a s e s .
4.7
R e s t r i c t i o n s on the amounts r e c o v e r a b l e and
on
the
s t a g e
a t which
t h e y
c o u l d
be
r e c o v e r e d
c o u l d
be
contained i n primary or secondary
l e g i s l a t i o n promoted
by the Government or a l t e r n a t i v e l y i n codes of conduct
produced by appropriate p r o f e s s i o n a l bodies. (Even i f
c o n t a i n e d
i n primary
o r secondary
l e g i s l a t i o n ,
the
r e s t r i c t i o n s might need to be r e i n f o r c e d by
s p e c i f i c
p r o v i s i o n s i n codes of conduct).
4.8
Even though l e g i s l a t i o n or a code could be used as the
primary means of introducing r e s t r i c t i o n s on the terms which a lawyer might otherwise wish to
i n s e r t
i n a
contingency
fee agreement, i t might a l s o be necessary
t o a l l o w the
c l i e n t
(and even p o s s i b l y the
lawyer)
a c c e s s to t a x a t i o n i n c a s e s where i t was s a i d t h a t the
l e v e l of the f e e was
not
a
f a i r
r e f l e c t i o n of
the
amount of work undertaken on the c l i e n t ' s behalf.
The
p r o v i s i o n s of the S o l i c i t o r s Act 1974
r e l a t i n g to the
c o n t r o l
o f
c o n t e n t i o u s
b u s i n e s s agreements
c o u l d
provide a s u i t a b l e model f o r t h i s .
The High Court has
j u r i s d i c t i o n under s e c t i o n 61 of the 1974 Act to s e t a s i d e a contentious business agreement i f i t i s of the opinion t h a t the agreement i s i n any r e s p e c t u n f a i r and unreasonable.
Where such an agreement i s s e t a s i d e the c o s t s covered by i t a r e taxed as i f i t had never been made.
Powers s i m i l a r to t h i s could, i f i t were thought to be i n the p u b l i c i n t e r e s t , provide a longs t o p a g a i n s t t h e r i s k t h a t t h e p a r t i c u l a r circumstances of an i n d i v i d u a l case might render even the r e s t r i c t e d r a t e of contingency fee unacceptably l a r g e , e s p e c i a l l y where i t i s c o n s i d e r e d t h a t the l a w y e r h a s not i n t h e e v e n t made a s i g n i f i c a n t c o n t r i b u t i o n to the success of the a c t i o n .
An u n r e s t r i c t e d contingency b a s i s
1.9
The u l t i m a t e r e l a x a t i o n would be t o remove a l l e x i s t i n g
r e s t r i c t i o n s on the use of contingency f e e s and put nothing i n t h e i r p l a c e .
I t 18 considered t h a t
t h i s
would not be i n the p u b l i c i n t e r e s t .
The l i t i g a n t i s
i n a weaker p o s i t i o n than the lawyer i n
n e g o t i a t i n g
the
terms of a contingency f e e
agreement s i n c e he does not
have the l e t t e r ' s expert knowledge of the l i k e l y c o s t s
of
l e g a l
p r o c e e d i n g s .
I t would be i n a p p r o p r i a t e ,
t h e r e f o r e , t o allow the lawyer t o r e q u i r e payment of unreasonably high f e e s , when the l i t i g a n t ' s d e s i r e t o
get h i s
c a s e on and h i s
ignorance of c o s t s matters may
together mean t h a t he i s unable t o reach a balanced
view of t h e l i k e l y
advantages
and disadvantages of
l i t i g a t i n g on a contingency b a s i s .
Legal a i d
4.10
The arguments i n favour o f some r e l a x a t i o n o f t h e
e x i s t i n g
r e s t r i c t i o n s on the use of contingency f e e s
are o f t e n put forward as a consequence of concern about
the p o s i t i o n of those would-be l i t i g a n t s whose means
take them out
of the scope of the l e g a l a i d
scheme, but
who a r e n e v e r t h e l e s s unable t o fund t h e c o s t s of
l i t i g a t i o n . I t
i s
f o r
c o n s i d e r a t i o n
whether the a b i l i t y
t o use contingency f e e s , i f
these a r e permitted, i s t o
be a v a i l a b l e r e g a r d l e s s of whether t h e l i t i g a n t would
a l s o q u a l i f y f o r
l e g a l a i d .
4.11
Lawyers who a c t
under l e g a l a i d c e r t i f i c a t e s a r e paid
out of the l e g a l a i d fund on what i s known as the
'standard b a s i s ' .
A lawyer being paid d i r e c t l y by a
p r i v a t e
c l i e n t
w i l l however, c l a i m h i s f e e s on the
higher 'indemnity b a s i s ' .
There are, i t
i s
s a i d , some
lawyers who a r e u n w i l l i n g t o a c t
on a l e g a l a i d b a s i s .
I t i s p o s s i b l e t h a t these lawyers would, however, be
prepared t o a c t
on a contingency b a s i s .
A l i t i g a n t who
might otherwise q u a l i f y f o r l e g a l a i d might, t h e r e f o r e , p r e f e r to i n s t r u c t the lawyer of h i s c h o i c e to a c t on a contingency b a s i s .
4.12
There are, however, advantages enjoyed by the
l e g a l l y
aided
l i t i g a n t which
he would l o s e i f he chose
to
i n s t r u c t h i s lawyer on a contingency fee b a s i s .
I t i s
t r u e t h a t the l e g a l l y aided l i t i g a n t ,
i f s u c c e s s f u l ,
has to meet out of the damages awarded to him the sums p a i d out of the
l e g a l a i d fund on h i s behalf, but
although t h e r e i s perhaps
an analogy
here with the
contingency
fee arrangement, i t must be remembered
t h a t the l e g a l l y aided lawyer w i l l be paid by the fund
on the standard b a s i s , which might amount to a s m a l l e r
sum
than would be payable under a contingency
fee
agreement.
The l e g a l l y a s s i s t e d l i t i g a n t a l s o r e c e i v e s a c e r t a i n p r o t e c t i o n a g a i n s t h a v i n g t o pay h i s
opponent's c o s t s i n the event of the l a t t e r יs s u c c e s s .
A contingency fee agreement would be more favourable o n l y i f t h e l a w y e r had a l s o a g r e e d t o pay t h e
opponent's c o s t s i n the event of f a i l u r e .
There i s ,
t h e r e f o r e , a r i s k of a c o n f l i c t of i n t e r e s t a r i s i n g where the c l i e n t q u a l i f i e s f o r l e g a l a i d but the s o l i c i t o r would p r e f e r t o a c t on a contingency fee b a s i s .
I n some circumstances the c l i e n t may, however, p r e f e r to proceed on a contingency b a s i s , f o r example where a high l e g a l a i d c o n t r i b u t i o n i s r e q u i r e d . From the c l i e n t ' s point of view a contingency fee agreement would d e f e r the payment of c o s t s to the end of the c a s e .
I t i s f o r c o n s i d e r a t i o n , t h e r e f o r e , how any arrangements t o i n t r o d u c e c o n t i n g e n c y f e e s should operate alongside the l e g a l a i d scheme.
The judges
Consideration
has already been given i n t h i s paper to
4.13
the question whether the e x i s t e n c e of contingency fee agreements would encourage judges to enhance awards of c o s t s
t o
s u c c e s s f u l
p l a i n t i f f s .
I t i s not
c l e a r
whether there i s a r e a l danger of enhanced awards.
I f
t h e r e i s , the s o l u t i o n would be, probably through r u l e s of court, to provide t h a t the t r i a l judge was not to be
t o l d whether the p l a i n t i f f ' s lawyers were a c t i n g on a contingency b a s i s .
The c o s t s r u l e
4.14
One
s i g n i f i c a n t
d i f f e r e n c e
b e t w e e n
t h e
U . S .
j u r i s d i c t i o n s and the p o s i t i o n i n England and Wales i s
t h a t
l i t i g a n t s here a r e ,
i f u n s u c c e s s f u l ,
normally
obliged
to pay
t h e i r opponent's c o s t s .
I t i s l i k e l y
t h a t
the
e x i s t e n c e
of
t h i s
r u l e a l r e a d y
a c t s as
a
d e t e r r e n t a g a i n s t would-be p l a i n t i f f s with
questionable
c a u s e s
o f
a c t i o n .
I t i s t h e r e f o r e
not
thought
d e s i r a b l e t h a t i t should be removed, even i f some form of
s p e c u l a t i v e or contingency fee i s to be
allowed.
Given t h a t the i n t r o d u c t i o n of contingency f e e s could be of b e n e f i t only t o p l a i n t i f f s , i t would not be a p p r o p r i a t e to remove the p r o t e c t i o n the c o s t s r u l e a f f o r d s d e f e n d a n t s a g a i n s t b e i n g t h e v i c t i m s of q u e s t i o n a b l e proceedings.
The defendant to a c i v i l a c t i o n c a n n o t s e n s i b l y r e f u s e t o t a k e p a r t i n proceedings brought a g a i n s t him and may not e a s i l y be able to defend them as a l i t i g a n t i n person.
The very f a c t , however, t h a t he i s a defendant means
(except where t h e r e i s the p o s s i b i l i t y of a counter-claim)
t h a t he w i l l not have access to contingency fees, s i n c e s u c c e s s f o r him means only t h a t he has avoided a claim for damages.
## Which Proceedings 4.15 There I S No Prospect Of Lawyers Wishing To A C T On A
c o n t i n g e n c y b a s i s i n c r i m i n a l p r o c e e d i n g s
(97% of d e f e n d a n t s i n t h e Crown Court a r e , I n any event, l e g a l l y a i d e d ) , but even i f any were, i t i s thought t h a t t h i s would be i n a p p r o p r i a t e on grounds of p u b l i c p o l i c y .
Comments a r e i n v i t e d on whether there are o t h e r t y p e s o f p r o c e e d i n g s i n r e s p e c t o f which s p e c u l a t i v e o r c o n t i n g e n c y f u n d i n g w o u l d be inappropriate.
## Chapter 5 - Conclusion
5.1
Examination of the arguments and i s s u e s a r i s i n g i n the
debate on the i n t r o d u c t i o n
of contingency f e e s suggests
t h a t i t i s time to consider a t l e a s t some r e l a x a t i o n of
e x i s t i n g
r e s t r i c t i o n s .
The experience i n the United
S t a t e s of America,
however, g i v e s pause f o r thought.
C o n t i n g e n c y f e e s a r e a r g u e d t o h a v e e n c o u r a g e d l i t i g a t i o n t h e r e ; and they have c e r t a i n l y Imposed
s i g n i f i c a n t
c o s t s
on
b u s i n e s s i n t h e USA.
These
experiences need to be balanced a g a i n s t the argument
t h a t
c o n t i n g e n c y
f e e s make
j u s t i c e more
r e a d i l y
a v a i l a b l e t o a wider s e c t i o n of the population than i s
the case i n England and Wales.
5.2
C l o s e r examination of the systems operating i n England
and Wales and
i n the USA
suggests t h a t
t h e r e a r e
d i f f e r e n c e s which may go a long way towards e x p l a i n i n g
t h e frequency of
l i t i g a t i o n
and
the high
l e v e l
of
awards of damages i n the USA.
I f contingency f e e s were
introduced here under the c u r r e n t r u l e s of court, with judges and not j u r i e s determining the amount of damages
awarded, and w i t h the r u l e
t h a t
" c o s t s f o l l o w the
event" operating as a t present, i t
might be p o s s i b l e to
avoid the adverse e f f e c t s of contingency f e e s as they p r e s e n t l y operate i n the USA.
5.3
The Government b e l i e v e s
t h a t i t i s a p p r o p r i a t e to
c o n s i d e r t h e i n t r o d u c t i o n i n England
and Wales of
s p e c u l a t i v e a c t i o n s on the S c o t t i s h model.
I t i s f o r
c o n s i d e r a t i o n a l s o whether t h i s should be coupled with
the a b i l i t y to agree an u p l i f t i n the c o s t s , payable to the lawyer i n the event of s u c c e s s .
T h i s would o f f e r
an
i n c e n t i v e
t o l a w y e r s t o u n d e r t a k e
s p e c u l a t i v e
a c t i o n s .
T h i s would be a s m a l l , p r e s c r i b e d percentage
of the c o s t s , which was unrelated to the amount of the
damages or property recovered i n the a c t i o n . A v a r i a n t on t h i s could be to allow the lawyer t o recover instead a s m a l l , p r e s c r i b e d p e r c e n t a g e o f t h e amount of damages.
5.4
The Government does not b e l i e v e t h a t i t i s appropriate
t o remove a l l e x i s t i n g
r e s t r i c t i o n s on the use
of
c o n t i n g e n c y
f e e s .
The
Government does, however,
i n v i t e views on the proposals i n the previous paragraph
and
on
the q u e s t i o n whether a
r e s t r i c t e d
form of
c o n t i n g e n c y
f e e g o i n g
beyond
t h a t
s u g g e s t e d
i n
paragraph 5.3
should be
i n t r o d u c e d i n England
and
Wales. There
i s no
o b j e c t i v e evidence
a v a i l a b l e
to
support
the c o n t e n t i o n t h a t
the i n t r o d u c t i o n of a
contingency fee system i n England and Wales would alone
l e a d
t o
t h e problems p e r c e i v e d i n t h e USA.
The
Government would, however, welcome comments on
t h i s
i s s u e .
## The Work And Organisation Of The Legal P R O F E S S I O N Contents
Chapter 1
The purpose of the Green Paper
Access to l e g a l
s e r v i c e s
E f f i c i e n c y of
s e r v i c e
Q u a l i t y of
s e r v i c e
Competition and standards
General competition p o l i c y
Competition and the l e g a l p r o f e s s i o n
Chapter 2
The p r o v i s i o n of l e g a l s e r v i c e s today
D e f i n i t i o n of l e g a l
s e r v i c e s
Providers of l e g a l
s e r v i c e s
Areas of use of l e g a l
s e r v i c e s
Funding of l e g a l
s e r v i c e s
Chapter 3
L e g a l
e d u c a t i o n
a n d
t h e
g r o w t h
o f
s p e c i a l i s a t i o n
The o b j e c t i v e of l e g a l education
| | | The | growing | importance | of s p e c i a l i s a t i o n |
|-----------------------|-----------------------|-----------------------|------------|---------------|------------------------------------|
| E x i s t i n g | s p e c i a l i s t | panels | of | | s o l i c i t o r s |
| Merits | of | s p e c i a l i s t | panels | | |
| I n c r e a s i n g | the | supply | of | | s p e c i a l i s t s |
| A d v e r t i s i n g | of | s p e c i a l i s m s | | | |
| E x c l u s i v e | s p e c i a l i s m s | | | | |
| Recognition | of | s p e c i a l i s m s | | | |
## The Lord C H A N C E L L O R ' S Advisory Committee On Legal Education And Conduct
The maintenance of p r o f e s s i o n a l standards
Chapter 4
Standards of conduct
Complaints and d i s c i p l i n e
Legal S e r v i c e s Ombudsman
Advocacy
Chapter 5
The c a s e f o r r e s t r i c t i n g r i g h t s of audience Obtaining r i g h t s of audience
Lay advocacy
Employed lawyers Role of the Advisory Committee
Advocacy c e r t i f i c a t e s
T r a n s i t i o n a l arrangements
Chapter 6
Immunity
from
a c t i o n s
i n n e g l i g e n c e i n
advocacy work
Attendance on counsel
Chapter 7
D i r e c t a c c e s s t o counsel
Chapter 8
C o n t r a c t u a l r e l a t i o n s D i r e c t a c c e s s
Chapter 9
Queen's Counsel
The j u d i c i a r y
Chapter 10
B a s i s of j u d i c i a l
appointments
The House of Lords Supreme Court Judges
Masters and R e g i s t r a r s
Chapter 11
B a r r i s t e r s p r a c t i c e s
P u p i l l a g e s
Tenancies
Chambers
P a r t n e r s h i p s
Incorporation
C l e r k s
Chapter 12
M u l t i - d i s c i p l i n a r y
and
m u l t i - n a t i o n a l
p r a c t i c e s
M u l t i - d i s c i p l i n a r y p r a c t i c e s M u l t i - n a t i o n a l p r a c t i c e s
Chapter 13
A d v e r t i s i n g and
information
Chapter 14
Probate
## Annexes
A
Competition i n the EC
Β
The p r o v i d e r s of l e g a l s e r v i c e s
C
Academic and v o c a t i o n a l t r a i n i n g
D
Present arrangements of the Bar
and the Law S o c i e t y f o r handling
complaints
Ε
Rights of audience i n the c o u r t s
of England and Wales
## Chapter 1 ־The Purpose Of The Green Paper Objectives
1.1
Access t o l e g a l s e r v i c e s
The Government's o v e r a l l o b j e c t i v e i n p u b l i s h i n g
t h i s
Green Paper i s t o see t h a t the p u b l i c has t h e best
p o s s i b l e
a c c e s s t o l e g a l s e r v i c e s and t h a t
t h o s e
s e r v i c e s a r e of the r i g h t q u a l i t y f o r the p a r t i c u l a r
needs of the c l i e n t . The Government b e l i e v e s t h a t
t h i s
i s best achieved by ensuring
t h a t : -
( a ) a market providing
l e g a l s e r v i c e s operates f r e e l y
and
e f f i c i e n t l y so as to give c l i e n t s the widest
p o s s i b l e choice of c o s t e f f e c t i v e s e r v i c e s ; and
(b)
the p u b l i c can be c e r t a i n t h a t those s e r v i c e s a r e
being supplied by people who have the necessary
e x p e r t i s e t o provide a s e r v i c e i n the area i n question.
1.2
E f f i c i e n c y of s e r v i c e
The Government b e l i e v e s t h a t f r e e competition between
the
p r o v i d e r s
of l e g a l s e r v i c e s
w i l l ,
through the
d i s c i p l i n e of the market, ensure t h a t the p u b l i c i s
provided with the most e f f i c i e n t and e f f e c t i v e network of
l e g a l
s e r v i c e s a t t h e most e c o n o m i c a l
p r i c e ,
although the Government b e l i e v e s t h a t the p u b l i c must
a l s o be assured of the competence of the providers of those s e r v i c e s .
1.3
Q u a l i t y of s e r v i c e
The
Government
b e l i e v e s
t h a t t h e key element i n
ensuring an adequate q u a l i t y of s e r v i c e to the p u b l i c
i s t h e i d e n t i f i c a t i o n o f t h e e d u c a t i o n ,
t r a i n i n g ,
q u a l i f i c a t i o n s and standards of competence and conduct
which are appropriate f o r those who p r a c t i s e i n each a r e a of l e g a l s e r v i c e s .
The e x p e r t i s e r e q u i r e d of p r a c t i t i o n e r s should be n e i t h e r l e s s nor more than the needs of the work demand, so as to ensure both t h a t the p u b l i c can be s a t i s f i e d as t o the competence of the p r o v i d e r s of l e g a l s e r v i c e s and a t the same time t h a t they can choose from the l a r g e s t p o s s i b l e number and spread of such competent p r o v i d e r s . Depending on the area of l e g a l s e r v i c e s i n question, such p r o v i d e r s may or may not need to be lawyers.
## Competition And Standards
1.4
Competition does not obviate the need to maintain the
standards and
i n t e g r i t y of the
l e g a l p r o f e s s i o n i n
order to safeguard the p u b l i c . Safeguarding the p u b l i c
i n t e r e s t i s p a r t i c u l a r l y important i n r e l a t i o n to the l e g a l p r o f e s s i o n , e s p e c i a l l y with regard to work i n the
c o u r t s .
The
q u e s t i o n
i s what
b a l a n c e
b e t w e e n
competition and r e g u l a t i o n i s most l i k e l y to achieve
t h i s e f f e c t . The onus should be on those who
support
r e s t r i c t i o n s as a way of achieving standards to j u s t i f y
them.
The Organisation f o r Economic Co-operation and Development's r e p o r t ,
"Competition P o l i c y and the P r o f e s s i o n s " , published i n 1985, concluded:-
" E x p e r i e n c e i n d i c a t e s t h a t a c t i o n s to promote competition i n some p r o f e s s i o n s do not n e c e s s a r i l y j e o p a r d i s e the q u a l i t y of the s e r v i c e s provided, and t h a t many t r a d i t i o n a l p r a c t i c e s e x c e s s i v e l y r e s t r a i n competition and may promote the i n t e r e s t s of the p r o f e s s i o n and not the p u b l i c . "
One of the purposes of t h i s Green Paper i s to explore t h e a p p r o p r i a t e b a l a n c e i n r e s p e c t of t h e l e g a l p r o f e s s i o n ; and i t i s a g a i n s t these c r i t e r i a t h a t the e x i s t i n g p r a c t i c e s and s t r u c t u r e of the p r o f e s s i o n should be judged.
## General Competition P O L I C Y
1.5
The promotion of competition i s one of the Government's
fundamental p o l i c i e s . I t i s c e n t r a l to the
achievement
of some of the Government's most important
o b j e c t i v e s .
C o m p e t i t i o n
improves
t h e
p r o v i s i o n o f goods
and
s e r v i c e s i n the i n t e r e s t s of i n d u s t r y , commerce, the
p r o f e s s i o n s and the consumer to s t i m u l a t e an e f f i c i e n t ,
wealth-producing
and growing economy which can c r e a t e
the p r o s p e r i t y e s s e n t i a l to meet the needs and demands of the community.
1.6
When e f f e c t i v e competition i s l a c k i n g , c l i e n t s ' choice
i s
a r t i f i c i a l l y
c o n s t r a i n e d . When t h e r e i s e f f e c t i v e
competition, a customer i s able to choose the goods or
s e r v i c e s he needs according to what r e p r e s e n t s best
v a l u e i n h i s c i r c u m s t a n c e s i n terms of q u a l i t y
and
p r i c e . S u p p l i e r s have to compete on p r i c e ; and t h i s i n
t u r n encourages g r e a t e r e f f i c i e n c y and the development
of new
markets.
P r a c t i c e s which d i s t o r t or
r e s t r i c t
c o m p e t i t i o n
c a n
d e p r i v e
t h e
c u s t o m e r
o f
t h e s e
b e n e f i t s .
I n p a r t i c u l a r
c l i e n t s need t o know what
s e r v i c e s are a v a i l a b l e i n order to make an
informed
choice between them.
1.7
Both the i n c r e a s e d emphasis on allowing market f o r c e s
to determine the a l l o c a t i o n of resources i n the economy and the changing nature of the market f o r p r o f e s s i o n a l s e r v i c e s prompt a re-examination of the s p e c i a l s t a t u s
of the p r o f e s s i o n s i n UK competition law. Although the
F a i r
T r a d i n g
A c t 1973
l a r g e l y
a p p l i e s t o
t h e
p r o f e s s i o n s , many p r o f e s s i o n s are c u r r e n t l y exempted
from the r e s t r i c t i v e trade p r a c t i c e s
l e g i s l a t i o n .
I n
March 1988,
the Government p u b l i s h e d a Green Paper
"Review of R e s t r i c t i v e Trade P r a c t i c e s P o l i c y " (Cm
331)
foreshadowing new l e g i s l a t i o n . The paper s t a t e d that
"there w i l l be no exemptions f o r p r o f e s s i o n a l s e r v i c e s a u t o m a t i c a l l y c a r r i e d a c r o s s i n t o new l e g i s l a t i o n w i t h o u t t h e m e r i t s o f each exemption h a v i n g been e s t a b l i s h e d a f r e s h . "
The c o n s u l t a t i o n period on the March 1988 Green Paper ended i n September 1988, and d e t a i l e d proposals f o r the reform of the r e s t r i c t i v e trade p r a c t i c e s l e g i s l a t i o n w i l l be published s h o r t l y . As t h e new p o l i c y w i l l have a c o n s i d e r a b l e bearing on t h e l e g a l p r o f e s s i o n , i t seems appropriate to c l a r i f y the Government's general i n t e n t i o n s i n the present Green Paper. The Government has concluded that there should be no e x c l u s i o n f o r the p r o f e s s i o n s from the new l e g i s l a t i o n and t h a t the r u l e s of p r o f e s s i o n a l bodies should g e n e r a l l y be s u b j e c t to t h e same t e s t s a d m i n i s t e r e d by a new c o m p e t i t i o n a u t h o r i t y a s o t h e r s e c t o r s o f t h e economy. The Government's view i s t h a t , l i k e A r t i c l e 85 of the T r e a t y o f Rome, t h e l e g i s l a t i o n s h o u l d p r o h i b i t agreements which have t h e e f f e c t of r e s t r i c t i n g or d i s t o r t i n g c o m p e t i t i o n , a l t h o u g h i n t h e c a s e of r e s t r i c t i o n s d i r e c t l y i m p o s e d by s t a t u t e t h e competition a u t h o r i t y would be able only t o o f f e r i t s view on the economic e f f e c t of the r e s t r i c t i o n . Where the a u t h o r i t y found t h a t an agreement i n f r i n g e d t h i s p r o h i b i t i o n , i t could n e v e r t h e l e s s grant an exemption i f i t b e l i e v e d t h e agreement made a s u f f i c i e n t c o n t r i b u t i o n to economic or t e c h n i c a l progress and t h a t consumers shared adequately i n the b e n e f i t s of t h i s . I n due course, t h e r e f o r e t h e Law S o c i e t y and t h e Bar C o u n c i l w i l l have t o examine t h e i r r u l e s and guidance not only i n the l i g h t of the recommendations i n t h i s Green Paper, but a l s o i n the l i g h t of the t e s t s t o be a p p l i e d by the new competition a u t h o r i t y .
Competition and the l e g a l p r o f e s s i o n
1.9
I n the law as i n other p r o f e s s i o n s there a r e a number
of
r e s t r i c t i o n s . Many of these have been defended on
t h e ground t h a t they
p r o t e c t t h e i n t e r e s t s of the
c l i e n t .
C o m p e t i t i o n h a s o f t e n
been
r e g a r d e d a s
inappropriate to or even Incompatible
with p r o f e s s i o n a l
s t a t u s and standards
and w i t h consumer
p r o t e c t i o n .
Regulation i n the l e g a l p r o f e s s i o n has been
achieved
through a combination of d i r e c t s t a t u t o r y c o n t r o l and,
more
f r e q u e n t l y ,
s e l f - r e g u l a t i o n t h r o u g h t h e
p r o f e s s i o n ' s own r u l e s . Areas such as establishment i n t h e
p r o f e s s i o n ,
a d v e r t i s i n g , s e t t i n g of f e e s and
charges and business s t r u c t u r e and a c c e s s to the p u b l i c have often been c o n t r o l l e d by r e g u l a t i o n r a t h e r than being s u b j e c t to market f o r c e s .
1.10
I n recent years there have been a number of changes,
some r e s u l t i n g from recommendations by the Monopolies and Mergers Commission following r e f e r e n c e s under the
F a i r Trading Act. For instance, l i c e n s e d conveyancers
have been allowed t o compete with s o l i c i t o r s i n England
and Wales f o r c o n v e y a n c i n g work; and a d v e r t i s i n g r e s t r i c t i o n s by s o l i c i t o r s have been c o n s i d e r a b l y r e l a x e d .
S u r v e y s suggest t h a t t h e r e s u l t of t h i s i n c r e a s e i n competition has been a reduction i n the p r i c e of conveyancing. The Government b e l i e v e s t h a t there i s no reason f o r excluding the l e g a l p r o f e s s i o n from the d i s c i p l i n e of competition t h a t a p p l i e s t o the r e s t of the economy, provided t h a t the i n t e r e s t s of j u s t i c e and the needs of those who use or a r e a f f e c t e d by the law a r e safeguarded; and indeed there a r e wide a r e a s of t h e p r o f e s s i o n where c o m p e t i t i o n a l r e a d y operates.
## Ε C I M P L I C A T I O N S
1.11
The Government takes the view that, whatever steps may
be taken to g i v e e f f e c t to the proposals i n t h i s Green
Paper, the UK must ensure i t
avoids introducing any new
r e s t r i c t i o n s which might breach the European Community
T r e a t y . Annex A d e a l s w i t h t h e p o s s i b i l i t y
of an
i n c r e a s e i n competition f o r the p r o v i s i o n of
l e g a l
s e r v i c e s from European lawyers which may i n any event
r e s u l t from the changes to be brought about i n 1992 by
v i r t u e of the S i n g l e European Act.
## The Timing Of T H I S Review
1.12
The Government
r e a c h e d t h e d e c i s i o n
1
t h a t
i t was
appropriate to undertake t h i s review now i n the l i g h t
of the Report "A Time f o r Change"
presented to the
General Council of the Bar and the Council of the Law S o c i e t y i n J u l y 1988 by the Committee on the Future of the Legal P r o f e s s i o n ( t h e
Marre Committee), a committee
which those two bodies had s e t up i n 1986. That Report,
commissioned by the two major p r o f e s s i o n a l bodies whose members work
i n l e g a l
s e r v i c e s ,
was
t h e
f i r s t
r e a p p r a i s a l
o f
t h e
o r g a n i s a t i o n
o f
t h e
l e g a l
p r o f e s s i o n s i n c e the Royal Commission on Legal S e r v i c e s
( t h e Benson
Commission)
p u b l i s h e d
i t s R e p o r t
2 i n
October 1979. The Marre Committee's Report i n d i c a t e d a
number of areas where change might now be appropriate. The f a c t t h a t the two major p r o f e s s i o n a l bodies had agreed on the need f o r such a study, taken together w i t h the conclusions of the report, i n t u r n l e d the Government to the view t h a t the time was now r i g h t f o r i t to undertake i t s own f r e s h review of the p r o v i s i o n of l e g a l s e r v i c e s to ensure t h a t the needs of c l i e n t s and the i n t e r e s t s of j u s t i c e would best be safeguarded i n the y e a r s ahead.
1(announced i n Hansard 24 October 1988, c o l 1466) 2(Cmnd 7648)
## Consultation
1.13
The Government hopes t h i s examination of the
l e g a l
p r o f e s s i o n
w i l l be p u b l i c l y regarded as a matter of
great importance. These are not matters of concern only
to lawyers. The p u b l i c have a v i t a l i n t e r e s t from many
d i f f e r e n t p o i n t s of view. The Government w i l l t h e r e f o r e
welcome comment from as broad a range of opinion as
p o s s i b l e .
At the same time, the Government r e c o g n i s e s
t h a t many of the f e a t u r e s of the l e g a l p r o f e s s i o n have
been the s u b j e c t of recent e x t e n s i v e debate.
I n the
case of some of these f e a t u r e s the Government
w i l l ,
t h e r e f o r e , i n t h i s Green Paper a l s o be i n d i c a t i n g i t s
own p r o v i s i o n a l view on the r i g h t way forward.
1.14
The Government would welcome comments on the proposals
i n t h i s document by 2 May 1989.
Submissions should be
addressed to:
Room 417
Lord C h a n c e l l o r ' s Department Trevelyan House
30 Great Peter S t r e e t London SW1P
2BY
## Chapter 2 - The Provision Of Legal Services Today
The d e f i n i t i o n of l e g a l s e r v i c e s
2.1
A comprehensive
d e f i n i t i o n of what i s meant by
l e g a l
s e r v i c e s
i s v e r y
d i f f i c u l t
to frame,
but, broadly
speaking, l e g a l s e r v i c e s are concerned with the advice, a s s i s t a n c e and r e p r e s e n t a t i o n required by a person i n connection w i t h h i s r i g h t s ,
d u t i e s and
l i a b i l i t i e s .
These may of course change over the y e a r s
with the
p r e v a i l i n g v a l u e s of s o c i e t y , the l e g i s l a t i v e w i l l of
Parliament and the d e c i s i o n s of the c o u r t s .
Most
s e r v i c e s which are "legal'', i n the sense t h a t a lawyer
o f t e n performs them i n the o r d i n a r y course of h i s
p r a c t i c e , may
a l s o be performed
by non-lawyers.
I n
England and Wales the only l e g a l s e r v i c e s which are by
law reserved s p e c i f i c a l l y to lawyers a r e handling c a s e s i n court and applying f o r grants of probate or l e t t e r s
of
a d m i n i s t r a t i o n
f o r reward.
These m a t t e r s a r e
considered f u r t h e r i n Chapters 5 and 14.
2.2
I n addition,
conveyancing f o r reward i s r e s t r i c t e d to
l a w y e r s ,
l i c e n s e d
c o n v e y a n c e r s and
c e r t a i n
p u b l i c
o f f i c i a l s .
S o l i c i t o r s used t o have
an
e f f e c t i v e
monopoly i n the p r o v i s i o n of conveyancing s e r v i c e s but
t h i s monopoly was abolished by Parliament i n 1985, when
l i c e n s e d
c o n v e y a n c e r s were a l l o w e d t o e n t e r t h e
c o n v e y a n c i n g
market
i n d i r e c t
c o m p e t i t i o n
w i t h
s o l i c i t o r s .
Conveyancing
by
s o l i c i t o r s and
l i c e n s e d
conveyancers employed by i n s t i t u t i o n s and bodies whose
main business l a y i n another f i e l d was not, however,
allowed a t t h a t time, although a framework f o r t h i s was subsequently enacted (which has not y e t been brought
i n t o f o r c e )
i n t h e B u i l d i n g S o c i e t i e s A c t
1985.
Accordingly the Government has thought i t r i g h t to r e -
examine t h i s f i e l d as p a r t of t h i s review;
and a s e p a r a t e c o n s u l t a t i o n p a p e r on t h e s u b j e c t of conveyancing by i n s t i t u t i o n s and other bodies or firms i s t h e r e f o r e being i s s u e d i n p a r a l l e l with t h i s Green Paper.
The providers of l e g a l s e r v i c e s
2.3
The Government b e l i e v e s t h a t a c c e s s t o l e g a l s e r v i c e s
by those who need them i s
fundamental t o
the
r u l e of
law and
the
p r e s e r v a t i o n o f l i b e r t y .
I t i s
important
t o
r e c o g n i s e ,
however,
t h a t s u c h a c c e s s does not
n e c e s s a r i l y mean access t o
a lawyer.
Much depends on
the l e v e l and
type of l e g a l s e r v i c e r e q u i r e d .
I n
some
cases a f r i e n d or advice agency may s u f f i c e ; i n others
a d v i c e by one who i s
not only a lawyer but a l s o a
s p e c i a l i s t
lawyer,
such a s a patent
lawyer, may be
e s s e n t i a l . Annex Β contains background information on
some o f those who provide
l e g a l
s e r v i c e s , i n c l u d i n g
b a r r i s t e r s and s o l i c i t o r s .
2.4
A person r e q u i r i n g advice, a s s i s t a n c e o r r e p r e s e n t a t i o n
needs t o
be s a t i s f i e d t h a t the
p r a c t i t i o n e r or agency
from whom a s s i s t a n c e i s
sought i s
competent to deal
with the matter i n i s s u e .
C l i e n t s a r e not u s u a l l y i n the best p o s i t i o n t o judge competence, p a r t i c u l a r l y i f the matter on which advice i s sought i s complex and the p r a c t i t i o n e r whom they have approached i s held out to have e x p e r t i s e i n the area i n question.
T h i s w i l l be p a r t i c u l a r l y r e l e v a n t where the p r a c t i t i o n e r approached i s a lawyer.
The Government b e l i e v e s t h a t i t i s a matter of p u b l i c i n t e r e s t t h a t p r a c t i t i o n e r s holding themselves out as p r o f e s s i o n a l lawyers a r e n a t i o n a l l y recognised a s having standards on which t h e p u b l i c can r e l y .
T h i s means t h a t lawyers must have appropriate q u a l i f i c a t i o n s f o r the work they undertake;
must abide by recognised standards f o r doing t h i s work; and must be s u b j e c t t o e f f e c t i v e monitoring t o ensure t h a t the work i s properly done.
## Areas Of Use Of L E G A L S E R V I C E S
2.5
A few examples of areas where l e g a l s e r v i c e s may be needed a r e s e t out below by way of i l l u s t r a t i o n .
These are:
( a ) the
home;
(b) the
family;
( c )
employment;
(d)
s o c i a l welfare;
( e )
consumer p r o t e c t i o n ;
( f )
commercial and f i n a n c i a l operations;
(g)
a c c i d e n t s and compensation f o r p e r s o n a l
i n j u r y ; and
(h)
involvement with the
c r i m i n a l
law.
(a) The
home
C o n v e y a n c i n g s e r v i c e s a r e a v a i l a b l e from a s o l i c i t o r or l i c e n s e d conveyancer
( s e e para 2.2
above).
Advice i n connection with the mortgage and i n s u r a n c e c o v e r may be p r o v i d e d by a s o l i c i t o r , but may a l s o be provided by a b u i l d i n g s o c i e t y , bank, accountant o r o t h e r f i n a n c i a l a d v i s e r .
Disputes a r i s i n g i n connection with the p r o p e r t y , f o r i n s t a n c e w i t h l a n d l o r d s o r neighbours, can sometimes be r e s o l v e d amicably, p e r h a p s w i t h t h e a s s i s t a n c e o f a f r i e n d a s mediator.
I f t h i s i s not p o s s i b l e , a c i t i z e n s advice bureau (CAB)
or law c e n t r e may be able to h e l p .
I f t h e d i s p u t e i s so s e r i o u s t h a t i t becomes necessary to take l e g a l proceedings i t i s l i k e l y t h a t advice w i l l be r e q u i r e d from a lawyer.
(b) The family
A
p e r s o n may n e e d a d v i c e , a s s i s t a n c e o r r e p r e s e n t a t i o n i n c o n n e c t i o n w i t h marriage or d i v o r c e , o r w i t h matters r e l a t i n g t o c h i l d r e n , e l d e r l y r e l a t i v e s , w e l f a r e b e n e f i t s , pensions or w i l l s .
He or she may i n many i n s t a n c e s t u r n to f r i e n d s , advice agencies such as the CABx or the National S o c i e t y f o r the Prevention of C r u e l t y to C h i l d r e n , t o s o c i a l w o r k e r s o r t o f i n a n c i a l a d v i s e r s . I n more d i f f i c u l t c a s e s , o r where d i s p u t e s may come before the c o u r t s , a person i s l i k e l y to seek the a s s i s t a n c e of a lawyer.
( c )
Employment
Legal s e r v i c e s may be needed i n connection with a v a r i e t y o f m a t t e r s s u c h a s c o n t r a c t s o f employment, c o n d i t i o n s of work, r a c i a l and sexual d i s c r i m i n a t i o n , i n d u s t r i a l a c t i o n , u n l a w f u l b e h a v i o u r by t r a d e u n i o n s , r e d u n d a n c y o r d i s m i s s a l .
Employees, p o t e n t i a l . e m p l o y e e s and employers a r e a l l l i k e l y t o need l e g a l s e r v i c e s here.
Depending on the nature of the advice, a s s i s t a n c e or r e p r e s e n t a t i o n r e q u i r e d they may t u r n , f o r example, t o t r a d e u n i o n s , t r a d e a s s o c i a t i o n s , CABx, t h e Commissioner f o r t h e R i g h t s o f Trade Union Members, t h e A d v i s o r y C o n c i l i a t i o n and A r b i t r a t i o n S e r v i c e , t h e C o m m i s s i o n f o r R a c i a l E q u a l i t y , t h e E q u a l Opportunties Commission or to lawyers.
(d)
S o c i a l w e l f a r e
A p e r s o n
may
n e e d
a d v i c e ,
a s s i s t a n c e o r
r e p r e s e n t a t i o n i n connection with e n t i t l e m e n t to
w e l f a r e b e n e f i t s o r the r e s o l u t i o n of problems
caused by homelessness or n a t i o n a l i t y .
Advice
a g e n c i e s ,
such as t h e CABx, the C h i l d
Poverty
Action Group and the United Kingdom Immigrants Advisory S e r v i c e , have developed an e x p e r t i s e i n w e l f a r e areas such as these.
Help may a l s o be p r o v i d e d by law c e n t r e s , s o c i a l w o r k e r s and lawyers.
(e)
Consumer p r o t e c t i o n
Legal s e r v i c e s here can cover a wide area ranging from r i g h t s and l i a b i l i t i e s i n connection with the
purchase and
s a l e of goods and s e r v i c e s and
the
whole area of product
l i a b i l i t y
a t one end,
to
c o u n s e l l i n g f o r debt a t the other.
Advice
and
a s s i s t a n c e may
be
a v a i l a b l e from o r g a n i s a t i o n s
s u c h
a s
t h e
N a t i o n a l Consumer C o u n c i l ,
t h e
Consumers' A s s o c i a t i o n , CABx and
o t h e r
a d v i c e
agencies and t r a d i n g standards o f f i c e r s .
As i n
the other examples, a lawyer i s most
l i k e l y
to
b e c o m e
i n v o l v e d
i f c o m p l e x
c o m m e r c i a l
documentation i s required or court proceedings are
contemplated.
( f )
Commercial and f i n a n c i a l operations
L e g a l
s e r v i c e s here can cover such matters
as
s e t t i n g
up
and
running
a b u s i n e s s or company,
t a x a t i o n , bankruptcy and insolvency, i n t e l l e c t u a l p r o p e r t y
r i g h t s ,
c o m m e r c i a l
c o n v e y a n c i n g ,
p e n s i o n s , i n s u r a n c e , m a t t e r s of c o n t r a c t , the f i n a n c i a l r e g u l a t i o n of markets and the e f f e c t on t r a n s a c t i o n s of m u l t i - n a t i o n a l operations. A range o f p r a c t i t i o n e r s a r e i n t h e market f o r t h e p r o v i s i o n of l e g a l s e r v i c e s i n some or a l l of these a r e a s , i n c l u d i n g lawyers both general and o f f e r i n g a v a r i e t y o f s p e c i a l i s t s e r v i c e s , l i c e n s e d c o n v e y a n c e r s , p a t e n t a g e n t s , banks, b u i l d i n g s o c i e t i e s , a c c o u n t a n t s , i n s o l v e n c y p r a c t i t i o n e r s and c h a r t e r e d s e c r e t a r i e s .
(g)
Accidents and compensation f o r personal i n j u r y
Accidents may give r i s e to both c i v i l and c r i m i n a l l i a b i l i t y .
Legal s e r v i c e s a r e l i k e l y to be needed both by any p e r s o n who may have c a u s e d t h e accident and by the person who i s i n j u r e d as a r e s u l t of i t . Legal s e r v i c e s here a r e l i k e l y to be p r o v i d e d by a lawyer, i f the matter seems l i k e l y t o become the s u b j e c t of c o u r t proceedings, but advice and a s s i s t a n c e may a l s o be a v a i l a b l e from other sources such as trade unions or advice agencies.
Involvement with the c r i m i n a l law
(h)
Lawyers a r e the main providers of l e g a l
s e r v i c e s
here, e s p e c i a l l y i n
connection with the
conduct of
c a s e s i n c o u r t .
Advice and a s s i s t a n c e may,
however,
a l s o be a v a i l a b l e from, f o r example,
s o c i a l workers, p r o b a t i o n o f f i c e r s and a d v i c e agencies.
## Funding Of L E G A L S E R V I C E S
2.6
T h i s chapter has looked very b r i e f l y a t some of the s i t u a t i o n s where l e g a l s e r v i c e s a r e l i k e l y t o be required and where the p u b l i c need t o have a c c e s s t o them. I t has a l s o mentioned some of the p r a c t i t i o n e r s and a g e n c i e s who may p r o v i d e s u c h s e r v i c e s . The Government t h i n k s i t r i g h t t h a t these s e r v i c e s should be funded i n a v a r i e t y of ways. Those who cannot a f f o r d to pay f o r the l e g a l s e r v i c e s they r e q u i r e can o f t e n get the help they need from o r g a n i s a t i o n s supported by p u b l i c funds; and, where necessary, they can get a c c e s s to lawyers through the l e g a l a i d and advice schemes.
Those who can themselves a f f o r d t o pay f o r the s e r v i c e s they r e q u i r e want t o be sure they a r e using t h e i r money to obtain the s e r v i c e which i s b e s t s u i t e d t o t h e i r needs.
2.7
So
f a r as
p u b l i c l y funded work i s concerned,
the
Government
b e l i e v e s
t h a t
t h e
new
L e g a l
A i d
Act,
together with the
Legal Aid Board i t has
c r e a t e d
to
take over the a d m i n i s t r a t i o n of l e g a l a i d from 1 A p r i l
1989,
w i l l
provide a system t h a t
i s e f f i c i e n t
and
e f f e c t i v e and
give to a l l concerned the best
p o s s i b l e
value i n r e t u r n f o r the money spent on i t , and which
w i l l have the f l e x i b i l i t y to meet changing demands and
circumstances.
2.8
I n p r i v a t e l y funded work a l s o the Government i s keen to
encourage new approaches.
One idea which has a t t r a c t e d
much a t t e n t i o n i n recent years - contingency fees - i s
the s u b j e c t of a separate c o n s u l t a t i o n paper i s s u e d i n
p a r a l l e l
w i t h
t h i s Green Paper.
The
Government's
proposals to i n c r e a s e the p o s s i b i l i t i e s f o r a d v e r t i s i n g by
the
l e g a l p r o f e s s i o n ,
and
thereby to enable
the
p u b l i c to make more informed and c o s t - e f f e c t i v e choices
among the providers of l e g a l s e r v i c e s , can be found i n Chapter 13 of t h i s Green Paper.
## Chapter 3 ־Legal Education And The Growth Of Specialisation
The o b j e c t i v e of l e g a l education
3.1
The R e p o r t o f t h e Committee on
L e g a l
E d u c a t i o n
published i n March 1971 (Ormrod) (Cmnd. 4595) concluded
t h a t : -
"Legal education should not attempt t o equip the l a w y e r a t q u a l i f i c a t i o n w i t h a comprehensive knowledge of every s u b j e c t he may encounter i n p r a c t i c e ;
i n s t e a d , i t s h o u l d c o n c e n t r a t e on p r o v i d i n g him w i t h t h e b e s t p o s s i b l e g e n e r a l i n t r o d u c t i o n so as t o enable him, with the help of e x p e r i e n c e and c o n t i n u i n g e d u c a t i o n a f t e r q u a l i f i c a t i o n , to become a f u l l y equipped member of the p r o f e s s i o n . "
The Government b e l i e v e s t h i s o b j e c t i v e f o r l e g a l education i s s t i l l v a l i d today.
3.2
The Government a l s o b e l i e v e s t h a t i t
i s c o n s i s t e n t with
i t s o b j e c t i v e s f o r
the p r o v i s i o n of l e g a l s e r v i c e s t h a t
p r a c t i t i o n e r s must be a b l e t o show t h e i r c l i e n t s t h a t
they possess the necessary competence to perform the p a r t i c u l a r s e r v i c e sought from them, e s p e c i a l l y where t h e s e r v i c e r e q u i r e s t h e p o s s e s s i o n o f s p e c i a l i s t e x p e r t i s e . The Government b e l i e v e s t h a t i t i s not of i t s e l f s u f f i c i e n t f o r p r a c t i t i o n e r s t o belong t o a p a r t i c u l a r branch of the l e g a l p r o f e s s i o n , or, i n some c a s e s , t o other p r o f e s s i o n s .
## Current P O S I T I O N
3.3
E n t r y to the l e g a l p r o f e s s i o n r e q u i r e s completion of
t h r e e t r a i n i n g stages, an academic, a v o c a t i o n a l and a p r a c t i c a l
s t a g e .
E n t r a n t s
n o r m a l l y complete t h e
academic s t a g e by t a k i n g a law degree. T h e r e a f t e r , b a r r i s t e r s and s o l i c i t o r s have s e p a r a t e systems of v o c a t i o n a l and p r a c t i c a l t r a i n i n g .
3.4
Both branches
of the p r o f e s s i o n a r e i n the process of
conducting
reviews of t h e i r own
t r a i n i n g arrangements
w i t h the aim of making these more r e l e v a n t t o the needs
of p r a c t i c e .
The Bar intend t o introduce a new
f i n a l s
c o u r s e
i n the autumn of 1989
which
w i l l
emphasise
p r a c t i c a l
s k i l l s such as advocacy, d r a f t i n g , a d v i s i n g
and
n e g o t i a t i n g ; and
t h e r e a r e a t present moves to
f o r m a l i s e the minimum contents of p u p i l l a g e .
The
Law
S o c i e t y are c o n s i d e r i n g i n c l u d i n g a d d i t i o n a l s p e c i a l i s t
law
o p t i o n s
d u r i n g
t h e
f i n a l s
course,
t r a i n i n g
i n
management and communication
s k i l l s and the extension
of compulsory p o s t - q u a l i f i c a t i o n
t r a i n i n g beyond
the
f i r s t t h r e e y e a r s , i n order to keep s o l i c i t o r s a b r e a s t
of developments i n the law.
The growing importance of s p e c i a l i s a t i o n 3.5
The t h r u s t o f t h e s e changes i s t o emphasise t h e growing importance, which has been noted over the p a s t decade, of the a c q u i s i t i o n of s p e c i a l i s t s k i l l s by p r a c t i t i o n e r s .
The need f o r t h i s was recognised by the Royal Commission on Legal S e r v i c e s as long ago as
1979
when i t recommended t h a t the formal i n t r o d u c t i o n of s p e c i a l i s a t i o n i n t o the s o l i c i t o r s ' p r o f e s s i o n would be of s i g n i f i c a n t b e n e f i t to the p u b l i c (paras 22.55
and 27.23).
I n 1987, i n the White Paper
"Legal Aid i n England and Wales: A New Framework"
(Cm 118
para
58), the Government s t a t e d t h a t i t was d e s i r a b l e t h a t s o l i c i t o r s doing l e g a l a i d work should have s p e c i a l s k i l l s i n the a r e a concerned, and t h a t i t was a t t r a c t e d by the i d e a t h a t l e g a l a i d work should be done by panels of s o l i c i t o r s with s p e c i a l i s t experience i n each category.
I n 1988
the C i v i l J u s t i c e Review (Cm
394
p a r a
212) recommended t h a t s p e c i a l i s a t i o n schemes s h o u l d be e s t a b l i s h e d f o r a l l t h e main a r e a s of l i t i g a t i o n ;
and Marre ( p a r a 16.17) r e c o g n i s e d t h a t
" s p e c i a l i s a t i o n i s i n e v i t a b l e . "
E x i s t i n g s p e c i a l i s t panels of s o l i c i t o r s 3.6
The Law S o c i e t y have a l r e a d y e s t a b l i s h e d s p e c i a l i s t p a n e l s f o r c h i l d c a r e and mental h e a l t h work.
The C h i l d Care Panel was s e t up i n 1984 and c u r r e n t l y has around 1,500 members.
The Mental Health Panel was s e t up i n 1983
and c u r r e n t l y has around
200
members.
Membership of both t h e s e p a n e l s i s dependent on experience i n advocacy before the r e l e v a n t t r i b u n a l s , attendance on approved c o u r s e s and i n t e r v i e w s . Also under t h e d u t y s o l i c i t o r schemes t h e r e a r e some thousands of s o l i c i t o r s
(and t h e i r r e p r e s e n t a t i v e s )
who provide duty s o l i c i t o r s e r v i c e s . They need to have a minimum of 12 months' advocacy experience and are i n t e r v i e w e d by l o c a l p r a c t i t i o n e r s to confirm t h e i r s u i t a b i l i t y .
The Law S o c i e t y a r e a l s o c u r r e n t l y c o n s i d e r i n g the e x t e n s i o n of s p e c i a l i s t panels i n t o other areas of work such as planning, personal i n j u r y and medical negligence.
## Merits Of S P E C I A L I S T Panels
3.7
The main advantage of s p e c i a l i s t panels t o the p u b l i c i s to g i v e them an e a s i e r and more informed c h o i c e of p r a c t i t i o n e r s who they can be assured are s k i l l e d i n a p a r t i c u l a r f i e l d of law.
At the same time, not every a r e a of law r e q u i r e s s p e c i a l i s t e x p e r t i s e .
Care must be taken to ensure t h a t only those a r e a s of law which need t o be s p e c i a l i s m s are designated as such, and t h a t the c r i t e r i a f o r r e c o g n i t i o n a s a s p e c i a l i s t a r e high enough to ensure competence and maintain standards but no h i g h e r . The c r i t e r i a must not become unnecessary o b s t a c l e s which discourage p r a c t i t i o n e r s from becoming s p e c i a l i s t s , or which a r t i f i c i a l l y l i m i t the supply of l e g a l s e r v i c e s to the p u b l i c i n a p a r t i c u l a r f i e l d .
Increasing the supply of s p e c i a l i s t s
3.8
The Government c o n s i d e r s t h a t the way t o ensure t h a t the e x p e r t i s e of p r a c t i t i o n e r s i s b e s t matched t o the p a r t i c u l a r demands of the work i n question, and t h a t the p u b l i c has the widest p o s s i b l e c h o i c e of competent p r a c t i t i o n e r s i n the v a r i o u s f i e l d s of law, i s f o r a r e a s of s p e c i a l i s t e x p e r t i s e to be developed, with s t a n d a r d s of education, t r a i n i n g , q u a l i f i c a t i o n s and conduct appropriate to each.
I t may be t h a t some of t h e s e s p e c i a l i s m s w i l l not r e q u i r e the s e r v i c e s of lawyers.
The f o l l o w i n g questions then a r i s e :
( a )
w h i c h
a r e a s
o f work
r e q u i r e
s p e c i a l i s t
e x p e r t i s e ;
(b) what i s the appropriate l e v e l of
education,
q u a l i f i c a t i o n s and t r a i n i n g r e q u i r e d to be a
s p e c i a l i s t i n any given area;
( c )
who
i s to provide the necessary
education,
q u a l i f i c a t i o n s and t r a i n i n g ; and
(d)
how
are appropriate standards of conduct to
be
s e t f o r p r a c t i t i o n e r s
and
who
i s t o
monitor these standards.
These questions are addressed i n paras 3.11
to
3.13
below and i n Chapter 4.
## Advertising Of S P E C I A L I S M S
3.9
An important purpose of s p e c i a l i s m s i s to provide the
p u b l i c w i t h more i n f o r m a t i o n to help them choose a
p r a c t i t i o n e r appropriate f o r t h e i r needs.
A c c r e d i t e d
s p e c i a l i s t s
s h o u l d
t h e r e f o r e be
a b l e t o a d v e r t i s e
themselves as such to the general p u b l i c .
The Bar and
the
Law
S o c i e t y a l r e a d y operate
a
l i m i t e d
form
of
a d v e r t i s i n g
through
l i s t i n g s
i n t h e i r p r o f e s s i o n a l
d i r e c t o r i e s ; and t h e Law S o c i e t y permits a l s o t h e c i r c u l a t i o n of l i s t s of members on, f o r i n s t a n c e the Mental Health Panel, t o i n t e r e s t e d o r g a n i s a t i o n s such as CABx, s o c i a l s e r v i c e s departments, p s y c h i a t r i c u n i t s and the c o u r t s .
Further c o n s i d e r a t i o n should, however, be g i v e n by both i n d i v i d u a l p r a c t i t i o n e r s and t h e r e l e v a n t p r o f e s s i o n a l b o d i e s t o a l l o w i n g t h o s e p r a c t i t i o n e r s who q u a l i f y a s s p e c i a l i s t s ( s e e a l s o Chapter 13 below) t o a d v e r t i s e themselves a s such. T h i s does not mean t h a t n o n - s p e c i a l i s t s s h o u l d not be allowed t o a d v e r t i s e t h e i r s e r v i c e s ; merely t h a t only those who a r e recognised s p e c i a l i s t s i n a p a r t i c u l a r f i e l d should be able t o hold themselves out a s such t o p o t e n t i a l c l i e n t s .
## Exclusive S P E C I A L I S M S
3.10
The Government does not b e l i e v e t h a t p r a c t i c e i n an area which has been designated a s a s p e c i a l i s m should
be
r e s t r i c t e d t o t h o s e
r e c o g n i s e d
a s
s p e c i a l i s t
p r a c t i t i o n e r s alone. Such an approach could c r e a t e new e n t r y b a r r i e r s , put up c o s t s , d e p r i v e c l i e n t s of c h o i c e and p r o t e c t those w i t h i n the s p e c i a l i s m from c o m p e t i t i o n from those o u t s i d e i t . An e x c e p t i o n i s advocacy, where the Government b e l i e v e s t h a t the needs of t h e a d m i n i s t r a t i o n o f j u s t i c e r e q u i r e s p e c i a l a r r a n g e m e n t s t o be made.
T h i s i s c o n s i d e r e d i n Chapter 5 below.
## Recognition Of S P E C I A L I S M S
3.11
The Government b e l i e v e s t h a t a formal mechanism should
be
e s t a b l i s h e d t o advise on the matters o u t l i n e d i n
para 3.8. The Government b e l i e v e s a l s o t h a t , i n order
to ensure t h a t the p u b l i c know t h a t r e c o g n i t i o n a s a
s p e c i a l i s t
p r a c t i t i o n e r h a s r e a l
v a l u e ,
t h e
r e q u i r e m e n t s f o r t h e e d u c a t i o n , t r a i n i n g and q u a l i f i c a t i o n s of recognised providers of s p e c i a l i s t s e r v i c e s should i n f u t u r e be approved by the Lord C h a n c e l l o r , a f t e r he h a s t a k e n a d v i c e from h i s Advisory Committee on Legal Education. The arrangements f o r codes of conduct a r e s e t out i n Chapter 4.
The Government expects t h e r e w i l l i n f u t u r e be a v a r i e t y of p r o v i d e r s of such s p e c i a l i s t s e r v i c e s .
## The Lord C H A N C E L L O R ' S Advisory Committee On Legal Education And Conduct
3.12
The
Lord C h a n c e l l o r ' s A d v i s o r y Committee on
L e g a l
Education ( t h e Advisory Committee) was s e t up i n 1971
as a r e s u l t of recommendations i n the Report of the Committee on
L e g a l E d u c a t i o n (Ormrod, Cm
8595). I n
o r d e r t h a t i t may c a r r y out the new f u n c t i o n s the Government now proposes f o r i t , the Advisory Committee s h o u l d be r e c o n s t i t u t e d as a v i g o r o u s and a c t i v e s t a n d i n g committee, d e a l i n g with both education and conduct, which would meet r e g u l a r l y . To accord w i t h i t s new r o l e t h i s Committee should i n f u t u r e be known as t h e Lord C h a n c e l l o r ' s A d v i s o r y Committee on L e g a l E d u c a t i o n and Conduct.
The Committee's t e r m s o f r e f e r e n c e should be:
( a )
To keep under review the education and t r a i n i n g of
l a w y e r s a t t h e academic, v o c a t i o n a l and
p o s t -
v o c a t i o n a l stages to ensure t h a t t h a t
education
and t r a i n i n g i s r e l e v a n t t o the needs of p r a c t i c e
and to the e f f i c i e n t d e l i v e r y of l e g a l s e r v i c e s to
t h e
p u b l i c .
(A p o s s i b l e framework
f o r
t h e
academic and v o c a t i o n a l t r a i n i n g of lawyers i s s e t out a t Annex C, which the Advisory Committee would
be i n v i t e d to c o n s i d e r a t an e a r l y s t a g e ) ;
(b)
To consider, whether on i t s
own i n i t i a t i v e or when
requested to do so by the Lord C h a n c e l l o r :
( i )
what a r e a s of
l e g a l
s e r v i c e s r e q u i r e
s p e c i a l i s t
e x p e r t i s e and whether
t h a t
s p e c i a l i s t
e x p e r t i s e n e e d s
t o
be
provided by a f u l l y t r a i n e d lawyer; and
(11)
what the education,
q u a l i f i c a t i o n s
and
t r a i n i n g
o f
s p e c i a l i s t s ,
both
l e g a l
p r a c t i t i o n e r s and o t h e r s , should be i n
t h e
v a r i o u s
a r e a s
d e s i g n a t e d
a s
r e q u i r i n g s p e c i a l i s t e x p e r t i s e ;
( c )
To
k e e p u n d e r
r e v i e w ,
w h e t h e r
on
i t s
own
i n i t i a t i v e or when requested to do so by the Lord
C h a n c e l l o r ,
the a c c r e d i t e d s p e c i a l i s m s and
the
education and t r a i n i n g requirements f o r these to ensure t h a t they continue to meet the needs of the
p u b l i c
f o r t h e
e f f i c i e n t
d e l i v e r y
o f
l e g a l
s e r v i c e s ; and
(d)
To advise the Lord C h a n c e l l o r on the appropriate
codes o f conduct
which s h o u l d
be
f o l l o w e d
by
l a w y e r s and
o t h e r
p r a c t i t i o n e r s
r e c o g n i s e d
as
s u i t a b l e t o undertake work i n t h e r e c o g n i s e d s p e c i a l i s m s .
( I t i s envisaged t h a t a t l e a s t two separate codes of conduct w i l l be needed to cover:
( i )
advice work; and
( i i ) advocacy.
T h i s l a s t a r e a i s c o n s i d e r e d f u r t h e r i n Chapter
4.)
The Advisory Committee should submit an annual r e p o r t covering a l l these areas t o the Lord C h a n c e l l o r . The annual r e p o r t would be l a i d before Parliament.
The C o m m i t t e e m i g h t a l s o s u b m i t p r o p o s a l s a n d recommendations to the Bar or the Law S o c i e t y or to o t h e r p r o f e s s i o n a l bodies, where i t c o n s i d e r s t h i s appropriate or where such bodies ask f o r i t s a d v i c e .
3.13
F i n a l d e c i s i o n s on whether a p a r t i c u l a r s p e c i a l i s t area
of e x p e r t i s e should be recognised as such and on what
standards of education and t r a i n i n g a r e appropriate i n
e a c h
c a s e
s h o u l d
r e s t
w i t h t h e L o r d
C h a n c e l l o r ,
f o l l o w i n g
a d v i c e from the A d v i s o r y Committee.
I n
a d d i t i o n ,
b e f o r e
r e c o g n i s i n g a n y
p a r t i c u l a r
p r o f e s s i o n a l body as competent t o a u t h o r i s e i n d i v i d u a l
p r a c t i t i o n e r s as s p e c i a l i s t s i n a p a r t i c u l a r f i e l d , the
Lord C h a n c e l l o r would have t o be s a t i s f i e d
t h a t the
p r o f e s s i o n a l body could:
( a )
p r o v i d e t h e a p p r o p r i a t e e d u c a t i o n and t r a i n i n g , e i t h e r i t s e l f or, on a repayment b a s i s , w i t h the a s s i s t a n c e of a p p r o p r i a t e educational establishments; and
(b)
provide s u f f i c i e n t c o n t r o l over i t s members t o e n s u r e t h a t s a t i s f a c t o r y s t a n d a r d s of conduct and b e h a v i o u r a r e m a i n t a i n e d and e n f o r c e d
( T h i s i s c o n s i d e r e d f u r t h e r i n Chapter 4 ) .
I t would o f c o u r s e be f o r t h e v a r i o u s i n t e r e s t e d p r o f e s s i o n a l bodies to decide what they wished t o o f f e r by way of education, t r a i n i n g and d i s c i p l i n e i n the l i g h t of the standards s e t by the Lord C h a n c e l l o r f o r the v a r i o u s s p e c i a l i s m s .
3.14
Under t h e p r o p o s a l s
o u t l i n e d above, t h e A d v i s o r y
Committee w i l l i n f u t u r e p l a y an important
r o l e , both
i n ensuring the supply of l e g a l s e r v i c e s of q u a l i t y t o the p u b l i c and i n maintaining the standards of conduct
expected of p r a c t i t i o n e r s . The Government b e l i e v e s t h a t
t h e
c o m p o s i t i o n
o f t h e A d v i s o r y Committee
s h o u l d
r e f l e c t t h i s new r o l e by c o n t a i n i n g a m a j o r i t y of l a y
members. Accordingly the Government proposes t h a t the
new Advisory Committee should c o n s i s t of 15 members, a l l appointed by the Lord C h a n c e l l o r and comprising:-
( a )
a chairman, who should be a judge;
(b)
2 b a r r i s t e r s appointed a f t e r c o n s u l t a t i o n
w i t h the
General Council of the Bar;
( c )
2 s o l i c i t o r s appointed a f t e r c o n s u l t a t i o n
w i t h the
C o u n c i l of the Law S o c i e t y ;
(d)
2 academic r e p r e s e n t a t i v e s - a p p o i n t e d
a f t e r
c o n s u l t a t i o n
w i t h
t h o s e
r e p r e s e n t i n g
t h e
u n i v e r s i t y and p o l y t e c h n i c law s c h o o l s ; and
( e )
8
l a y r e p r e s e n t a t i v e s a p p o i n t e d
a f t e r
wide
c o n s u l t a t i o n .
The Government proposes
t h a t the s e c r e t a r i a t of
the
3.15
A d v i s o r y Committee should be provided
by
the
Lord
C h a n c e l l o r ' s Department.
## Summary
The Government would welcome views on the proposals i n
3.16
t h i s chapter, i n p a r t i c u l a r on:
( a )
the proposed terms of r e f e r e n c e of the Advisory
Committee;
(b)
the proposed membership of the Advisory Committee;
and
( c )
t h e
s u g g e s t i o n s
f o r academic
and
v o c a t i o n a l
t r a i n i n g s e t out a t Annex C.
4.1
The Government b e l i e v e s t h a t i t should be the duty of
any p r o f e s s i o n a l body to ensure t h a t the standards of
competence and
p r o f e s s i o n a l conduct among persons
who
p r a c t i s e i n t h a t p r o f e s s i o n
are
s u f f i c i e n t
to
secure
adequate p r o t e c t i o n f o r c l i e n t s , and t h a t the s e r v i c e s p r o v i d e d
by
s u c h
p e r s o n s
a r e
p r o v i d e d
b o t h
economically and
e f f i c i e n t l y .
4.2
T h i s means t h a t such a p r o f e s s i o n a l body must ensure
t h a t : -
( a )
p r o f e s s i o n a l s e r v i c e s are o f f e r e d e f f i c i e n t l y
and
w i t h
t h e
r e q u i r e d
d e g r e e
o f
p r o f e s s i o n a l
e x p e r t i s e ;
(b)
any
complaints about
s e r v i c e s a r e
i n v e s t i g a t e d
promptly, thoroughly and i m p a r t i a l l y ;
( c )
matters are put r i g h t as q u i c k l y as p o s s i b l e with,
where necessary,
appropriate recompense;
(d)
where a p r o f e s s i o n a l man
or woman f a i l s to meet
the
r e q u i r e d
s t a n d a r d s ,
a p p r o p r i a t e
a c t i o n
i s
taken; and
( e )
w h e r e
t h e
f a i l u r e
amounts
t o
p r o f e s s i o n a l
misconduct, appropriate s a n c t i o n s are imposed, i f n e c e s s a r y a m o u n t i n g t o e x p u l s i o n from t h e
p r o f e s s i o n .
4.3
The
Government b e l i e v e s
t h a t those who
provide
the
p u b l i c with l e g a l s e r v i c e s must do
so i n a competent
and p r o f e s s i o n a l manner. I t should t h e r e f o r e be one
of
t h e f u n c t i o n s of the l e g a l p r o f e s s i o n a l bodies to ensure t h i s happens.
## (A) Standards Of Conduct Present Arrangements
4.4
At p r e s e n t the Bar and
the Law
S o c i e t y provide
f o r
standards of conduct i n d i f f e r e n t ways:-
## (A) The Bar
The Bar has a w r i t t e n Code of Conduct. L a s t y e a r i t was thoroughly r e v i s e d . The new v e r s i o n i s due to come i n t o f o r c e on
1 February 1989.
I t s e t s out the g e n e r a l p r i n c i p l e s which apply to a l l b a r r i s t e r s , whether i n independent p r a c t i c e or i n employment, i n c l u d i n g t h e i r g e n e r a l d u t i e s , t h e r u l e s on a c c e p t a n c e o f i n s t r u c t i o n s and on withdrawal from a case, the duty of the b a r r i s t e r to the c l i e n t , the way a case should be conducted both i n and out of court, and what i s to happen when a c o n f l i c t of i n t e r e s t a r i s e s .
The Law S o c i e t y
(b)
The Law S o c i e t y p u b l i s h e s P r a c t i c e Rules. The c u r r e n t
4.6
r u l e s are the 1988
P r a c t i c e Rules which govern, f o r example, o b t a i n i n g i n s t r u c t i o n s , a c c o u n t i n g f o r
commissions
and
t h e
s u p e r v i s i o n of
a
s o l i c i t o r ' s
o f f i c e ; and when a s o l i c i t o r may
a c t f o r both vendor
and
p u r c h a s e r .
R e f e r r a l s and
i n t r o d u c t i o n s
and
p u b l i c i t y are a l s o touched on b r i e f l y i n the Rules but
are d e a l t with i n more d e t a i l i n separate codes.
The
R u l e s do
not, however, provide
f o r matters
of good
p r a c t i c e such as proper communication with the
c l i e n t
and the avoidance of delay.
4.7
The
Law
S o c i e t y
p u b l i s h e s
a g u i d e
c a l l e d
"The
P r o f e s s i o n a l Conduct of S o l i c i t o r s " to deal with these
matters of p r a c t i c e . T h i s contains d e t a i l e d statements
of p r i n c i p l e together with an i n d i c a t i o n of best or acceptable p r a c t i c e . Although such an explanation of these p r i n c i p l e s i s obviously h e l p f u l , i t remains odd t h a t what i s intended to l e a d to sound p r a c t i c e does not appear i n the P r a c t i c e Rules, e s p e c i a l l y as any breach of these p r i n c i p l e s might put s o l i c i t o r s a t r i s k of a l l e g a t i o n s of inadequate p r o f e s s i o n a l s e r v i c e s or p r o f e s s i o n a l misconduct.
## Codes Of P R O F E S S I O N A L Conduct And Standards
4.8
The Government b e l i e v e s
t h e r e a r e c e r t a i n a r e a s of
p r a c t i c e which a r e of
such
fundamental
importance
t h a t : -
( a )
there should be c l e a r w r i t t e n
statements
of the
p r a c t i c e which must be followed;
(b)
these w r i t t e n
statements
should be s e t out i n a
way which i s e a s i l y a c c e s s i b l e both to lawyers and
t h e i r c l i e n t s ; and
( c )
f a i l u r e to observe these p r a c t i c e r u l e s should be
a cause f o r d i s c i p l i n a r y proceedings.
4.9
Recommendations on these l i n e s were made by Benson i n
1979. The
C i v i l J u s t i c e Review published i n June
1988
(Cm 394) a l s o recommended (R 1 8 ( 1 ) ) t h a t both the Bar
and
t h e
Law
S o c i e t y
should
i s s u e
s p e c i f i c
w r i t t e n
p r o f e s s i o n a l
standards r e l a t i n g to the conduct of a l l
p r i n c i p a l types of l i t i g a t i o n .
4.10
The Law S o c i e t y published w r i t t e n standards i n 1985 to
c o v e r
r e s p o n s i b i l i t y
f o r
t h e
c l i e n t ' s
c a s e ,
communication with the c l i e n t and information on c o s t s .
They appear
a s
an appendix
i n "The
P r o f e s s i o n a l
Conduct of S o l i c i t o r s " . The i n t r o d u c t i o n t o t h e s e standards s t a t e s t h a t : -
"They a r e g u i d e l i n e s . They w i l l be h e l p f u l i n a l l c a s e s . I t w i l l be f o r the s o l i c i t o r t o judge when a standard can be ignored, but a l s o f o r him to j u s t i f y h i s d e c i s i o n s h o u l d t h e c l i e n t f e e l aggrieved."
The Government i s not c o n v i n c e d t h a t e i t h e r t h i s statement or the p o s i t i o n i n g of the standards i n the Guide adequately u n d e r l i n e s t h e i r importance.
The Bar has not y e t introduced any standards of t h i s kind, although i t i s about t o do so.
## The Government'S Proposals
4.11
The Government now t h e r e f o r e proposes t h a t t h e r e should
i n
f u t u r e be w r i t t e n codes which
s p e c i f i c a l l y s e t
p r o f e s s i o n a l standards. The Government envisages t h a t
two separate p r o f e s s i o n a l codes w i l l be necessary. One
w i l l
d e a l w i t h t h e p r o v i s i o n of l e g a l
a d v i c e and
a s s i s t a n c e
g e n e r a l l y . The o t h e r
w i l l
c o v e r t h e
p a r t i c u l a r i s s u e s which are
connected with the handling
of b r i e f s and the general conduct of c a s e s i n court,
s i n c e i n advocacy work the maintenance of standards both of s k i l l and i n t e g r i t y has much t o do with the independence of the advocate, h i s r e g u l a r a p p l i c a t i o n to h i s work i n the c o u r t s , and with h i s need t o s a t i s f y the requirements of a c l i e n t able t o make an informed choice of advocate. The areas t o be covered a r e s e t out i n broad terms i n paras 4.14 and 4.15 below. The Lord C h a n c e l l o r w i l l look f o r advice on what should be the p r i n c i p l e s embodied i n these codes from h i s Advisory Committee on L e g a l E d u c a t i o n and Conduct, whose membership and terms of r e f e r e n c e w i l l be broadened so a s t o encompass t h i s f u n c t i o n
( s e e C h a p t e r 3, p a r a s 3.12-3.15 of t h i s Green P a p e r ) .
P r o f e s s i o n a l b o d i e s whose members w i s h t o o f f e r a d v i s o r y and advocacy s e r v i c e s w i l l be r e q u i r e d t o submit t h e i r proposed codes of conduct f o r the endorsement of the Advisory Committee whose r o l e i t w i l l be to ensure t h a t such codes of conduct embody the approved p r i n c i p l e s .
4.12
The Government proposes t h a t the Lord C h a n c e l l o r should
p r e s c r i b e by s t a t u t o r y instrument the p r i n c i p l e s which
must be embodied i n these codes so a s to ensure t h a t
they have Parliamentary approval. The Government i s not prepared to leave i t to the l e g a l p r o f e s s i o n to s e t t l e
the p r i n c i p l e s which these codes should adopt because they
w i l l be of such g r e a t importance both to the
a d m i n i s t r a t i o n of j u s t i c e and to the p u b l i c . Moreover,
i n
t h e f u t u r e t h e
l e g a l
p r o f e s s i o n i s l i k e l y
t o
continue t o c o n t a i n a number of d i f f e r e n t p r o f e s s i o n a l
bodies; and i t i s important t h a t they should a l l be
s u b j e c t to minimum p r o f e s s i o n a l standards.
4.13
A code
s e t t i n g out the approved
g e n e r a l
p r i n c i p l e s
would
be a r e q u i r e m e n t f o r any
p r o f e s s i o n whose
members o f f e r e d
l e g a l advice f o r reward; and a code
d e a l i n g s i m i l a r l y with the conduct of c a s e s i n c o u r t would
be
a r e q u i r e m e n t f o r a l l a d v o c a t e s ( s e e
Chapter 5 below). The
r e l e v a n t
p r o f e s s i o n a l bodies
would be expected to enforce the codes and to s a t i s f y
t h e
A d v i s o r y Committee
t h a t
t h e y had
a d e q u a t e
arrangements i n p l a c e f o r t h i s purpose.
F a i l u r e to
comply w i t h any requirement of the codes would render a p r a c t i t i o n e r l i a b l e to a range of s a n c t i o n s i n c l u d i n g a
reduction i n fees a f t e r proceedings conducted by the
appropriate p r o f e s s i o n a l body. I n a d d i t i o n a l l c o u r t s
should have power to r e q u i r e any advocate to pay
p e r s o n a l l y c o s t s i n c u r r e d by any party to an a c t i o n , i f the court judged t h i s appropriate.
Code 1 P r o v i s i o n of l e g a l advice and a s s i s t a n c e
4.14
A c l i e n t seeking a d v i c e and a s s i s t a n c e should be given f u l l and p r o p e r a d v i c e a b o u t h i s c a s e .
P o o r communication seems to be the cause of most complaints about s o l i c i t o r s .
T h i s code w i l l t h e r e f o r e need to provide t h a t : -
(a)
the
c l i e n t
i s given
a
f u l l
explanation
of
the
i s s u e s and what needs to be done;
(b)
t h e
c l i e n t
i s k e p t
f u l l y
informed about
the
progress of h i s case;
( c )
the c l i e n t i s given a proper explanation
of
the
f e e s
and
c o s t s
l i k e l y
t o
be
i n c u r r e d :
t h i s
explanation should be supplied both o r a l l y and i n
w r i t i n g ;
(d)
the c l i e n t understands who
i s r e s p o n s i b l e f o r the
o v e r a l l s u p e r v i s i o n and the day to day handling
of
h i s case; and
(e)
t h e
p r a c t i t i o n e r c o n d u c t s
t h e
c a s e
i n
an
e f f i c i e n t manner.
Code 2 Advocacy and a n c i l l a r y matters
4.15
T h i s code w i l l need to ensure t h a t : -
(a)
incoming work i s managed i n chambers or o f f i c e s i n
s u c h
a way
t h a t
t h e r e
i s adequate
p r e - t r i a l
preparation of c a s e s ; and t h a t i n p a r t i c u l a r : -
( i )
e a r l y c o n f e r e n c e s
a r e a r r a n g e d when
necessary;
(11)
i n c r i m i n a l c a s e s
t h e r e
i s c a r e f u l
advice about the intended plea, i n order
to avoid changes of p l e a a t the t r i a l so
f a r as p o s s i b l e ;
( i l l )
where p o s s i b l e , i s s u e s i n d i s p u t e a r e
i d e n t i f i e d before
t r i a l ; and
( i v )
cases are
properly prepared f o r court;
(b)
c a s e s i n court a r e conducted competently and i n
the l i g h t of c l e a r e t h i c a l standards so t h a t : -
( i )
advocates a r e aware of the paramountcy of
t h e i r duty to the court, t h e i r d u t i e s to
the
c l i e n t , to witnesses and to t h i r d p a r t i e s ;
and
( i i ) a d v o c a t e s do not waste t h e time o f t h e
court;
and
( c )
defence and p r o s e c u t i o n
advocates a r e aware of
t h e i r s p e c i a l r e s p o n s i b i l i t i e s i n c r i m i n a l c a s e s ;
i n
p a r t i c u l a r t h a t
a d v o c a t e s who
p r o v i d e
r e p r e s e n t a t i o n i n
the
more s e r i o u s c a s e s which a r e
t r i e d i n
the
Crown Court should not, i n
any given
case, have been involved a l s o i n
the
i n v e s t i g a t i o n
of the evidence.
## (B) Complaints And D I S C I P L I N E Present Arrangements
(a)
The
Bar
4.16
A b a r r i s t e r
i s immune from an a c t i o n f o r
negligence
brought by
a
c l i e n t
i n r e s p e c t of
the conduct
and
management of a case i n court (see Chapter 6 below).
He
or
she
i s not, however, immune from a c t i o n s
f o r
negligence
i n other s i t u a t i o n s . Indeed a l l p r a c t i s i n g
b a r r i s t e r s are required to have p r o f e s s i o n a l indemnity
i n s u r a n c e
of £250,000 f o r each and
every
c l a i m .
A
b a r r i s t e r
i s a l s o s u b j e c t to p r o f e s s i o n a l
d i s c i p l i n e
i n r e s p e c t of the conduct of a case whether i n or out
of court.
4.17
Complaints a g a i n s t b a r r i s t e r s come l a r g e l y from members
of
t h e
p u b l i c ,
a l t h o u g h some come a l s o from
the
j u d i c i a r y
o r
m a g i s t r a c y ,
c o u r t
o f f i c i a l s ,
o t h e r
b a r r i s t e r s and
s o l i c i t o r s .
The
present machinery
f o r
d e a l i n g with complaints i s s e t out i n Annex D, P a r t 1.
(b)
The Law
S o c i e t y
4.18
A l l s o l i c i t o r s i n p r a c t i c e are required to be covered
by
p r o f e s s i o n a l i n d e m n i t y
i n s u r a n c e
a g a i n s t
l o s s
a r i s i n g from
c i v i l
l i a b i l i t y c l a i m s . I n a d d i t i o n
the
Law S o c i e t y administers a fund to provide compensation i n cases of dishonesty by s o l i c i t o r s or t h e i r employers
or of f a i l u r e by a s o l i c i t o r to account f o r any money
i n connection
with any t r u s t of which he or she i s or
was
a t r u s t e e . These arrangements go wider than those
covering
b a r r i s t e r s ,
but
b a r r i s t e r s do
not need such
w i d e
p r o t e c t i o n
b e c a u s e
t h e y
do
n o t
c a r r y
out
t r a n s a c t i o n s on behalf of c l i e n t s or handle c l i e n t s י
money.
4.19
Complaints
a g a i n s t
s o l i c i t o r s
may
r a i s e
i s s u e s
of
conduct or inadequate p r o f e s s i o n a l s e r v i c e s - "shoddy
work." Such complaints must be made to the
S o l i c i t o r s '
C o m p l a i n t s Bureau where most
w i l l
be
s e t t l e d .
A
m i n o r i t y
of complaints
w i l l , however, be
considered
a l s o by the S o l i c i t o r s '
D i s c i p l i n a r y T r i b u n a l , the High Court or the Lay Observer. The d e t a i l s of these arrangements are s e t out i n Annex D, P a r t 2.
C r i t i c i s m of e x i s t i n g procedures: the Law S o c i e t y
4.20
C r i t i c i s m
of
t h e c o m p l a i n t s
p r o c e d u r e s
has
been
d i r e c t e d
l a r g e l y
a t t h e
Law
S o c i e t y . I t i s not
s u r p r i s i n g
t h a t
t h e r e a r e more c o m p l a i n t s
about
s o l i c i t o r s than b a r r i s t e r s . There a r e ten times as many s o l i c i t o r s i n p r a c t i c e . Furthermore,
s o l i c i t o r s have a
more d i r e c t
and
longer term
involvement
w i t h
t h e i r
c l i e n t s . I n 1987 the S o l i c i t o r s Complaints Bureau
(SCB)
r e c e i v e d i n excess of 17,800 complaints, w h i l e the Bar
only r e c e i v e d perhaps 1% of t h a t number.
4.21
The SCB was s e t up i n 1986. P r e v i o u s l y complaints had
been
h a n d l e d
by
t h e
Law
S o c i e t y ' s
P r o f e s s i o n a l
Purposes Department; and t h i s arrangement had a t t r a c t e d
c r i t i c i s m on the ground t h a t i t could not be shown to
be s u f f i c i e n t l y i m p a r t i a l . Both the Bar and the Law S o c i e t y c o m b i n e t h e r o l e s o f s u p e r v i s i o n and p r o f e s s i o n a l r e p r e s e n t a t i o n . I t i s obviously e a s i e r to d e m o n s t r a t e t h e i n d e p e n d e n c e and i m p a r t i a l i t y necessary f o r handling d i s c i p l i n a r y c a s e s when the two r o l e s are s p l i t ( a s f o r example i s the case with the G e n e r a l M e d i c a l C o u n c i l and t h e B r i t i s h M e d i c a l A s s o c i a t i o n ) . The Law S o c i e t y appear t o have hoped t h a t , by s e t t i n g up t h e SCB
i n a s e p a r a t e e s t a b l i s h m e n t , w i t h a lay-dominated I n v e s t i g a t i o n Committee t o monitor i t s performance, t h e y would, notwithstanding t h a t they fund the SCB, enable i t to be regarded as independent of the Law S o c i e t y . I t i s not c l e a r t h a t they have as y e t been s u c c e s s f u l i n t h i s .
## Problems With The Law S O C I E T Y ' S Present Arrangements
4.22
The Government considers t h a t problems l i e p a r t i c u l a r l y
i n the following a r e a s :
(a)
The d e f i n i t i o n
of shoddy work
4.23
The Law S o c i e t y ' s
i n v e s t i g a t i o n o f c o m p l a i n t s was
confined t o matters of conduct u n t i l the beginning of
1987, but i t may now a l s o , under powers granted by
the
A d m i n i s t r a t i o n
o f J u s t i c e A c t 1985, i n v e s t i g a t e
c o m p l a i n t s about inadequate p r o f e s s i o n a l s e r v i c e s ,
w h i c h a r e o f t e n
d e s c r i b e d a s "shoddy work". The
Chairman of the Adjudication Committee i n the f i r s t
r e p o r t of the SCB e x p l a i n e d
t h a t h i s committee had
been i n d i f f i c u l t y i n i d e n t i f y i n g what the expression
"shoddy work" might cover. The Government b e l i e v e s the
d i f f i c u l t y does not a r i s e only because t h i s i s
a new
j u r i s d i c t i o n ,
but a l s o b e c a u s e i t i s a t
p r e s e n t
d i f f i c u l t
t o i d e n t i f y what
p r e c i s e
s t a n d a r d s
s o l i c i t o r s a r e e x p e c t e d t o meet. The Government suggests
t h a t the adoption of c l e a r
standards
i n a
w r i t t e n code of conduct
w i l l make the t a s k of the
Adjudication Committee e a s i e r .
## (B) Negligence Cases
4.24
The SCB i s u n w i l l i n g to take a c t i o n where i t appears
t h a t the complaint r a i s e s a question of negligence as
opposed to p r o f e s s i o n a l misconduct. I t e x p l a i n s the
two
expressions as f o l l o w s : -
(1)
" N e g l i g e n c e i s a
c i v i l
, o f f e n c e '
where t h e
s o l i c i t o r has been i n a d v e r t e n t l y incompetent. I n
negligence the s o l i c i t o r i s
i n
breach of h i s
duty
of c a r e to the c l i e n t and as a consequence the
c l i e n t has s u f f e r e d l o s s i n
money terms."
( i i ) " P r o f e s s i o n a l m i s c o n d u c t i s [ b r o a d l y ]
w i l f u l misbehaviour by a s o l i c i t o r which may i n v o l v e d i s r e g a r d i n g c e r t a i n r u l e s of conduct or may be of a t y p e t h a t c o u l d b r i n g the p r o f e s s i o n i n t o d i s r e p u t e i n d e a l i n g s with a c l i e n t . I t may now i n c l u d e incompetence f a l l i n g s h o r t of negligence."
4.25
The SCB e x p l a i n s t h a t i t cannot a c t i n negligence c a s e s
because "negligence i s a matter of law, which must be
s e t t l e d i n the
l a s t
r e s o r t by the c o u r t s . " I n s t e a d ,
when the SCB i d e n t i f i e s a p o s s i b l e negligence case, i t
sends
the complainant
to a
s o l i c i t o r on one
of i t s
negligence panels.
4.26
I n h i s 1987 report (Cm 626) the Lay Observer comments
a t para 47:-
"Even i f a s o l i c i t o r might have been negligent, would i t not be appropriate i n some c a s e s to deal with the complaint under the shoddy work powers r a t h e r than by proceedings f o r negligence, f o r example where a reduction i n the b i l l i s l i k e l y to be the appropriate remedy."
The Government agrees with t h i s and a l s o with the Lay Observer's comment elsewhere i n h i s report t h a t the Law S o c i e t y needs to consider how f a r the i n v e s t i g a t i o n of complaints i s hampered by s o l i c i t o r s who r e f u s e to co-operate on the grounds t h a t t h i s might p r e j u d i c e t h e i r c a s e i n p r o c e e d i n g s .
Such p r e j u d i c e i s not i n e v i t a b l e . I n some c a s e s , a f i n d i n g of shoddy work w i l l r e s u l t i n f i n a n c i a l recompense and settlement. I n o t h e r s the f i n d i n g w i l l help to demonstrate a poor performance but w i l l not n e c e s s a r i l y imply t h a t the performance was caused by negligence. The p o s s i b i l i t y of court proceedings should not be used as an excuse to prevent or d e l a y making r i g h t what has gone wrong, e s p e c i a l l y when the damage i s p e r f e c t l y c l e a r .
## (C) Confusion Of Choice
4.27
A complaint
may
r a i s e
i s s u e s besides shoddy work or
negligence, where there are s e v e r a l ways to take
the
i s s u e
forward.
For example, i n some c a s e s where i t
appears t h a t the s o l i c i t o r ' s f e e s are too high, i t i s
p o s s i b l e t o apply
e i t h e r t o the Law
S o c i e t y f o r a
remuneration c e r t i f i c a t e or to the Court f o r t a x a t i o n . The Government agrees with the Lay Observer t h a t the
Law S o c i e t y needs to make more e f f o r t to e x p l a i n to the
p u b l i c
t h e
n a t u r e
of
i t s v a r i o u s powers and
the
r e l a t i o n s h i p between them.
## (D) Delay
4.28
The SCB admits t h a t i t s handling of complaints i s often
s u b j e c t to delay. This may
be due p a r t l y to i t s high
workload and p a r t l y to s o l i c i t o r s f a i l i n g to r e p l y to
t h e
B u r e a u ' s
l e t t e r s .
The
a v e r a g e
shoddy work
complaint
a t present takes s i x months to work through
the system.
4.29
The Government expects the Law S o c i e t y to take measures
t o c u t down the number of c a s e s which need to
go
t h r o u g h
t h e
f u l l
SCB
p r o c e d u r e .
A
v o l u n t a r y
a r b i t r a t i o n procedure
f o r use
i n n e g l i g e n c e
c a s e s
a l r e a d y e x i s t s , but i t i s r a r e l y used. Attempts to r e a c h a s e t t l e m e n t i n c a s e s where t h e c l i e n t i s concerned p r i n c i p a l l y to get the work done have been more s u c c e s s f u l . The Government would l i k e to see the Law S o c i e t y e n c o u r a g e t h e d e v e l o p m e n t o f l o c a l c o n c i l i a t i o n schemes which could cover a l l complaints. There a r e
127
l o c a l law s o c i e t i e s .
The Government b e l i e v e s there i s scope f o r them t o p l a y a more a c t i v e r o l e i n s e t t l i n g disputes between aggrieved c l i e n t s and s o l i c i t o r s .
## Legal S E R V I C E S Ombudsman
The SCB I n v e s t i g a t i o n Committee hopes t h a t i t s l a y element and i t s independence h e l p t o r e d u c e t h e workload of the Lay Observer, but i t seems c l e a r t h a t the SCB has not y e t developed machinery f o r d e a l i n g with complaints which achieves p u b l i c confidence. The Lay Observer, as explained above, has powers t o examine the way complaints a r e handled but not t o re-examine the complaint. The Government b e l i e v e s , t h e r e f o r e , t h a t t h e L a y O b s e r v e r ' s powers a r e i n a d e q u a t e . The Government c o n s i d e r s t h a t the Lay Observer i s hampered i n h i s work by having l i m i t e d powers t o take c a s e s to the S o l i c i t o r s '
D i s c i p l i n a r y T r i b u n a l , no powers of r e f e r r a l to the SCB, and no powers to r e i n v e s t i g a t e the case or to award compensation.
F i n a l l y i t i s anomalous t h a t there i s no e q u i v a l e n t o f f i c e holder to review the complaints procedure of the Bar.
A c c o r d i n g l y t h e Government proposes t o a b o l i s h t h e o f f i c e of Lay Observer. Instead, the Lord C h a n c e l l o r w i l l appoint a Legal S e r v i c e s Ombudsman, who w i l l have power t o : -
(a)
examine a l l e g a t i o n s about the way complaints about
b a r r i s t e r s ,
s o l i c i t o r s o r any o t h e r new
l e g a l
p r o f e s s i o n a l s , who may e s t a b l i s h themselves i n the
f u t u r e ,
h a v e b e e n
h a n d l e d by t h e r e l e v a n t
p r o f e s s i o n a l body;
(b)
r e i n v e s t i g a t e
c a s e s where he c o n s i d e r s
i t
necessary;
( c )
r e f e r c a s e s back t o any body which
o r i g i n a l l y
i n v e s t i g a t e d the
complaint or t o any d i s c i p l i n a r y
t r i b u n a l
w h i c h
h a s power t o c o n s i d e r t h e
complaint ( t h i s would be the
normal course i n the
case of d e c i s i o n s of the High Court i n r e s p e c t of s o l i c i t o r s ' conduct or d e c i s i o n s of the V i s i t o r s
(who are judges of the High Court: see para 3 of Annex D) i n r e s p e c t of b a r r i s t e r s ' conduct);
(d)
recommend
t h e payment
of compensation
by
the
p r o f e s s i o n a l body concerned;
( e )
recommend
c h a n g e s
o r
i m p r o v e m e n t s
t o
t h e
complaints procedures of the Bar, the Law
S o c i e t y
or any other r e l e v a n t supervisory body; and
( f )
p u b l i c i s e h i s d e c i s i o n s .
## Summary Of Proposals
4.32
( a )
The
Government intends
to p r e s c r i b e ,
by
way
of
s t a t u t o r y
i n s t r u m e n t ,
c l e a r
p r i n c i p l e s
and
standards,
f o r embodiment i n two codes of conduct
to be adopted by p r o f e s s i o n a l bodies,
covering:-
( i )
the p r o v i s i o n of l e g a l advice and a s s i s t a n c e ;
and
( i i ) the preparation of cases and t h e i r conduct i n
court.
F a i l u r e to observe any requirement of the p r i n c i p l e s and standards s e t out i n these codes would be a cause f o r d i s c i p l i n a r y proceedings.
(b)
The
Government b e l i e v e s
t h a t each
p r o f e s s i o n a l
body should demonstrate t h a t i t has a
s u p e r v i s o r y
body to i n v e s t i g a t e complaints which can be shown
t o
be
both
i m p a r t i a l
and
independent
of
the
p r o f e s s i o n ' s r e p r e s e n t a t i o n a l body.
( c )
The Government intends t o r e p l a c e the Lay Observer
by a L e g a l
S e r v i c e s Ombudsman who would have
g r e a t e r
p o w e r s t o examine t h e h a n d l i n g
o f
complaints by the Bar, the Law S o c i e t y and any other l e g a l p r o f e s s i o n a l body.
## Introduction
5.1
A r i g h t of audience e n t i t l e s a person to address a
c o u r t of law on b e h a l f of another. I n England
and
Wales, r e s t r i c t i o n s a r e a t present placed, e i t h e r
by
s t a t u t e or by usage regulated by the judges, on r i g h t s
of audience i n a l l
c o u r t s of law. The Government wishes
t o
e x a m i n e
i n t h i s c h a p t e r whether
t h e
c u r r e n t
r e s t r i c t i o n s on r i g h t s of audience before the c o u r t s a r e
compatible w i t h the key
p r i n c i p l e s
o u t l i n e d i n
Chapter 1, p a r t i c u l a r l y i n the l i g h t of the matters d i s c u s s e d i n Chapter 3.
5.2
A summary of
r i g h t s
of audience i n the c o u r t s of
England and Wales i s a t Annex E.
The case f o r r e s t r i c t i n g r i g h t s of audience
5.3
Under
an
a d v e r s a r i a l
s y s t e m
s u c h
a s
o u r s ,
t h e
p r e s e n t a t i o n
o f
b o t h
t h e
f a c t s
and
t h e
l e g a l
a u t h o r i t i e s
on which
t h e judge's d e c i s i o n
w i l l
be
b a s e d
i s t h e
r e s p o n s i b i l i t y
o f
t h e
a d v o c a t e s
r e p r e s e n t i n g the p a r t i e s concerned.
Judges
i n t h i s
country work l a r g e l y without l e g a l support, and t h e i r judgments are prepared e n t i r e l y by themselves with no a s s i s t a n c e , so f a r as law i s concerned, except the r e p r e s e n t a t i o n s of the p a r t i e s .
They t h e r e f o r e need to be able to r e l y on the s t r e n g t h and adequacy of the r e p r e s e n t a t i o n s of the advocates appearing before them.
An i n e x p e r i e n c e d or incompetent advocate who cannot present a case properly i s not only u n l i k e l y to be able to do j u s t i c e to h i s or her c l i e n t ' s case, but i s a l s o l i k e l y t o waste the time of the court and may by h i s f a i l u r e b r i n g about i n j u s t i c e .
The ensuing delay, a d d i t i o n a l expense and inconvenience can a f f e c t not only the case i n question but a l s o other c a s e s w a i t i n g t h e i r t u r n to be heard; and indeed the s t a t e of the law g e n e r a l l y .
I t
i s not
o n l y an advocate's competence which i s
5.4
important here;
i t i s a l s o the standards of i n t e g r i t y
and e t h i c a l p r a c t i c e required of advocates which have
developed over many y e a r s t o ensure t h a t the q u a l i t y of
j u s t i c e i s maintained.
Judges need to be able to
t r u s t the word of the advocates appearing before them and to r e l y on them not to mislead the c o u r t ; otherwise
proof of every matter would be required, l e a d i n g to
unnecessary delay and inconvenience f o r a l l concerned.
I t
i s a l s o important
to r e c o g n i s e t h a t judges give
5.5
judgments w i t h reasons which
can be used
i n o t h e r
c a s e s .
Because of the d o c t r i n e of j u d i c i a l precedent
(under which d e c i s i o n s of the higher c o u r t s on matters
of law a r e t r e a t e d as binding on the lower
c o u r t s ) ,
such judgments, p a r t i c u l a r l y i n the higher c o u r t s , play
a v i t a l r o l e i n the development of E n g l i s h law.
I t i s
f o r t h i s reason t h a t the judges look to the advocates
appearing before them to c i t e a l l r e l e v a n t a u t h o r i t i e s t o the c o u r t , whether or not these a u t h o r i t i e s a r e
favourable to t h e i r case.
The p r e s e n t a t i o n of cogent
l e g a l argument i s a h i g h l y s k i l l e d t a s k r e q u i r i n g not
only a knowledge of the law but a l s o constant p r a c t i c e
i n advocacy.
5.6
F o r
t h e s e r e a s o n s
i t i s n e c e s s a r y t o e n s u r e ,
i n
c o n s i d e r i n g what the a p p r o p r i a t e c r i t e r i a
a r e f o r
g r a n t i n g
r i g h t s of audience,
t h a t such
r i g h t s
a r e
given, p a r t i c u l a r l y i n the higher c o u r t s , only to those
who
w i l l not only give the r i g h t q u a l i t y of s e r v i c e to
the p a r t i e s i n v o l v e d i n a c a s e , but who
w i l l
a l s o
enable the q u a l i t y of
j u s t i c e and the standards of
advocacy to be maintained.
## Obtaining R I G H T S Of Audience
5.7
The Government c o n s i d e r s that, f o r the reasons given
above,
r i g h t s of audience i n the c o u r t s should be
r e s t r i c t e d to those who a r e properly t r a i n e d ,
s u i t a b l y
e x p e r i e n c e d and s u b j e c t to codes of conduct
which
maintain standards, although t h i s should not a f f e c t an
i n d i v i d u a l ' s
r i g h t
t o s e l f - r e p r e s e n t a t i o n . The
Government t h e r e f o r e , as s t a t e d i n Chapter 3, b e l i e v e s
t h a t advocacy i n the c o u r t s should be an area where recognised p r o f e s s i o n a l e x p e r t i s e i s r e q u i r e d . Subject
to that, the Government b e l i e v e s , i n accordance
with
the p r i n c i p l e s s e t
out i n Chapter 1, t h a t the p u b l i c
should have the widest p o s s i b l e choice among recognised
advocates who a r e f r e e to compete
f a i r l y
w i t h one
another f o r
the business a v a i l a b l e from c l i e n t s .
5.8
A c c o r d i n g l y t h e Government b e l i e v e s t h a t , f o r
the
f u t u r e ,
r i g h t s of audience
before
p a r t i c u l a r c o u r t s
s h o u l d
depend
o n l y upon w h e t h e r
a d v o c a t e s c a n
demonstrate that they have the appropriate education,
t r a i n i n g and q u a l i f i c a t i o n s and a r e bound by appropriate codes of conduct.
Advocates' p r o f e s s i o n a l bodies should have to s a t i s f y the Lord Chancellor that t h e i r members are f i t and proper people to appear as advocates before the court or c o u r t s i n question i n order t o o b t a i n r i g h t s of audience f o r them.
The n e c e s s a r y requirements would vary, depending on the l e v e l and nature of the court concerned, and would need to be worked out i n d e t a i l f o r each court, but the present d i s t i n c t i o n s i n the treatment by the c o u r t s of t h e d i f f e r e n t b r a n c h e s o f t h e p r o f e s s i o n would disappear. The b a s i c premise i s t h a t the s a t i s f a c t i o n of such requirements should, f o r the future, alone be the t e s t f o r g r a n t i n g r i g h t s of audience; and not whether an advocate happened by i n i t i a l q u a l i f i c a t i o n to be a lawyer, whether a b a r r i s t e r or a s o l i c i t o r , and whether i n p r i v a t e p r a c t i c e or employed.
## Lay Advocacy
5.9
Lay r e p r e s e n t a t i v e s already appear i n a wide v a r i e t y of
proceedings; and the Government t h i n k s t h a t i t may
now
be r i g h t f o r l a y r e p r e s e n t a t i v e s to be granted
r i g h t s
of audience i n the c o u r t s on behalf of others i n some
i n s t a n c e s . The
C i v i l
J u s t i c e Review R.48
(Cm.
394)
recommended t h a t i n small c l a i m s c a s e s and debt
and
housing
c a s e s i n the County Court,
l i t i g a n t s
should
have the r i g h t to be a s s i s t e d or represented by the l a y
r e p r e s e n t a t i v e of t h e i r choice, although the court, on
g i v i n g reasons, would have the d i s c r e t i o n to
r e s t r i c t
the involvement
of corrupt or unruly r e p r e s e n t a t i v e s ,
and, where necessary, to exclude them e n t i r e l y .
Any r i g h t s of audience granted to l a y advocates would supplement, and not r e p l a c e , the e x i s t i n g r i g h t s of those who r e p r e s e n t themselves to have a f r i e n d i n c o u r t who a s s i s t s but does not represent them. I n other i n s t a n c e s , s p e c i a l i s t p r a c t i t i o n e r s who are not lawyers should be a b l e t o e x e r c i s e r i g h t s of audience i n perhaps a l i m i t e d range of c a s e s appropriate to t h e i r s p e c i a l i s t e x p e r t i s e i f t h e y c a n s a t i s f y t h e a p p r o p r i a t e t e s t s .
The aim should be to ensure the widest p o s s i b l e choice of advocate f o r the c l i e n t while a t the same time ensuring t h a t adequate standards of competence and probity are maintained. The whole area of l a y r e p r e s e n t a t i o n should be c o n s i d e r e d by the Advisory Committee.
## Employed Lawyers
5.10
The Government a l s o b e l i e v e s t h a t i t should be p o s s i b l e
f o r appropriate codes of conduct to guard a g a i n s t any
c o n f l i c t s of i n t e r e s t which might a r i s e i n the case of
employed
l a w y e r s ;
and
t o
s e c u r e
t h e
d e g r e e
o f
r e s p o n s i b i l i t y to the court and independence from the p a r t i e s which i s v i t a l i f the court i s to r e l y on t h e i r
r e p r e s e n t a t i o n . A u n i v e r s a l p r o h i b i t i o n on
r i g h t s
of
audience f o r employed lawyers would t h e r e f o r e appear to
be an unnecessary c o n s t r a i n t .
5.11
I n p a r t i c u l a r ,
i n the c a s e of prosecution work the
Government endorses
the p r i n c i p l e recommended i n the
Report
of the Royal Commission on C r i m i n a l
Procedure
(Cmnd 8092) p u b l i s h e d
i n January 1981
( t h e
P h i l i p s
Report)
t h a t t h e r e should be a c l e a r s e p a r a t i o n of
r e s p o n s i b i l i t y f o r the conduct of the prosecution from
the conduct of the i n v e s t i g a t i v e process (paras 7.3 and
7 . 7 ) . The Crown Prosecution S e r v i c e , c r e a t e d i n the
wake of
t h e
P h i l i p s
Report,
c l e a r l y
f o l l o w s
t h i s
p r i n c i p l e s i n c e i t i s both independent of the p o l i c e
and accountable to the Attorney-General r a t h e r than the
Home S e c r e t a r y who
has M i n i s t e r i a l r e s p o n s i b i l i t y f o r
the p o l i c e . The Government t h e r e f o r e c o n s i d e r s t h a t i t
i s l i k e l y to be f e a s i b l e as a matter of p r i n c i p l e for
lawyers employed by the Crown Prosecution S e r v i c e to
have r i g h t s of audience
i n a l l the c r i m i n a l c o u r t s ,
provided t h a t they can s a t i s f y the appropriate advocacy
requirements
and
undertake
to abide by the r e l e v a n t
codes of conduct; and provided t h a t i t i s adequately
recognised by p r a c t i c a l safeguards t h a t t h e i r duty to
the court must take precedence over any
r e s p o n s i b i l i t y
they may have to t h e i r employer.
5.12
So f a r as r i g h t s of audience f o r lawyers employed on
prosecution work by other Government departments are concerned,
and
a l s o
f o r lawyers employed by
other
bodies which undertake prosecutions, c o n s i d e r a t i o n w i l l
need to be given to how
they might meet the
P h i l i p s
p r i n c i p l e , e s p e c i a l l y i n the case of the more s e r i o u s
cases which are t r i e d i n the Crown Court, before
any
changes i n t h e i r r i g h t s of audience are made. I n the case of the prosecution work c a r r i e d out by Government departments, departments would a t l e a s t need to be able to demonstrate a c l e a r s t r u c t u r a l s e p a r a t i o n i n t h e arrangement of the department of t h o s e s t a f f involved i n i n v e s t i g a t i o n s from those r e s p o n s i b l e f o r c o n d u c t i n g p r o s e c u t i o n s ; and, i n some c a s e s , the s o l u t i o n might be to t r a n s f e r r e s p o n s i b i l i t y f o r the lawyers who have c a r r i a g e of prosecution work from the department concerned to the Attorney-General.
## Role Of The Advisory Committee
5.13
The Government proposes
t h a t the r e c o n s t i t u t e d Lord
C h a n c e l l o r ' s Advisory Committee on Legal Education and
Conduct
( s e e Chapter 3) should
be
r e s p o n s i b l e f o r
a d v i s i n g
t h e
L o r d
C h a n c e l l o r on
t h e
e d u c a t i o n ,
q u a l i f i c a t i o n s and
t r a i n i n g of advocates
appropriate
f o r each of the v a r i o u s c o u r t s .
The Lord C h a n c e l l o r
should be r e q u i r e d to c o n s u l t the j u d i c i a r y before
reaching d e c i s i o n s as a r e s u l t of advice tendered
by
the Advisory Committee, although the f i n a l d e c i s i o n would be f o r him.
I t would seem to be appropriate t h a t d e c i s i o n s by the Lord Chancellor on r i g h t s of audience should be put i n t o e f f e c t by means of subordinate l e g i s l a t i o n which i s s u b j e c t to Parliamentary c o n t r o l .
T h i s would provide the degree of d i r e c t Parliamentary c o n t r o l t h a t would be appropriate i n t h i s important area, d i r e c t l y a f f e c t i n g , as i t does, the p u b l i c ' s access to the c o u r t s .
## Advocacy C E R T I F I C A T E S
5.14
The Government proposes, s u b j e c t to any advice i t might r e c e i v e from the r e c o n s t i t u t e d Advisory Committee, t h a t r i g h t s o f a u d i e n c e f o r a l l a d v o c a t e s s h o u l d be dependent on a c e r t i f i c a t e o f competence.
T h i s c e r t i f i c a t e c o u l d be e i t h e r f u l l , e n t i t l i n g t h e advocate t o r i g h t s of audience i n a l l c o u r t s , or l i m i t e d , e n t i t l i n g the advocate to r i g h t s of audience i n only the lower c o u r t s . (See paras 5.24 to 5.33 below f o r f u r t h e r d e t a i l s of these c e r t i f i c a t e s . )
5.15
The Government suggests t h a t , i n order to obtain a
f u l l
advocate's
c e r t i f i c a t e , those who wish to p r a c t i s e i n
a l l c o u r t s i n England and Wales should need to:
( a )
undertake an appropriate academic course i n law;
(b)
u n d e r t a k e
a v o c a t i o n a l c o u r s e which i n c l u d e s
advocacy t r a i n i n g ;
( c )
undertake p r a c t i c a l t r a i n i n g i n advocacy;
(d)
obtain a l i m i t e d c e r t i f i c a t e ; and then
( e )
p r a c t i s e with a l i m i t e d c e r t i f i c a t e f o r a c e r t a i n
period.
P r o g r e s s i o n t o e a c h s t a g e s h o u l d depend on a s a t i s f a c t o r y completion of the p r e v i o u s one and an a s s u r a n c e t h a t work i s b e i n g c o m p l e t e d t o a s a t i s f a c t o r y standard.
5.16
The Government e n v i s a g e s t h a t advocacy
c e r t i f i c a t e s
would
be
i s s u e d
and,
where a p p r o p r i a t e ,
v a r i e d ,
suspended
o r
revoked
by
t h e r e l e v a n t s u p e r v i s o r y
p r o f e s s i o n a l bodies.
The Lord Chancellor would decide,
on
a d v i c e from t h e A d v i s o r y Committee,
and
a f t e r
c o n s u l t i n g the
j u d i c i a r y , which p r o f e s s i o n a l bodies
should be authorised to grant advocacy
c e r t i f i c a t e s .
The
A d v i s o r y
Committee would
be
e x p e c t e d
t o
be
s a t i s f i e d ,
before recommending t h a t any p r o f e s s i o n a l
body s h o u l d
be
so a u t h o r i s e d , t h a t
t h a t body
had
adequate arrangements i n operation both to ensure
a
p r a c t i t i o n e r ' s c o m p e t e n c e and t o m o n i t o r h i s
performance as a p r a c t i s i n g advocate.
The Government
suggests
t h a t i t i s i n the p u b l i c i n t e r e s t
t h a t
a
v a r i e t y of p r o f e s s i o n a l
bodies should be so a u t h o r i s e d .
## Requirements F O R Obtaining An Advocacy C E R T I F I C A T E Academic Course I N Law
This i s d i s c u s s e d i n Chapter 3 and Annex C.
## Vocational Course
5.17
The
b a s i c
a d v o c a c y
c o u r s e
s h o u l d
i n c l u d e
b o t h
t h e o r e t i c a l and p r a c t i c a l i n s t r u c t i o n i n how to present a c a s e .
T h i s p r a c t i c a l i n s t r u c t i o n should be under the
s u p e r v i s i o n of p r a c t i s i n g advocates and should take the
form of demonstrations and r o l e - p l a y i n g
e x e r c i s e s .
The
student would not attend court except as an observer
during t h i s stage of t r a i n i n g .
## P R A C T I C A L T R A I N I N G
5.18
T h i s stage of t r a i n i n g would need to be undertaken
by
a l l
student advocates
w i s h i n g to a c q u i r e a
l i m i t e d
advocacy c e r t i f i c a t e . The purpose of the t r a i n i n g would be
t o
i n t r o d u c e s t u d e n t s t o the world
of
a c t u a l
p r a c t i c e
and
t o
e n a b l e
them
t o
g a i n
f i r s t - h a n d
e x p e r i e n c e of
s e e i n g how
advocacy i s conducted
by
p r a c t i t i o n e r s i n court. Students would each be r e q u i r e d
to be attached throughout
t h i s stage of t r a i n i n g to an
e x p e r i e n c e d advocate who would be r e s p o n s i b l e f o r t e a c h i n g t h e s t u d e n t t h e t o o l s of the t r a d e and monitoring h i s or her progress. Students should have to keep log books i n which they would record d e t a i l s of t h e i r t r a i n i n g , which would be a u t h e n t i c a t e d by the experienced p r a c t i t i o n e r t o whom they are attached.
P r a c t i t i o n e r s w i l l i n g t o take s t u d e n t s ought to be c e r t i f i e d as q u a l i f i e d t o do so by t h e i r p r o f e s s i o n a l body. The length and method of t h i s p r a c t i c a l t r a i n i n g and t h e c r i t e r i a a p p r o p r i a t e f o r i d e n t i f y i n g p r a c t i t i o n e r s q u a l i f i e d to take students are matters on which the Advisory Committee w i l l be i n v i t e d to make p r o p o s a l s . The Government would n e v e r t h e l e s s welcome
v i e w s now on how t h e s e suggestions
could be given
p r a c t i c a l e f f e c t .
5.19
The Government envisages t h a t the p r a c t i c a l stage of
t r a i n i n g i s u n l i k e l y t o l a s t f o r l e s s than s i x months.
The
A d v i s o r y Committee would need t o suggest
what
p r o p o r t i o n of t h i s p e r i o d should
c o n s i s t o f a c t u a l
experience of what happens i n
c o u r t .
T h i s experience
would be gained by watching, t a k i n g notes of evidence
and general a s s i s t a n c e t o
the
p r a c t i t i o n e r t o
whom
the
s t u d e n t i s a t t a c h e d .
The s t u d e n t would not have
r i g h t s of audience i n
court a t t h i s stage, although i t
might be appropriate to
encourage him
or
her
t o appear
as a l a y person i n
t r i b u n a l s or
i n
small c l a i m s c a s e s
i n the
County Courts. Students should be able t o
show,
p e r h a p s through
t h e i r l o g books,
t h a t
t h e y
have
a t t e n d e d
c o u r t f o r
a minimum
p e r i o d
w i t h t h e
p r a c t i t i o n e r t o
whom they a r e
attached o r with other
s u i t a b l e
p r a c t i t i o n e r s i n each of the c a t e g o r i e s of
case r e l e v a n t to the p a r t i c u l a r
c e r t i f i c a t e they a r e
seeking.
5.20
The Government suggests
t h a t t h e r e should be three
types of l i m i t e d advocacy c e r t i f i c a t e :
(a)
general, covering both c r i m i n a l and c i v i l work;
(b)
c r i m i n a l only;
and
( c )
c i v i l only.
The m a j o r i t y of students would probably wish t o seek a g e n e r a l
c e r t i f i c a t e , but t h e r e would be some ( f o r
example, any
who had already decided
they wanted t o
follow a c a r e e r i n
the
Crown Prosecution S e r v i c e )
who
would wish t o seek only a c r i m i n a l or,
a s the case
might be, a c i v i l
c e r t i f i c a t e .
5.21
T h i s would mean that those students wishing t o acquire
a l i m i t e d general advocacy c e r t i f i c a t e would need t o
show t h a t they had attended both c r i m i n a l and c i v i l c a s e s f o r a minimum period.
Those students wishing to a c q u i r e only l i m i t e d c r i m i n a l advocacy c e r t i f i c a t e s would need to show only t h a t they had attended c r i m i n a l c a s e s f o r a minimum period and those students wishing to a c q u i r e only l i m i t e d c i v i l advocacy c e r t i f i c a t e s would need to show only t h a t they had attended c i v i l c a s e s f o r a minimum period. I n view of the kind of p r a c t i c e t h a t i t i s envisaged would be allowed to a student a f t e r he or she had acquired a l i m i t e d advocacy c e r t i f i c a t e
(see paras 5.24-5.26 below), the student should be able to show that h i s or her court experience a t t h i s stage had included s i g n i f i c a n t experience i n the lower c o u r t s .
5.22
A f t e r a student had gained some general experience of
p r a c t i c e the Advisory Committee might wish to consider
o b l i g i n g him or her to undertake a f u r t h e r s h o r t taught
c o u r s e
i n a d v o c a c y
a t
t h i s
s t a g e
i n o r d e r
t o
c o n s o l i d a t e what he or she learned a t the v o c a t i o n a l
s t a g e and
e x p e r i e n c e d
during h i s or her
p r a c t i c a l
t r a i n i n g .
5.23
On
s a t i s f a c t o r y completion
of the p r a c t i c a l stage of
t r a i n i n g , which should be confirmed by the production
of a c e r t i f i c a t e signed by the s u p e r v i s i n g advocate, the r e l e v a n t p r o f e s s i o n a l
body would i s s u e the student
w i t h a l i m i t e d advocacy
c e r t i f i c a t e which would
be
e i t h e r general, covering both c r i m i n a l and c i v i l work,
or r e s t r i c t e d to e i t h e r c r i m i n a l or c i v i l work.
Advocacy w i t h a l i m i t e d c e r t i f i c a t e
5.24
Those holding a l i m i t e d advocacy c e r t i f i c a t e could be
granted
r i g h t s of audience
i n the c o u r t s l i s t e d
i n
para 5.26.
The Advisory Committee would be expected to
advise on
t h i s i n due course.
Those with a
l i m i t e d
general c e r t i f i c a t e would have r i g h t s of audience i n a l l the c o u r t s l i s t e d ;
those with a l i m i t e d c r i m i n a l or c i v i l c e r t i f i c a t e would have r i g h t s of audience only i n c r i m i n a l or c i v i l c a s e s , as the case might be.
5.25
I t should be f o r c o n s i d e r a t i o n whether any
p a r t i c u l a r
proceedings concerning c h i l d r e n , such as c a r e , wardship
and adoption, should be excluded from the scope of a
l i m i t e d advocacy
c e r t i f i c a t e .
5.25
S u b j e c t to
t h i s
p o i n t , the c o u r t s proposed
a r e as
f o l l o w s :
(a)
the Magistrates' Courts - a l l proceedings;
(b)
Coroners' Courts;
( c )
the County Courts - a l l proceedings;
(d)
the Crown Court
- a l l proceedings
except
j u r y
t r i a l s ;
and
( e )
the High Court -
( i )
formal and unopposed proceedings; and
( i i ) proceedings i n chambers.
5.27
For some advocates a l i m i t e d advocacy
c e r t i f i c a t e
may
be
s u f f i c i e n t
f o r the needs of
t h e i r
p r a c t i c e .
For
such advocates a f u l l c e r t i f i c a t e w i l l be unnecessary.
advocacy with a f u l l
c e r t i f i c a t e
5.28
A
f u l l
c e r t i f i c a t e would allow an advocate
r i g h t s of
audience i n a l l
c o u r t s i n England and Wales e i t h e r i n
a l l c a s e s or e l s e i n only c r i m i n a l or c i v i l c a s e s , as the case might be.
5.29
I t w i l l be f o r c o n s i d e r a t i o n by the Advisory Committee
whether a s h o r t formal taught course a t the end of the
l i m i t e d
c e r t i f i c a t e
p e r i o d would
be
a
u s e f u l
requirement before a f u l l advocacy c e r t i f i c a t e could be
o b t a i n e d .
The
c o n t e n t s of any
such c o u r s e would
o b v i o u s l y depend on t h e type of f u l l c e r t i f i c a t e sought, but such a course could f o r i n s t a n c e cover j u r y t r i a l s and the d i f f e r e n c e s i n procedure between the County Court and the High Court.
| | | | | | | | | | Full | general | c e r t i f i c a t e |
|------|-----|------|--------|----|---------------|-----------------------|-------|-----------------------|--------|------------|---------------------------|
| 5.30 | | To | obtain | a | f u l l | general | | c e r t i f i c a t e | an | advocate | would |
| need | t o | have | held | a | l i m i t e d | c e r t i f i c a t e | f o r | a minimum | | | |
p e r i o d and w i t h i n a s e t p e r i o d o f t i m e t o have c o m p l e t e d a p r e s c r i b e d minimum amount o f a c t u a l advocacy i n the Magistrates' Courts, the County Courts and the Crown Court.
| | | | | | | | | Full | c r i m i n a l | c e r t i f i c a t e |
|----------|-------|---------------------|----|--------|------|---------|---------------|-----------------|-----------------------|---------------------------|
| 5.31 | | S i m i l a r l y , | to | obtain | a | f u l l | | c r i m i n a l | c e r t i f i c a t e | an |
| advocate | would | need | to | have | held | a | l i m i t e d | | c e r t i f i c a t e | |
for a minimum period and w i t h i n a s e t
period of time to
have completed a p r e s c r i b e d minimum amount of a c t u a l advocacy i n t h e M a g i s t r a t e s '
Courts and the Crown Court.
| | | | | | | | Full | c i v i l | | c e r t i f i c a t e |
|---------|--------|--------|-------------|---------|----|---------------|-----------|-----------------------|---------|--------------------------|
| 5.32 | | Again, | to | obtain | a | f u l l | c i v i l | c e r t i f i c a t e | an | advocate |
| would | need | to | have | held | a | l i m i t e d | | c e r t i f i c a t e | f o r a | |
| minimum | period | and | w i t h i n | a s e t | | period | of | time | to | have |
c o m p l e t e d a p r e s c r i b e d minimum amount o f a c t u a l
advocacy i n
the
County Courts.
5.33
These time l i m i t s and the minimum amount of a c t u a l advocacy w i l l be m a t t e r s f o r c o n s i d e r a t i o n by the Advisory Committee, but they should recognise t h a t the best t e s t of competence i n advocacy i s an advocate' s a b i l i t y to earn a l i v i n g by pleading i n the c o u r t s .
Amendments to l e g i s l a t i o n and p r a c t i c e r u l e s
5 . 3 4
A r e - o r g a n i s a t i o n of r i g h t s of audience on the l i n e s
s u g g e s t e d above would
r e q u i r e amendment o f both
s t a t u t o r y p r o v i s i o n s and r u l e s of court. The Bar and
the Law S o c i e t y would d o u b t l e s s a l s o wish t o amend
t h e i r p r o f e s s i o n a l p r a c t i c e r u l e s .
## Transitional Arrangements
5.35
The p r i n c i p l e underlying the t r a n s i t i o n a l arrangements
should be t h a t
i n d i v i d u a l
p r a c t i t i o n e r s who
already
have r i g h t s of audience before the v a r i o u s p a r t i c u l a r c o u r t s , when the new arrangements come i n t o
force,
should r e t a i n those r i g h t s . The new arrangements would
be intended to apply only to those who q u a l i f i e d a f t e r
the new arrangements come i n t o operation. I n addition,
t h e r e f o r e , t r a n s i t i o n a l arrangements would need to be
made t o ensure t h a t those who can
demonstrate t h a t they
already have long experience i n a p a r t i c u l a r f i e l d of advocacy and who a r e c u r r e n t l y
p r a c t i s i n g i n t h a t
f i e l d , but who may not be a b l e t o f u l f i l any new
educational requirements f o r r i g h t s of audience,
w i l l
n e v e r t h e l e s s be able to obtain the appropriate r i g h t s of audience. T h i s would be p a r t i c u l a r l y l i k e l y to apply
t o s o l i c i t o r s who can show t h a t they a l r e a d y have s u f f i c i e n t e x p e r i e n c e of p r a c t i s i n g advocacy i n the r e l e v a n t c o u r t s .
T r a n s i t i o n a l arrangements f o r b a r r i s t e r s
5.36
A l l b a r r i s t e r s who had completed t h e i r p u p i l l a g e s , when the new arrangements were introduced, would be granted f u l l general advocacy c e r t i f i c a t e s . Students c a l l e d t o the Bar or completing p u p i l l a g e a f t e r the i n t r o d u c t i o n of the new arrangements would be required t o obtain the proposed advocacy c e r t i f i c a t e s .
T r a n s i t i o n a l arrangements f o r s o l i c i t o r s
5 . 3 7
A l l s o l i c i t o r s
i n p r i v a t e p r a c t i c e , when the
new
arrangements were introduced, would be granted
l i m i t e d
g e n e r a l
a d v o c a c y
c e r t i f i c a t e s .
O b t a i n i n g
a
f u l l
c e r t i f i c a t e
t h e r e a f t e r would depend on whether
a
s o l i c i t o r
c o u l d
d e m o n s t r a t e
t h a t he
o r
she
had
s a t i s f i e d
t h e
n e c e s s a r y
c o n d i t i o n s . The
A d v i s o r y
Committee would be asked to advise as an e a r l y p r i o r i t y
what t h i s should e n t a i l . As with b a r r i s t e r s ,
students
completing a r t i c l e s a f t e r the new arrangements were
introduced would be required to obtain the necessary
advocacy c e r t i f i c a t e s .
## Transitional Arrangements F O R Employed Lawyers
5.38
Employed
l a w y e r s would be
g r a n t e d
l i m i t e d
g e n e r a l
advocacy c e r t i f i c a t e s when the new
arrangements came
i n t o
f o r c e .
An
employed
l a w y e r
would need
t o
d e m o n s t r a t e
t h a t
he
o r
s h e
had
s a t i s f i e d
t h e
requirements
f o r a f u l l general advocacy
c e r t i f i c a t e ,
i n order to obtain one of these. The Advisory Committee
would be asked to advise as an e a r l y p r i o r i t y what t h i s
should e n t a i l . Any employed b a r r i s t e r who had not done p u p i l l a g e should f o r t h i s purpose a l s o have to show t h a t he or she had met the requirements of the proposed new p r a c t i c a l t r a i n i n g , although t h i s could be done under the s u p e r v i s i o n of a s u i t a b l y q u a l i f i e d lawyer employed i n the same o r g a n i s a t i o n .
Procedures f o r d e a l i n g with p o t e n t i a l c o n f l i c t s of i n t e r e s t would, of course, need to be i n p l a c e before these changes could be made, a s would a r r a n g e m e n t s t o e n s u r e t h e i n d e p e n d e n c e o f l a w y e r s h a v i n g t h e c o n d u c t o f prosecutions from those involved i n the i n v e s t i g a t i v e process.
## T R A N S I T I O N A L Arrangements F O R Others
| 5.39 | A l l those who | already had | | l i m i t e d | r i g h t s | of | audience |
|---------|--------------------|---------------|-----|-----------------|----------------|--------|-------------|
when the new arrangements were introduced (see Annex Ε
f o r examples) would be e n t i t l e d to r e t a i n these.
The Advisory Committee would be asked to advise as an e a r l y p r i o r i t y on the appropriate continuing arrangements for g r a n t i n g advocacy c e r t i f i c a t e s t o p r a c t i t i o n e r s of these kinds a f t e r the new arrangements come i n t o f o r c e .
## Consultation
5.40
The Government would welcome views on the proposals f o r r i g h t s of audience s e t out above.
## Chapter 6 - Immunity From Actions In Negligence In Advocacy Work
Recent cases have e s t a b l i s h e d t h a t an advocate, whether b a r r i s t e r or s o l i c i t o r , i s immune from an a c t i o n f o r negligence a t the s u i t of h i s or her c l i e n t i n r e s p e c t of h i s o r h e r conduct and management o f a case i n court.
T h i s immunity extends t o t h e p r e l i m i n a r y work connected w i t h t h e h e a r i n g such a s t h e drawing of p l e a d i n g s and t o p r e - t r i a l work where t h e a c t i n question i s i n t i m a t e l y connected with the conduct of the case i n court.
The main r e a s o n s f o r t h i s immunity a r e t h a t t h e a d m i n i s t r a t i o n o f j u s t i c e r e q u i r e s b a r r i s t e r s and s o l i c i t o r s t o be able t o c a r r y out t h e i r duty t o the court f e a r l e s s l y and independently and t h a t a c t i o n s f o r n e g l i g e n c e a g a i n s t b a r r i s t e r s and s o l i c i t o r s i n r e s p e c t of advocacy work would make t h e r e - t r y i n g of t h e o r i g i n a l a c t i o n s i n e v i t a b l e and s o m u l t i p l y l i t i g a t i o n .
The Government a c c e p t s t h e cogency of these arguments and c o n s i d e r s t h a t t h i s immunity from a c t i o n s i n negligence should i n the f u t u r e extend to a l l recognised advocates.
## Chapter 7 - Attendance On Counsel
7.1
At present, except i n proceedings i n the Magistrates'
C o u r t ,
c o u n s e l i s v i r t u a l l y
always
a t t e n d e d by a
s o l i c i t o r or t h e i r r e p r e s e n t a t i v e . The Code of Conduct
of the
Bar allows a b a r r i s t e r t o appear unattended i n
any case i n
the
Crown Court provided t h a t he or she i s
s a t i s f i e d t h a t the i n t e r e s t s of the
l a y
c l i e n t and
the
i n t e r e s t s of j u s t i c e w i l l not be p r e j u d i c e d . The Law
S o c i e t y ' s
P r a c t i c e
R u l e s a r e l e s s
r e l a x e d about
a l l o w i n g
s o l i c i t o r s not t o accompany b a r r i s t e r s t o
court.
7.2
The c r i t i c i s m frequently l e v e l l e d a t a requirement f o r
counsel to be attended i n court i s t h a t i t produces unnecessary double manning and t h e r e f o r e i n c r e a s e d c o s t
to the c l i e n t . I t
must t h e r e f o r e be considered whether
the requirement f o r
a s o l i c i t o r to attend on counsel
o r , i n t h e l i g h t
o f t h e p r o p o s a l s
o u t l i n e d i n
Chapter 5, to attend on any advocate, can
be j u s t i f i e d .
7.3
The Government c o n s i d e r s t h a t the need f o r
an advocate
to be attended i n court depends on the circumstances.
I n some c a s e s attendance may be superfluous,
but
i n
others i t
may genuinely be d i f f i c u l t f o r
an advocate
to handle both the advocacy and the a n c i l l a r y matters
without a s s i s t a n c e .
I n such c a s e s i t
may w e l l be an
e f f i c i e n t and c o s t - e f f e c t i v e u s e o f t i m e f o r an
advocate to
be attended.
7.4
Accordingly, the Government c o n s i d e r s t h a t those who
a r e paying f o r i n - c o u r t work should be allowed t o
decide whether a s s i s t a n c e i n court i s r e q u i r e d . Any
s p e c i f i c requirement, however, i n
p r o f e s s i o n a l p r a c t i c e
r u l e s t h a t an advocate must be attended would appear to
be u n j u s t i f i a b l e .
## Chapter 8 - Direct Access To Counsel
8.1
Two separate, but r e l a t e d ,
I s s u e s a r e considered i n
t h i s chapter: the
question of c o n t r a c t u a l r e l a t i o n s h i p s
between counsel and those who i n s t r u c t them and the
question of who can i n s t r u c t counsel.
## Contractual R E L A T I O N S
8.2
I t
has long been e s t a b l i s h e d by case law t h a t t h e r e
i s
no
c o n t r a c t u a l r e l a t i o n s h i p between b a r r i s t e r s and
those who i n s t r u c t them. A b a r r i s t e r t h e r e f o r e has
to
recover h i s
or her f e e s by other means.
One way of
doing t h i s i s
an arrangement such as the Bar has with
the Law S o c i e t y whose r u l e s provide t h a t , except i n
l e g a l a i d
cases, a s o l i c i t o r i s
p e r s o n a l l y l i a b l e as a
matter of p r o f e s s i o n a l conduct f o r the payment of
counsel's proper
fees, whether or not he or she
has
been put
i n
funds by the c l i e n t .
8.3
The Government considers t h a t these arrangements are
a n a c h r o n i s t i c .
The Government notes t h a t the Bar
has
not thought i t
appropriate to adopt t h i s approach to
p r a c t i c e overseas and t h a t the Overseas P r a c t i c e Rules
o f t h e B a r ( s e e C h a p t e r 11 p a r a 11.24) a l l o w a
b a r r i s t e r t o n e g o t i a t e f e e s d i r e c t l y w i t h non-UK
c l i e n t s f o r non-UK work and to enforce payment.
The Government accordingly proposes t h a t t h e r e should be l e g i s l a t i o n to permit b a r r i s t e r s who wish t o do so to e n t e r i n t o c o n t r a c t u a l r e l a t i o n s w i t h t h o s e who i n s t r u c t them i n r e s p e c t of UK work.
Direct a c c e s s
8.4
The f u r t h e r question f o r c o n s i d e r a t i o n i s who those i n s t r u c t i n g p a r t i e s s h o u l d be.
At p r e s e n t , i n accordance with the p r o f e s s i o n a l r u l e s of conduct s e t out i n the Bar's Code of Conduct, a b a r r i s t e r may accept i n s t r u c t i o n s only from s o l i c i t o r s or, i n some c i r c u m s t a n c e s , from p a r l i a m e n t a r y a g e n t s , p a t e n t agents, trade mark agents, London n o t a r i e s , l i c e n s e d conveyancers, the Government l e g a l s e r v i c e , the l e g a l departments of l o c a l or p u b l i c a u t h o r i t i e s and employed b a r r i s t e r s .
The Bar has announced r e c e n t l y t h a t i t intends to allow d i r e c t access from other p r o f e s s i o n s such a s a c c o u n t a n t s i n e a r l y 1989 although d i r e c t a c c e s s from the l a y p u b l i c continues t o be p r o h i b i t e d .
I n a d d i t i o n , i t i s t o be noted t h a t the Overseas P r a c t i c e Rules of the Bar provide t h a t a b a r r i s t e r may: -
(a)
accept i n s t r u c t i o n s from a f o r e i g n lawyer f o r non-
UK work;
(b)
accept
i n s t r u c t i o n s from any UK l a y c l i e n t f o r
non-UK l i t i g a t i o n or a r b i t r a t i o n ; and
( c )
accept i n s t r u c t i o n s from a non-UK l a y c l i e n t f o r
non-UK work.
8.5
For many, i f not most, b a r r i s t e r s , the major p a r t of t h e i r p r a c t i c e seems l i k e l y , n o t w i t h s t a n d i n g t h e proposals elsewhere i n t h i s Green Paper, t o continue to be advocacy and the preparation of c a s e s f o r c o u r t .
Advocacy i s a s k i l l which r e q u i r e s r e g u l a r and frequent p r a c t i c e i f high standards of performance a r e to be developed and maintained.
Indeed advocates, who under the present arrangements depend f o r t h e i r l i v e l i h o o d upon the continuing approval of s o l i c i t o r s , who a r e t h e i r independent p r o f e s s i o n a l c l i e n t s , f i n d t h a t i t i s only i n t h i s way t h a t they can maintain a s u c c e s s f u l p r a c t i c e as advocates. Advocates may t h e r e f o r e wish to c h o o s e t o a c c e p t i n s t r u c t i o n s o n l y from o t h e r p r o f e s s i o n a l s who have the e x p e r t i s e to i d e n t i f y the i s s u e s and s i f t out the r e l e v a n t f a c t s f o r them; and to c o n c e n t r a t e themselves on maintaining t h e i r p r a c t i c e and performance as advocates. Moreover, the m a j o r i t y of s o l i c i t o r s , p a r t i c u l a r l y those who p r a c t i s e i n small firms or i n areas d i s t a n t from any major court centre, are l i k e l y to continue to f i n d t h a t i t s u i t s the nature o f t h e i r b u s i n e s s n o t t o p r a c t i s e r e g u l a r l y a s advocates themselves, but r a t h e r , as they do now with much County Court and M a g i s t r a t e s ' Court work, to i n s t r u c t those whose f u l l - t i m e occupation i s advocacy to take t h e i r i n - c o u r t work f o r them.
At present the Government t h i n k s t h a t i n the future advocates should themselves have the d i s c r e t i o n to decide, i n the l i g h t of the nature of t h e i r p r a c t i c e , whether they wish to take i n s t r u c t i o n s d i r e c t l y from l a y c l i e n t s o r t o r e s t r i c t t h e m s e l v e s t o t a k i n g i n s t r u c t i o n s only from other p r o f e s s i o n a l s . Moreover, i n o r d e r t o promote t h e use of t h e i r s e r v i c e s , advocates who choose only to take i n s t r u c t i o n s through o t h e r p r o f e s s i o n a l s , should be e n t i t l e d , i f they so wish, to belong to a v o l u n t a r y a s s o c i a t i o n , one of whose c h a r a c t e r i s t i c s might be t h a t i t s members take i n s t r u c t i o n s only i n t h i s way, although they would need t o be a b l e t o demonstrate i n due c o u r s e t o t h e competition a u t h o r i t y t h a t t h i s was not operating i n an a n t i - c o m p e t i t i v e way. They could a l s o a d v e r t i s e t h e i r membership of such an a s s o c i a t i o n to those i n s t r u c t i n g p r o f e s s i o n a l s , such as s o l i c i t o r s , who are l i k e l y to want t o continue to use t h e i r s e r v i c e s .
The prime examples of such bodies are c u r r e n t l y the four Inns of Court, who compete with each other by means of t h e i r s c h o l a r s h i p s , l i b r a r i e s and other c o l l e g i a t e f a c i l i t i e s t o a t t r a c t new e n t r a n t s to the p r o f e s s i o n to t h e i r membership. Other examples might i n the f u t u r e develop on the l i n e s of one or more of the s p e c i a l i s t Bar A s s o c i a t i o n s .
8.7
There i s , however, an argument sometimes
advanced,
which i s s e t out i n t h i s paragraph, t h a t t o grant to advocates, who p r a c t i s e i n the higher c o u r t s , the r i g h t to have d i r e c t access t o the l a y c l i e n t might lead to fundamental changes i n t h e s t r u c t u r e o f the l e g a l p r o f e s s i o n , which would reduce the extent of informed choice c u r r e n t l y a v a i l a b l e t o the l a y c l i e n t through h i s s o l i c i t o r ;
and would l o w e r t h e s t a n d a r d s of advocacy t o which the c o u r t s have become accustomed. T h i s argument i s that, whereas there a r e c u r r e n t l y some
50,000
s o l i c i t o r s who have a v a i l a b l e t o them t h e s p e c i a l i s t s e r v i c e s , both i n advocacy and o t h e r s p e c i a l i s m s , of some 5,500 members of the independent Bar, the r i g h t to d i r e c t access might l e a d more and more a d v o c a t e s t o a t t a c h t h e m s e l v e s , a s
" t r i a l lawyers", t o firms of s o l i c i t o r s , or t o s e t themselves up as advocates taking t h e i r c l i e n t s d i r e c t from the p u b l i c . The r e s u l t , i t i s s a i d , could be t h a t t h e r e might be a s e r i o u s c o n t r a c t i o n o f t h e c o r p s of
independent advocates a v a i l a b l e to a l l
s o l i c i t o r s , and
an i n c r e a s i n g p r a c t i c e amongst lawyers of a l l
kinds to
choose t h e i r own in-house s p e c i a l i s t or t r i a l lawyer
i n
preference to the independent s p e c i a l i s t best s u i t e d to
the
needs of the p a r t i c u l a r case. I f t h i s happened to
any s e r i o u s extent, the r e s u l t , i t
i s
suggested, could
be
t h a t t h e c h o i c e of a d v o c a t e s a v a i l a b l e t o a l l
c l i e n t s would be s u b s t a n t i a l l y reduced.
8.8
The Government, however, hopes and expects t h a t a f r e e
market f o r t h e p r o v i s i o n of independent
advocacy
s e r v i c e s
w i l l
f l o u r i s h .
C e r t a i n l y t h e e x t e n t and
v a r i e t y of the present demand f o r advocacy leads the
Government t o b e l i e v e t h a t t h i s w i l l be so. E m p i r i c a l evidence from other common law j u r i s d i c t i o n s and the
present success of E n g l i s h b a r r i s t e r s i n
obtaining work
abroad, e s p e c i a l l y i n Europe, suggest t h a t
s p e c i a l i s t
advocates who a c t o n l y as such and do not become involved i n pre-advocacy case work are w e l l able to f l o u r i s h i n t h e market p l a c e i n d i r e c t and open c o m p e t i t i o n w i t h o t h e r l a w y e r s who do not a c t e x c l u s i v e l y as advocates.
## Consultation
8.9
The Government would welcome comment on the p r i n c i p l e s s e t out i n t h i s chapter; and on whether i t s views, and i t s p r o p o s a l s i n the l i g h t of E n g l i s h b a r r i s t e r s '
e x p e r i e n c e i n other common law j u r i s d i c t i o n s and i n Europe, meet the c r i t e r i a endorsed i n Chapter 1.
## Chapter 9 - Queen'S Counsel
9.1
B a r r i s t e r s have h i s t o r i c a l l y been divided
i n t o
j u n i o r
Counsel and Queen's (or King's) Counsel.
The
f i r s t
King's Counsel were appointed by the Crown a t the
end
of
the
s i x t e e n t h
century i n order to
a s s i s t
the
law
o f f i c e r s
of
the Crown. By
the
e i g h t e e n t h
c e n t u r y
appointment had come to be regarded as a mark of
preeminence i n the
p r o f e s s i o n .
Today Queen's Counsel
comprise about 10 per cent of the p r a c t i s i n g
Bar.
9.2
Queen's Counsel ("QCs" or " S i l k s " ) are appointed by
the
Queen
on
t h e
a d v i c e
o f
t h e
L o r d
C h a n c e l l o r .
P r a c t i t i o n e r s who wish to be considered f o r appointment
a r e
i n v i t e d
t o
s u b m i t
t h e i r names
t o
t h e
L o r d
C h a n c e l l o r .
F o l l o w i n g wide
c o n s u l t a t i o n
w i t h
the
j u d i c i a r y and
the profession,
the Lord C h a n c e l l o r then
s e t t l e s
the
l i s t
of names to
be recommended to
the
Queen.
9.3
I n the past the Bar had
a r u l e t h a t a QC could appear
i n Court only i f a j u n i o r a l s o were i n s t r u c t e d .
That
r u l e has now gone. A QC may,
however, d e c l i n e to appear
without a j u n i o r , i f he considers
t h a t the i n t e r e s t s of
t h e
c l i e n t
r e q u i r e
t h a t
a
j u n i o r
a l s o
s h o u l d
be
i n s t r u c t e d . He may
a l s o d e c l i n e i n s t r u c t i o n s to advise
or d r a f t a non-contentious document without a j u n i o r ,
i f
he
c o n s i d e r s
t h a t
the
i n t e r e s t s of
the
c l i e n t
r e q u i r e t h a t a j u n i o r a l s o should be
i n s t r u c t e d .
9.4
C r i t i c s
of
the
system
say
t h a t
i t i s
i n f l a t i o n a r y
b e c a u s e
QCs'
c h a r g e s
a r e
u n n e c e s s a r i l y
h i g h ,
and
because j u n i o r s are
s t i l l u n n e c e s s a r i l y
i n s t r u c t e d . I t
has t h e r e f o r e been suggested i n some q u a r t e r s t h a t
the
system no longer serves any u s e f u l purpose, and t h a t i t
should be abolished.
9.5
A g a i n s t
t h a t , t h e Government c o n s i d e r s t h a t t h e
r e t e n t i o n o f a t w o - t i e r s y s t e m of a d v o c a t e s i s j u s t i f i e d . Appointment t o the rank of QC i s
made only
a f t e r very wide c o n s u l t a t i o n by the Lord C h a n c e l l o r .
I t thereby:-
( a )
enables both lawyers and c l i e n t s t o i d e n t i f y the
l e a d i n g members of the p r o f e s s i o n , and thus to
e x e r c i s e a more
i n f o r m e d
c h o i c e about t h e
competence of the advocates whom they a r e choosing
than they would otherwise have been able t o
do;
(b)
a c t s as an i n c e n t i v e f o r advocates to s t r i v e to
achieve and maintain e x c e l l e n t standards; and
( c )
helps the Lord Chancellor to i d e n t i f y a t an e a r l y
stage those who are l i k e l y i n due course to be
candidates f o r
the
High Court Bench, and f o r
other
forms of p u b l i c
s e r v i c e such as i n q u i r i e s
i n t o
d i s a s t e r s .
9.6
The Government c o n s i d e r s , i n
the l i g h t of the proposals
i n Chapter 5 on r i g h t s of audience, t h a t i n f u t u r e
a l l
who hold
f u l l general advocacy
c e r t i f i c a t e s ,
whether
or not they a r e b a r r i s t e r s ,
should be t r e a t e d as
e l i g i b l e f o r appointment a s Queen's C o u n s e l . The present p r a c t i c e whereby S i l k i s o c c a s i o n a l l y given, normally on an honorary b a s i s , to people who a r e not p r a c t i s i n g a d v o c a t e s , f o r example d i s t i n g u i s h e d academics, a l s o need not be disturbed, although such honorary appointments need not i n f u t u r e be r e s t r i c t e d t o those who happen o r i g i n a l l y t o have q u a l i f i e d a s b a r r i s t e r s . Appointment to S i l k i s not c o n t r o l l e d by s t a t u t e , so no l e g i s l a t i o n would be required to achieve t h i s .
9 . 7
I n the Government's view, however, any p r o f e s s i o n a l
p r a c t i c e
r u l e s about access to or r e p r e s e n t a t i o n by
S i l k s o r about the r e l a t i v e
s i z e of payments t o S i l k s
and other lawyers appear to be d i f f i c u l t to j u s t i f y . T h i s w i l l be a matter f o r the proposed new competition a u t h o r i t y .
## Summary
9.8
The Government proposes t h a t i n f u t u r e those t r e a t e d as e l i g i b l e f o r S i l k should be:-
(a)
a l l those who hold f u l l general advocacy c e r t i f i c a t e s ;
and
(b)
on an o c c a s i o n a l and honorary
b a s i s , lawyers who a r e
not p r a c t i s i n g advocates, whether or not such lawyers
are
b a r r i s t e r s .
## Chapter 10 ־The Judiciary Summary
10.1
The Government proposes
t h a t a l l advocates who have
h e l d t h e r e l e v a n t advocacy
c e r t i f i c a t e s f o r
t h e
appropriate length of time should i n
f u t u r e be e l i g i b l e
f o r j u d i c i a l appointment; and i n a d d i t i o n t h a t judges
i n a lower court should be e l i g i b l e f o r promotion t o a higher one on the b a s i s of t h e i r j u d i c i a l experience i n
the lower c o u r t .
## Basis Of J U D I C I A L Appointments
10.2
A s t r o n g and independent
j u d i c i a r y i s one of the
c e n t r a l supports upon which our l i b e r t i e s a r e
based and
upon which the r u l e of law depends. Moreover, our
a d v e r s a r i a l method of administering j u s t i c e r e q u i r e s the judges a t l e a s t a t t r i a l c o u r t s to be r e c r u i t e d on t h e whole from among s e a s o n e d
a d v o c a t e s .
I t i s ,
t h e r e f o r e , important t h a t the a b l e s t p r a c t i t i o n e r s
should have i n t h e i r
s i g h t s some a s p i r a t i o n towards
j u d i c i a l work a t t h e end o f t h e i r c a r e e r s i n p r o f e s s i o n a l p r a c t i c e . No one should be excluded, by v i r t u e of t h e f a c t of choosing one branch of the p r o f e s s i o n r a t h e r than another, from r e a c h i n g the h i g h e s t j u d i c i a l o f f i c e . Over time, t h e i n c r e a s e d competition w i l l enable the Lord Chancellor more e a s i l y to maintain the highest standard of appointments. The Government t h e r e f o r e proposes t h a t , i n f u t u r e , a l l those who have h e l d an advocacy c e r t i f i c a t e f o r an appropriate minimum period f o r the c o u r t s covered by any p a r t i c u l a r j u d i c i a l o f f i c e should be e l i g i b l e f o r appointment to t h a t o f f i c e . As now, l e g a l e l i g i b i l i t y w i l l n o t o f c o u r s e g u a r a n t e e a p p o i n t m e n t . I n p a r t i c u l a r , t h e Lord C h a n c e l l o r sees no reason t o change the now w e l l - e s t a b l i s h e d p o l i c y of r e q u i r i n g s a t i s f a c t o r y part-time j u d i c i a l s e r v i c e as a c o n d i t i o n of f u l l - t i m e j u d i c i a l appointment.
## (A) House Of Lords
10.3
The Appellate J u r i s d i c t i o n Act 1876 provides t h a t the
q u a l i f i c a t i o n f o r appointment as a Lord of Appeal i n
Ordinary i s
t h a t the i n d i v i d u a l : -
(a) has f o r a t l e a s t two y e a r s held the o f f i c e of Lord
C h a n c e l l o r or of Judge i n
one of Her Majesty's Superior
Courts i n
Great B r i t a i n and Northern I r e l a n d ; or
(b) has been f o r not l e s s
than 15 y e a r s a
p r a c t i s i n g
b a r r i s t e r i n
England and Wales or Northern I r e l a n d or a
p r a c t i s i n g advocate i n
Scotland.
Although the Lords of Appeal i n Ordinary a r e u s u a l l y appointed from among the judges of the s u p e r i o r c o u r t s , the Government proposes to amend (b) above to remove the r e f e r e n c e to a p r a c t i s i n g b a r r i s t e r and t o r e f e r i n s t e a d t o anyone who has held a f u l l general advocacy c e r t i f i c a t e f o r a t l e a s t
15 y e a r s . The S c o t t i s h p o s i t i o n w i l l be considered s e p a r a t e l y .
## (B) Supreme Court And C I R C U I T Judges
10.4
Under the p r e s e n t
l e g i s l a t i o n some s e n i o r
j u d i c i a l
o f f i c e s a r e not open to s o l i c i t o r s ; others, although
open t o s o l i c i t o r s , impose upon them c r i t e r i a f o r e l i g i b i l i t y w h i c h do n o t a p p l y i n r e l a t i o n t o b a r r i s t e r s . S o l i c i t o r s a r e not e l i g i b l e f o r appointment as Lords J u s t i c e s of Appeal, Heads of D i v i s i o n , High Court Judges or Deputy High Court Judges.
Although s o l i c i t o r s can now be appointed as C i r c u i t Judges, they a r e required, u n l i k e b a r r i s t e r s , to have served f o r a p e r i o d of a t l e a s t t h r e e y e a r s as Recorders before a p p o i n t m e n t .
S e c t i o n 9 ( 1 ) o f t h e Supreme C o u r t A c t 1 9 8 1 d o e s , however, p r o v i d e t h a t t h e L o r d C h a n c e l l o r may request a C i r c u i t Judge to s i t as a judge of t h e High Court, so that s o l i c i t o r C i r c u i t Judges may by t h i s means be requested to s i t as High Court Judges from time to time.
(a)
J u d i c i a l promotions
10.5
At the
time of the
Parliamentary passage of
the
Supreme
Court A c t 1981, an attempt was made t o amend t h e p r o v i s i o n s of t h e B i l l so as t o provide t h a t any C i r c u i t Judge could be e l i g i b l e f o r
appointment to the
High C o u r t . T h i s would have meant t h a t
s o l i c i t o r s
could, by t h a t route, have reached the
High Court. T h i s
move was r e s i s t e d a t the time, s u b s t a n t i a l l y on the
b a s i s t h a t i t
was considered t h a t only p r a c t i c e as
an
advocate i n the High Court equipped anyone t o
s i t
j u d i c i a l l y i n that forum. Because s o l i c i t o r s d i d not
have a r i g h t of audience i n
the
High Court, they could,
t h e r e f o r e , i t
was argued, never acquire the r e l e v a n t
experience.
10.6
I t i s d o u b t f u l whether t h e arguments
w h i c h
were
s u c c e s s f u l
i n 1 9 8 1
s t i l l
c a r r y
c o n v i c t i o n . A
s u c c e s s f u l c a r e e r as an advocate i n
the
High Court
i s
an e x c e l l e n t way of t r a i n i n g an i n d i v i d u a l t o
s i t
j u d i c i a l l y i n t h a t court, but i t does not n e c e s s a r i l y follow t h a t advocacy and advocacy alone i n the higher c o u r t s should be the only route to a j u d i c i a l c a r e e r i n t h e s e c o u r t s .
J u d i c i a l experience seems an e q u a l l y a c c e p t a b l e q u a l i f i c a t i o n ; and i t seems t o d a y an u n j u s t i f i a b l e c o n s t r a i n t t h a t a s o l i c i t o r C i r c u i t Judge, whatever h i s o r h e r m e r i t s , c a n n e v e r be promoted t o the High Court. I f the law were changed t o permit the Lord Chancellor to recommend the promotion of s o l i c i t o r C i r c u i t Judges to the High Court, there would, of course, be no o b l i g a t i o n on him to do so.
He would continue, as now, to choose the best a v a i l a b l e candidate f o r each i n d i v i d u a l post, but the pool from
which he could make that choice would be
b e n e f i c i a l l y
enlarged.
(b) D i r e c t appointments
10.7
What i s now
recommended
f o r the development of
the
p r o f e s s i o n (see Chapter 5) w i l l i n due course c r e a t e a c l a s s of advocates i n the s u p e r i o r c o u r t s who
may
be
e i t h e r
b a r r i s t e r s or
s o l i c i t o r s
or
lawyers
who
are
n e i t h e r . A wider question t h e r e f o r e a r i s e s whether i t
can be r i g h t to l i m i t e l i g i b i l i t y to d i r e c t appointment
to j u d i c i a l o f f i c e i n these c o u r t s to one s i d e of the
p r o f e s s i o n
or
the
other.
I t does not appear to
be
l o g i c a l to do so. Rather, e l i g i b i l i t y
f o r appointment
t o
the Supreme Court
and
C i r c u i t Bench should
be
determined
by
r e f e r e n c e
t o whether any
i n d i v i d u a l
p r a c t i t i o n e r has
had
the necessary
experience
as
an
advocate i n the r e l e v a n t court.
(c)
The Government's proposals
10.8
( i ) The
Government
t h e r e f o r e
proposes
t h a t
t h e r e
s h o u l d
i n
f u t u r e
be
two
ways
t o e s t a b l i s h
e l i g i b i l i t y
f o r a Supreme Court appointment.
The
f i r s t would be by having h e l d a f u l l g e n e r a l a d v o c a c y c e r t i f i c a t e f o r a minimum p e r i o d , probably
10 y e a r s ;
and the second would be by h a v i n g h e l d o f f i c e as a C i r c u i t Judge f o r a minimum period, perhaps 2 y e a r s . A l l those who had held a f u l l general advocacy c e r t i f i c a t e f o r the minimum period should be e l i g i b l e a l s o to a c t as Deputy High Court Judges.
( i i ) A l l those who
had
held a
f u l l
general
advocacy
c e r t i f i c a t e ,
or a t l e a s t e i t h e r a
f u l l
c r i m i n a l
and a l i m i t e d c i v i l or a f u l l
c i v i l and a l i m i t e d
c r i m i n a l
advocacy
c e r t i f i c a t e ,
f o r a minimum
period, probably 10 years, should be e l i g i b l e f o r
appointment to the C i r c u i t Bench. I n addition, a Master or R e g i s t r a r or equivalent j u d i c i a l o f f i c e r who had held o f f i c e f o r a minimum period, perhaps
2 years, should be e l i g i b l e f o r appointment as a C i r c u i t Judge. The p r e s e n t r e q u i r e m e n t t h a t s o l i c i t o r s must serve as Recorders f o r a minimum of
3 y e a r s b e f o r e appointment to the C i r c u i t B e n c h s h o u l d be removed. The c r i t e r i a f o r appointment as a Recorder or A s s i s t a n t Recorder s h o u l d be c h a n g e d i n l i n e w i t h t h o s e f o r appointment as a C i r c u i t Judge.
## (C) Masters And R E G I S T R A R S
10.9
Only s o l i c i t o r s of a t l e a s t 7 y e a r s ' standing are a t p r e s e n t q u a l i f i e d f o r appointment as County Court R e g i s t r a r s ( s e c t i o n 9 of the County Courts Act 1984).
The C i v i l J u s t i c e Review recommended t h a t b a r r i s t e r s a l s o should be e l i g i b l e f o r appointment as County Court R e g i s t r a r s ( r e c
14); and there has been no subsequent o b j e c t i o n to t h i s p r o p o s a l . I n a d d i t i o n , s i n c e the Supreme Court Act 1981 both s o l i c i t o r s and b a r r i s t e r s
have been
e l i g i b l e
f o r appointment as Masters and
R e g i s t r a r s i n a l l branches of the High Court.
10.10
The Government now proposes, i n l i n e with i t s general
approach to the j u d i c i a r y ,
t h a t i n f u t u r e any person
who
h a s
h e l d
a t
l e a s t
a
l i m i t e d
c i v i l
advocacy
c e r t i f i c a t e f o r a minimum period, probably 7 years,
should be
e l i g i b l e f o r appointment as a High Court
Master or R e g i s t r a r or as a County Court R e g i s t r a r .
Obviously advocates who had held f u l l c i v i l or f u l l or
l i m i t e d general c e r t i f i c a t e s f o r an e q u i v a l e n t minimum
period a l s o would be e l i g i b l e f o r appointment. These e l i g i b i l i t y conditions would be applied a l s o to p a r t -
time appointments, s i n c e a number of advocates might
wish t o p r a c t i s e p a r t - t i m e as advocates and to s i t part-time as R e g i s t r a r s .
## (D) Other Appointments
10.11
T h i s c h a p t e r has d i s c u s s e d only t h e main
j u d i c i a l
appointments a t each
l e v e l . There a r e a l s o v a r i o u s
other j u d i c i a l appointments, p a r t i c u l a r l y a t the lower
l e v e l s , where the e l i g i b i l i t y p r o v i s i o n s w i l l need to
be amended i n l i n e with the approach s e t
out i n t h i s
chapter.
## Transitional Arrangements
10.12
T h e
f o l l o w i n g
t r a n s i t i o n a l
a r r a n g e m e n t s
seem
appropriate:-
( a )
B a r r i s t e r s
A l l
b a r r i s t e r s who had been c a l l e d when the new
arrangements came i n t o force, would be
e l i g i b l e
f o r a l l
appointments f o r
which they a r e
a t present
e l i g i b l e , provided
they were of or achieved the
standing required by the present law. I n a d d i t i o n
they would become e l i g i b l e f o r appointment as
County Court R e g i s t r a r s , again provided they were
of o r a c h i e v e d t h e r e q u i r e d number of y e a r s
standing.
(b)
S o l i c i t o r s
A l l s o l i c i t o r s who were on the r o l l when the new
arrangements came i n t o f o r c e would be e l i g i b l e f o r
a l l appointments provided:-
( i )
i n the case of appointments t o the House of Lords and t h e Supreme Court, they were of or achieved the standing now required f o r b a r r i s t e r s and acquired the necessary f u l l advocacy c e r t i f i c a t e ;
(
ϋ
)
i n t h e c a s e of appointments to the C i r c u i t Bench, they were of or achieved
10 y e a r s ' standing; and
( i i i )
i n the case of appointments as Masters and R e g i s t r a r s , they were of or achieved
7 y e a r s ' standing.
## Conclusion I N Conclusion, Therefore, I T I S Proposed T H A T : 10.13
any
p e r s o n
who
has
h e l d
a
f u l l
g e n e r a l
advocacy
(a)
c e r t i f i c a t e for a t l e a s t
15 years should be
e l i g i b l e
for appointment as a Lord of Appeal i n Ordinary
(the
e x i s t i n g
p r o v i s i o n f o r the appointment of
s e r v i n g
judges would remain);
any
p e r s o n
who
has
h e l d
a
f u l l
g e n e r a l
advocacy
(b)
c e r t i f i c a t e for a t l e a s t 10 years or has been a C i r c u i t
Judge f o r a t
l e a s t
2 y e a r s should
be
e l i g i b l e
f o r
appointment to the Supreme Court;
( c )
any
p e r s o n
who
has
h e l d
a
f u l l
g e n e r a l
advocacy
c e r t i f i c a t e f o r a t l e a s t 10 y e a r s should be e l i g i b l e to
a c t as a Deputy High Court
judge;
any
p e r s o n
who
has
h e l d
a
f u l l
g e n e r a l
advocacy
(d)
c e r t i f i c a t e , or a t l e a s t e i t h e r a f u l l c r i m i n a l and a
l i m i t e d
c i v i l or a f u l l
c i v i l and a l i m i t e d c r i m i n a l
advocacy c e r t i f i c a t e , f o r a t l e a s t 10 y e a r s should
be
e l i g i b l e f o r appointment to the C i r c u i t Bench;
any person who has been a Master or R e g i s t r a r or an e q u i v a l e n t j u d i c i a l o f f i c e r f o r a t l e a s t
2
y e a r s should be e l i g i b l e f o r appointment to the C i r c u i t Bench;
( f )
the p r o v i s i o n whereby a s o l i c i t o r must serve f o r a
minimum of 3 y e a r s a s a Recorder
b e f o r e
becoming
e l i g i b l e f o r appointment to the C i r c u i t Bench should be
removed;
(g)
the c r i t e r i a f o r appointment as a Recorder or A s s i s t a n t
Recorder should be changed i n l i n e with those f o r a C i r c u i t Judge; and
(h)
any person who
has h e l d a t l e a s t
a l i m i t e d
c i v i l
advocacy c e r t i f i c a t e f o r a t l e a s t 7 y e a r s should be
e l i g i b l e
f o r appointment as a High Court Master or
R e g i s t r a r or as a County Court R e g i s t r a r .
## Chapter 11 - Barristers' Practices Introduction
11.1
The i n t e r n a l r u l e s and methods of o r g a n i s a t i o n which
govern b a r r i s t e r s ' p r a c t i c e s a r e a matter f o r the Bar,
although i t w i l l need to be able to j u s t i f y these to the new competition a u t h o r i t y which i t i s envisaged w i l l be s e t up i n accordance with the Government's proposals s e t out i n the c o n s u l t a t i o n paper "Review of R e s t r i c t i v e Trade P r a c t i c e s " which was published by the Department of Trade and Industry i n March 1988.
The p u r p o s e o f t h i s c h a p t e r i s t o examine e x i s t i n g arrangements f o r b a r r i s t e r s ' p r a c t i c e s i n the context of the c r i t e r i a of q u a l i t y of s e r v i c e , e f f i c i e n c y , and competition s e t out i n Chapter 1 of t h i s paper, and a g a i n s t the background of the need to p r o t e c t the i n t e r e s t s of c l i e n t s . As a s t a r t i n g point f o r t h a t examination, t h i s chapter s e t s out a number of areas i n w h i c h t h e e x i s t i n g a r r a n g e m e n t s f o r b a r r i s t e r s '
p r a c t i c e s might b e n e f i t from c l o s e r s c r u t i n y .
## Main Areas Of Concern
11.2
Every b a r r i s t e r who wishes to s e t up i n p r a c t i c e must
f i r s t go through a period of p u p i l l a g e .
He must then:-
(a)
become a member of chambers i . e .
obtain a tenancy;
(b)
p r a c t i s e only as an i n d i v i d u a l ; and
( c )
have the s e r v i c e s of a c l e r k .
11.3
These
s p e c i a l
r e q u i r e m e n t s of t h e B a r have
been
c r i t i c i s e d on the grounds, f i r s t , t h a t i t i s o f t e n very
d i f f i c u l t f o r new b a r r i s t e r s to get themselves i n t o a p o s i t i o n where they may
s e t up i n p r a c t i c e ,
and,
secondly, that the p r a c t i c e requirements are themselves
u n n e c e s s a r i l y r e s t r i c t i v e .
## Pupillages
11.4
The Bar has a p o l i c y that anyone who wishes to enter
p u p i l l a g e should be allowed to do so.
The present
system
of p u p i l l a g e a l l o c a t i o n s , however, has been
c r i t i c i s e d as u n - s a t i s f a c t o r y , on the grounds t h a t i t
operates haphazardly and u n f a i r l y , p a r t i c u l a r l y to the
d i s a d v a n t a g e
o f
m i n o r i t y g r o u p s . A l t h o u g h some
chambers a l r e a d y a d v e r t i s e f o r p u p i l s ,
the Bar, i n
response to these c r i t i c i s m s , i s a t present c o n s i d e r i n g the establishment of a c e n t r a l information base from
which p r o s p e c t i v e p u p i l s and
t e n a n t s may
f i n d
out
e a s i l y what and where v a c a n c i e s e x i s t .
I t i s a l s o
c o n s i d e r i n g a r e g i s t e r of approved p u p i l masters and a
wider range of p u p i l l a g e s , which take more account of
the
needs of c e n t r a l and
l o c a l Government, commerce
and the EC.
11.5
The
Government
e x p e c t s
t h e
B a r
t o
e n s u r e
t h a t
p u p i l l a g e s are a l l o c a t e d i n the most e f f i c i e n t and
f a i r
way p o s s i b l e .
## Tenancies
11.6
Even g r e a t e r d i f f i c u l t i e s can be experienced by those
who wish to s e t up i n p r a c t i c e , s i n c e t h i s e n t a i l s
obtaining a tenancy i n chambers.
Although no
r e l i a b l e
f i g u r e s are a v a i l a b l e , i t seems that only between 50%
and 65% of those completing p u p i l l a g e obtain a tenancy.
Even though not every new b a r r i s t e r wishes to s e t up i n independent p r a c t i c e , t h i s s t i l l g i v e s c a u s e f o r concern. Moreover i t cannot be assumed t h a t those who do a t present obtain tenancies a r e on the whole the best b a r r i s t e r s , s i n c e i t s t i l l appears to be d i f f i c u l t for a b a r r i s t e r to obtain a tenancy i n a s e t where he has not obtained p u p i l l a g e .
The s u c c e s s f u l p u p i l i n one s e t may not be as good as an u n s u c c e s s f u l p u p i l i n another s e t .
11.7
The Government expects the Bar to introduce a more
competitive system, covering a l l chambers, which
w i l l
r e s u l t i n t e n a n c i e s being granted on a more open and
f a i r b a s i s i n
a l l c a s e s .
## Chambers
11.8
The u n d e r l y i n g cause of d i f f i c u l t y
a r i s e s from the
p r e s e n t
r u l e
t h a t a b a r r i s t e r must
p r a c t i s e
from
a p p r o v e d chambers,
c o u p l e d
w i t h t h e s h o r t a g e o f
accommodation i n
the Inns of Court, which i s
where the
overwhelming m a j o r i t y of b a r r i s t e r s i n
London choose to
p r a c t i s e .
I t i s absurd
t h a t e n t r y t o a p r o f e s s i o n
depends on whether a person can obtain accommodation.
11.9
There i s
i n f a c t no requirement t h a t a b a r r i s t e r should
p r a c t i s e from any p a r t i c u l a r place, but a b a r r i s t e r who wishes to open chambers i n c e n t r a l London, otherwise
than i n premises owned or managed by the Inns, must apply to the Bar Council f o r
consent.
A b a r r i s t e r who
wishes to open a s e t
of chambers on C i r c u i t must apply
to the C i r c u i t f o r permission.
The c r i t e r i a used by
the Bar when i t c o n s i d e r s a p p l i c a t i o n s i n c l u d e the s u i t a b i l i t y of the a p p l i c a n t , of the c l e r k and of the premises and t h e i r l o c a t i o n .
I t
i s , however, e x p r e s s l y
provided t h a t l a c k of need cannot be a v a l i d ground
f o r
r e f u s a l ,
presumably so that leave cannot be refused
because of a f e a r of p o s s i b l e competition.
11.10
The Government b e l i e v e s t h a t the present requirements
t h a t a b a r r i s t e r must p r a c t i s e from approved chambers
and t h a t consent must be obtained from the Bar before
chambers a r e opened outside the Inns a r e u n n e c e s s a r i l y r e s t r i c t i v e and not needed t o p r o t e c t e i t h e r t h e b a r r i s t e r or the c l i e n t .
There i s
no obvious
reason
why b a r r i s t e r s ought not t o be allowed to p r a c t i s e where they choose.
11.11
The
Government
a c c e p t s
t h a t most
b a r r i s t e r s
may
c o n t i n u e
t o p r e f e r t o s e t up
i n chambers.
As
a
c o n s e q u e n c e ,
a n y
i m p r o v e m e n t
t o
t h e
p r e s e n t
accommodation problem w i l l l a r g e l y depend on members of the Bar i n London being more ready to s e t up chambers
o u t s i d e the Inns.
Although there was once a f i n a n c i a l advantage i n having chambers i n the Inns, because r e n t s were lower than r e n t s outside, t h i s i s l e s s so now because the I n n s a r e i n c r e a s i n g l y c h a r g i n g market r e n t s .
Some s e t s do, however, appear to p r e f e r to remain i n cramped accommodation f o r reasons other than the c o s t s of accommodation outside.
Proximity to other b a r r i s t e r s , to the Inns' f a c i l i t i e s and to the Courts are c i t e d as f a c t o r s .
There are a l s o those who are anxious t h a t s o l i c i t o r s w i l l not i n s t r u c t them i f they
are
i n p r a c t i c e outside the Inns, because l a y c l i e n t s
w i l l not regard them as s u f f i c i e n t l y p r e s t i g i o u s .
11.12
There are already s e t s of chambers which have s e t up
and s u r v i v e d outside the Inns.
Indeed i t i s probably
not
n e c e s s a r y
t o
go
f a r away
t o
f i n d
s u i t a b l e
accommodation.
I n any case, the t r a d i t i o n a l wish to be
near
the Royal
C o u r t s
of
J u s t i c e ,
because
of
the
convenience
of easy p h y s i c a l a c c e s s , w i l l be of
l e s s
s i g n i f i c a n c e
w i t h
t h e
c o n t i n u i n g development
of
information technology.
The Government i s a l s o aware
t h a t the Inns themselves are now
beginning to t a c k l e
the problem.
I n June 1987 the Inns C o u n c i l r e s o l v e d
t h a t the Inns should as f a r as p o s s i b l e , and i n coo p e r a t i o n
w i t h
one
a n o t h e r ,
p r o v i d e
s u f f i c i e n t
accommodation whether w i t h i n or i f necessary outside t h e
p r e c i n c t s
of the
I n n s of Court
t o house
the
p r a c t i s i n g
Bar
i n London.
I n May 1988
t h e V i c e -
Chairman of the Inns Accommodation Committee
i n v i t e d
those Chambers prepared to move out to l e t him know.
The Government welcomes t h i s approach but suggests t h a t i t should be made i n a more p o s i t i v e manner.
The Government considers t h a t the p r o f e s s i o n should take a c t i v e s t e p s t o f i n d s u i t a b l e accommodation f o r b a r r i s t e r s outside the Inns.
## Partnerships
11.13
B a r r i s t e r s
a r e
n o t
p e r m i t t e d
t o
p r a c t i s e
i n
p a r t n e r s h i p .
A s e t of chambers t h e r e f o r e c o n s i s t s of a
number of s o l e p r a c t i t i o n e r s p r a c t i s i n g w i t h i n the same
premises.
The Head of Chambers i s required to ensure
t h a t the chambers function properly.
I n recent
years
t h e r e
has been an
i n c r e a s i n g tendency
f o r s e t s
to
e s t a b l i s h committees
of
b a r r i s t e r s
r e s p o n s i b l e
f o r
matters such as pupillage, recruitment and management.
There a r e now
a l s o o f t e n chambers meetings of a l l
members.
I n a d d i t i o n the Bar now
permits
f e e - s h a r i n g
agreements.
I t may
be wondered why
the Bar does not
simply permit p a r t n e r s h i p s .
11.14
T h i s i s a question which has often been considered
by
the
Bar
over the y e a r s .
The
p r i n c i p a l argument
by
those a g a i n s t appears to be
t h a t i t would
s e v e r e l y
r e s t r i c t c l i e n t freedom of choice because one partner may not a c t f o r a c l i e n t i f h i s partner a c t s f o r an opposing c l i e n t .
T h i s i s a consequence of s e c t i o n 5 of the P a r t n e r s h i p Act
1890, which makes one p a r t n e r r e s p o n s i b l e f o r the a c t s and d e f a u l t s of the other partner.
I f partners acted f o r opposing s i d e s i n a case they would t h e r e f o r e be s u b j e c t to a c o n f l i c t of i n t e r e s t .
I t would a l s o be wrong f o r p a r t n e r s to have a f i n a n c i a l i n t e r e s t i n both s i d e s of a case.
The same c o n s i d e r a t i o n s prevent d i f f e r e n t members of the same firm of s o l i c i t o r s from a c t i n g f o r opposite s i d e s i n a case. The Government would welcome comment on whether these problems are insurmountable; or whether there
might be ways t o meet the p o i n t about
c o n f l i c t of
i n t e r e s t ,
which would e n a b l e p a r t n e r s t o a c t
f o r
opposing s i d e s i n
a case.
11.15
The Government
b e l i e v e s t h a t i t ought t o be f o r
i n d i v i d u a l groups of b a r r i s t e r s t o decide what i s best
f o r themselves, although i t
t h i n k s t h a t ,
p a r t i c u l a r l y
i n areas of s p e c i a l i s e d p r a c t i c e where there a r e only
very few s e t s which can o f f e r the necessary e x p e r t i s e ,
b a r r i s t e r s a r e very
l i k e l y t o decide f o r themselves
t h a t p a r t n e r s h i p i s
not a p r a c t i c a l p r o p o s i t i o n .
I n
other areas i t may be.
11.16
P a r t n e r s h i p could o f f e r b a r r i s t e r s some advantages over
t h e i r present system.
I n p a r t i c u l a r i t could:-
(a)
permit increased f i n a n c i a l s t a b i l i t y f o r
a s e t of
chambers;
(b)
i m p r o v e t h e f i n a n c i a l
p o s i t i o n o f t h e new
entrant;
( c )
encourage proper s u p e r v i s i o n of work undertaken by
the new entrant; and
(d)
ensure g r e a t e r o f f i c e e f f i c i e n c y .
11.17
The Government
t h i n k s
t h a t
b a r r i s t e r s
s h o u l d
be
permitted to operate i n p a r t n e r s h i p s i f
they choose to
do so, although i t
recognises t h a t f o r
many t h i s may
not be a p r e f e r r e d option. The Government b e l i e v e s t h a t
the
r i s k of diminishing
c l i e n t s '
choice, whether i n
s p e c i a l i s t
f i e l d s of law or i n the s m a l l e r
c i r c u i t s
o u t s i d e London, i s outweighed by t h e advantages of g r e a t e r
e f f i c i e n c y and of e a s i n g the e n t r y of new
b a r r i s t e r s i n t o the p r o f e s s i o n . Any r i s k of diminution
of c l i e n t s ' choice w i l l be met by the f a c t that the f o r c e s o f c o m p e t i t i o n c a n be e x p e c t e d t o f i l l n a t u r a l l y any gaps i n t h e p r o v i s i o n of advocacy s e r v i c e s .
## Incorpora T Ion
11.18
S i n c e some chambers have a l r e a d y formed companies f o r
the ownership of common a s s e t s ,
the Government t h i n k s
b a r r i s t e r s should probably a l s o be permitted to operate
i n c o r p o r a t e form i f they so choose, although
t h i s
s h o u l d
not
a f f e c t
t h e p e r s o n a l
r e s p o n s i b i l i t y
of
i n d i v i d u a l
p r a c t i t i o n e r s
f o r t h e i r
c l i e n t ' s c a s e s .
S a f e g u a r d s
would be needed t o ensure
t h a t
c l i e n t s
r e m a i n e d
a d e q u a t e l y
f i n a n c i a l l y
p r o t e c t e d ,
i f
b a r r i s t e r s wanted to form l i m i t e d
l i a b i l i t y companies.
## Employment Of Others
11.19
There a l s o seems to be no reason why b a r r i s t e r s should
not be able to employ others to a s s i s t them with t h e i r
l e g a l work, i n c l u d i n g other
b a r r i s t e r s
( s u b j e c t
to
r u l e s about c o n f l i c t s of i n t e r e s t ) .
## Clerks
11.20
The
f u n c t i o n s o f
a
b a r r i s t e r ' s
c l e r k
have
been
described a s : -
( a )
o f f i c e administrator and accountant;
(b)
b u s i n e s s manager; and
( c )
agent.
11.21
H i s
r o l e
i n a
b a r r i s t e r ' s
l i f e
i s a powerful
one
because of the r u l e that every b a r r i s t e r must have a
c l e r k and because of a f u r t h e r
r u l e t h a t the s o l i c i t o r
must normally negotiate with the c l e r k r a t h e r than the
b a r r i s t e r about f e e s .
I n addition the o r g a n i s a t i o n of
members of chambers as
a c o l l e c t i o n of
i n d i v i d u a l s
r a t h e r than a partnership may impede t h e i r c o l l e c t i v e
c o n t r o l over t h e i r c l e r k .
11.22
C l e r k s
have been
c r i t i c i s e d
a s
h a v i n g
too
much
i n f l u e n c e over the c a r e e r s of members of chambers
and
a s e a r n i n g too much because t r a d i t i o n a l l y they have been paid e n t i r e l y by commission out of the b a r r i s t e r s '
f e e s .
These f e a t u r e s may today already be diminishing.
As i n d i c a t e d above, chambers management i s i n c r e a s i n g l y
coming under the c o n t r o l of committees; and c l e r k s are
tending more and more to r e c e i v e s a l a r i e s p l u s e i t h e r
i n c e n t i v e s to reward r e s u l t s or smaller commissions.
11.23
Of more s i g n i f i c a n c e are
the
p r o f e s s i o n a l
r u l e s
t h a t
every b a r r i s t e r must have a c l e r k and
t h a t he
should
normally negotiate the
b a r r i s t e r ' s f e e s .
B a r r i s t e r s
w i l l n a t u r a l l y need to have o f f i c e s t a f f to organise
t h e i r p r a c t i c e s , but t h i s should be a matter f o r them alone to s e t t l e .
Accordingly the Government agrees with both Benson and Marre t h a t b a r r i s t e r s should not be compelled to have a c l e r k .
Rather they should be a b l e to negotiate t h e i r own fees, i f they so wish.
Moreover, they should simply be under a p r o f e s s i o n a l duty to ensure t h a t t h e i r own p a r t i c u l a r p r a c t i c e s are managed i n an e f f i c i e n t and e f f e c t i v e manner.
11.24
I t should be
f o r i n d i v i d u a l b a r r i s t e r s or chambers to
decide what system of managing t h e i r p r a c t i c e s i s most
s u i t a b l e
f o r
them.
I t
w i l l
be
o f
i n c r e a s i n g
importance f o r b a r r i s t e r s to be able - as Marre pointed
out - to t a i l o r the o r g a n i s a t i o n
of t h e i r p r a c t i c e s
to
meet the demands of
the commercial and
i n t e r n a t i o n a l
s e c t o r s .
I n p a r t i c u l a r , the Bar needs to make use
of
modern b u s i n e s s methods and
i n f o r m a t i o n
technology.
The r e c e n t r e p o r t by BDI Binder Hamlyn on chambers a d m i n i s t r a t i o n , f o r example, concluded t h a t s t a f f s t r u c t u r e s and management techniques i n b a r r i s t e r s '
chambers were inadequate; and the Government hopes t h a t the Bar w i l l encourage i t s members to implement the recommendations i n t h a t report.
Other r e s t r i c t i o n s
11.25
T h i s chapter has sought only to i n d i c a t e those areas of b a r r i s t e r s ' p r a c t i c e s which give p a r t i c u l a r concern. The Government hopes t h a t the Bar w i l l examine a l l t h e i r r u l e s c a r e f u l l y to ensure t h a t they do not impose unnecessary or unhelpful r e s t r i c t i o n s .
For example i t should a l s o be considered whether:-
( a )
the r u l e t h a t every b a r r i s t e r ( o t h e r
than one
whose chambers are i n London) should be a member
of a C i r c u i t or a s p e c i a l i s t
a s s o c i a t i o n
s e r v e s
any p a r t i c u l a r purpose; and
(b)
the r u l e t h a t conferences should normally be held
i n
chambers
o r i n some p l a c e o t h e r
t h a n a
p r o f e s s i o n a l
c l i e n t ' s
o f f i c e tends to
i n c r e a s e
expense r a t h e r than protect the i n t e g r i t y of the
b a r r i s t e r .
## Overseas P R A C T I C E
11.26
I n s t r i k i n g c o n t r a s t t o t h e r u l e s on p r a c t i c e i n England and Wales, the Bar's r u l e s on overseas p r a c t i c e f o r b a r r i s t e r s are much l e s s r e s t r i c t i v e .
For example, b a r r i s t e r s : -
( a )
can accept i n s t r u c t i o n s d i r e c t from any UK l a y c l i e n t f o r non-U.K.
l i t i g a t i o n or a r b i t r a t i o n , or from non-U.Κ. l a y c l i e n t s f o r non-U.Κ. work;
(b)
can negotiate fees d i r e c t l y with these c l i e n t s and
enforce payment;
( c )
can employ outside the U.K.
any person who
i s not
a s o l i c i t o r p r a c t i s i n g i n England and Wales;
(d)
can p r a c t i s e without a c l e r k ; and
( e )
can
e n t e r
a p a r t n e r s h i p with any
other
lawyers
except p r a c t i s i n g U.K.
s o l i c i t o r s .
11.27
No doubt t h i s more relaxed approach was
prompted
by
commercial n e c e s s i t y , but presumably the Bar would not
have made these r u l e s i f i t thought the p r o f e s s i o n a l
i n t e g r i t y of b a r r i s t e r s would s u f f e r as a consequence.
I t
i s d i f f i c u l t
t o
see
why
the
p o s i t i o n would
be
d i f f e r e n t i f the same approach were followed i n England and Wales.
## Summary
11.28
The Government considers
t h a t the Bar needs to make
changes on the l i n e s mentioned above i n order to ensure
t h a t b a r r i s t e r s ' p r a c t i s i n g arrangements do not
hinder
the p r o v i s i o n of l e g a l s e r v i c e s to the p u b l i c i n the
most
e f f e c t i v e ,
e f f i c i e n t
and
economical ways.
The
areas r e q u i r i n g p a r t i c u l a r c o n s i d e r a t i o n a r e : -
( a )
obtaining p u p i l l a g e s ;
(b)
obtaining tenancies;
( c )
t h e
r e q u i r e m e n t
t o
p r a c t i s e as
a member
of
chambers;
(d)
the r e s t r i c t i o n s on p a r t n e r s h i p s ;
( e )
the p o s s i b i l i t y of allowing incorporation;
and
( f )
the functions of b a r r i s t e r s ' c l e r k s .
## Chapter 12 - Multi-Disciplinary And Multi-National Practices
(A) M u l t i - d i s c i p l i n a r y p r a c t i c e s present P o s i t i o n
(a)
General
12.1
At present s o l i c i t o r s and b a r r i s t e r s a r e
both prevented
by p r a c t i c e r u l e or code of conduct from p r a c t i s i n g i n
conjunction with members of any other p r o f e s s i o n . The
Law
S o c i e t y P r a c t i c e Rules p r o h i b i t a s o l i c i t o r from
sharing f e e s with an u n q u a l i f i e d person
( i . e . anyone
not a s o l i c i t o r ) . As f a r
as contentious business i s
concerned,
t h i s p r o h i b i t i o n has s t a t u t o r y backing from
the combined e f f e c t of s e c t i o n 39 of the S o l i c i t o r s
Act 1974 and s e c t i o n 5 of the P a r t n e r s h i p Act 1890. I t
i s a l s o arguable t h a t s e c t i o n 22 of the S o l i c i t o r s Act
has a s i m i l a r
e f f e c t i n r e s p e c t o f
c o n v e y a n c i n g
s e r v i c e s .
B a r r i s t e r s a r e p a r t i c u l a r l y c o n s t r a i n e d i n
t h a t they a r e required by the Bar's Code of Conduct to
p r a c t i s e only as i n d i v i d u a l s , which thus prevents them,
u n l i k e s o l i c i t o r s , even from p r a c t i s i n g i n p a r t n e r s h i p
with each other.
## (B) S O L I C I T O R S
12.2
The t r a d i t i o n a l
l i m i t a t i o n t o s o l e p r a c t i c e , o r
p a r t n e r s h i p only with other s o l i c i t o r s , of the way i n
which s o l i c i t o r s may organise t h e i r business
r e f l e c t s
the p r o f e s s i o n ' s concern to maintain the independence and the r o l e of the s o l i c i t o r as an o f f i c e r of the
court, and to avoid c o n f l i c t s of i n t e r e s t . I t
has been
argued t h a t such l i m i t a t i o n i s
necessary t o p r e s e r v e : -
( a ) the p e r s o n a l and f i d u c i a r y r e l a t i o n s h i p between s o l i c i t o r and c l i e n t ;
(b) t h e safeguards afforded to c l i e n t s by the high s t a n d a r d s o f e t h i c s and e x p e r t i s e o f t h e p r o f e s s i o n , supported by i t s r e q u i r e m e n t s i n r e s p e c t o f p r o f e s s i o n a l i n d e m n i t y i n s u r a n c e , compensation and accounting f o r c l i e n t s ' money, and i t s p r o v i s i o n s f o r handling complaints and
maintaining p r o f e s s i o n a l d i s c i p l i n e ;
( c )
l e g a l
p r i v i l e g e
o f
c o m m u n i c a t i o n s
b e t w e e n
s o l i c i t o r and c l i e n t ;
and
(d)
the proper c a r r y i n g out of functions reserved
by
s t a t u t e to s o l i c i t o r s .
S u p p o r t e r s of t h i s view a r e apprehensive t h a t the m a i n t e n a n c e of s o l i c i t o r s '
independence and h i g h s t a n d a r d s of conduct might come i n t o c o n f l i c t with t h e i r d u t i e s to c o l l e a g u e s i n a m u l t i - d i s c i p l i n a r y p r a c t i c e , s i n c e those colleagues would be s u b j e c t to t h e d i f f e r e n t c o d e s o f c o n d u c t o f t h e i r own p r o f e s s i o n s .
Some s o l i c i t o r s have a l s o e x p r e s s e d c o n c e r n t h a t m u l t i - d i s c i p l i n a r y p r a c t i c e s might u n f a i r l y a t t r a c t b u s i n e s s away from s o l i c i t o r s '
p r a c t i c e s , and t h a t t h i s , p a r t i c u l a r l y i f i t l e d to the development of l a r g e mixed p r a c t i c e s , would so decrease the number of s o l i c i t o r s i n p r i v a t e p r a c t i c e as to reduce s i g n i f i c a n t l y the p u b l i c ' s freedom to choose between a wide v a r i e t y of s o u r c e s of l e g a l s e r v i c e s .
## Arguments F O R Change
12.3
Against t h a t , i t has been argued t h a t the p r o h i b i t i o n o f m u l t i - d i s c i p l i n a r y p r a c t i c e s i s a s i g n i f i c a n t r e s t r i c t i o n on the freedom of s o l i c i t o r s to conduct t h e i r b u s i n e s s , which may be expected to r e s u l t i n h i g h e r c o s t s t o c l i e n t s , l e s s e f f i c i e n t use of resources, discouragement of new developments, and a tendency towards r i g i d i t y i n the s t r u c t u r e and methods of s o l i c i t o r s ' businesses. Proponents of t h i s view see advantages to both s o l i c i t o r s and the p u b l i c i f m u l t i - d i s c i p l i n a r y p r a c t i c e s were allowed. They consider that t h i s would enable s o l i c i t o r s t o : -
( a ) compete more e f f e c t i v e l y with
other
p r o f e s s i o n s
and
b u s i n e s s e s which can and do i n c l u d e
l e g a l
advice among the s e r v i c e s they o f f e r ;
(b) meet more
c o m p r e h e n s i v e l y
t h e demand f o r
o v e r l a p p i n g
s e r v i c e s from, f o r example, house
buyers and commercial c l i e n t s ; and
( c )
adapt t o the changing conditions of demand f o r
p r o f e s s i o n a l
s e r v i c e s , without e i t h e r having to
employ
a r t i f i c i a l
d e v i c e s t o a v o i d
b r e a c h i n g
p r a c t i c e
r e s t r i c t i o n s or being unable to reward
w i t h
p a r t n e r s h i p
s t a t u s s e n i o r employees from
other p r o f e s s i o n a l d i s c i p l i n e s , i n c l u d i n g f o r e i g n
lawyers.
Many other p r o f e s s i o n s , such as accountants, surveyors, e n g i n e e r s and a r c h i t e c t s , permit m u l t i - d i s c i p l i n a r y
p r a c t i c e s and t h e i r p r o f e s s i o n a l bodies have
evolved
r u l e s
g o v e r n i n g
t h e i r
o p e r a t i o n .
No
s i g n i f i c a n t
problems have been r e p o r t e d
i n r e l a t i o n t o
t h e s e
p r a c t i c e s .
.4
The p u b l i c ,
they
b e l i e v e , would b e n e f i t from t h e
g r e a t e r
f l e x i b i l i t y
which
s o l i c i t o r s would
e n j o y
t h r o u g h
e f f i c i e n c y
g a i n s ,
improved
c h a n n e l s
o f
communication between the p r o f e s s i o n s , and an i n c r e a s e d
choice of l e g a l s e r v i c e s between independent s o l i c i t o r s
and p r a c t i c e s providing a range of s e r v i c e s . They argue
t h a t the r i s k s of m u l t i - d i s c i p l i n a r y p r a c t i c e s have
been overstated i n t h a t : -
( a ) t h e c h o i c e between s m a l l p r a c t i c e s o f f e r i n g a c l o s e personal r e l a t i o n s h i p between s o l i c i t o r and c l i e n t and l a r g e r p r a c t i c e s where t h e r e i s a g r e a t e r d e g r e e o f d e l e g a t i o n a l r e a d y e x i s t s ;
m u l t i - d i s c i p l i n a r y p r a c t i c e s would do l i t t l e to narrow t h a t choice ( p a r t i c u l a r l y i f , a s expected, only a minority of s o l i c i t o r s would opt f o r mixed p r a c t i c e ) ;
(b) some s o l i c i t o r s '
firms a r e a l r e a d y organised t o
p r o v i d e
a r a n g e o f s e r v i c e s
by e m p l o y i n g
s p e c i a l i s t s i n o t h e r d i s c i p l i n e s w i t h o u t any diminution i n standards of conduct;
and
( c )
s a f e g u a r d s can be d e v i s e d which would
provide
p r o t e c t i o n t o c l i e n t s o f
m u l t i - d i s c i p l i n a r y
p r a c t i c e s s i m i l a r to t h a t afforded to c l i e n t s of
s o l i c i t o r s ' p r a c t i c e s .
## History
The q u e s t i o n whether s o l i c i t o r s should be f r e e t o
12.5
engage i n p r a c t i c e with other p r o f e s s i o n s was d i s c u s s e d by the Royal Commission on Legal S e r v i c e s ( t h e Benson Commission) i n 1979 and the Royal Commission on Legal S e r v i c e s i n Scotland ( t h e Hughes Commission) i n
1980.
Both Commissions c o n s i d e r e d t h e r e s t r i c t i o n i n t h e l i g h t of i t s c a p a c i t y to p r o t e c t the i n t e r e s t s of the p u b l i c and e n h a n c e t h e l e v e l o f l e g a l s e r v i c e s a v a i l a b l e to the p u b l i c . The Benson Commission decided t h a t t h e balance l a y i n favour of m a i n t a i n i n g the r e s t r i c t i o n .
T h e y a c k n o w l e d g e d t h e p o t e n t i a l c o n v e n i e n c e o f j o i n t p r o v i s i o n o f o v e r l a p p i n g o r c l o s e l y connected p r o f e s s i o n a l s e r v i c e s ; but they concluded t h a t demand was l i m i t e d , c o s t savings were questionable, c l i e n t choice might be l i m i t e d , and t h a t p r a c t i c a l d i f f i c u l t i e s would stand i n t h e way of p r o d u c i n g a common code o f c o n d u c t f o r mixed p a r t n e r s h i p s . The Hughes Commission took the opposite view. They thought the r i s k of diminishing c l i e n t s '
choice of p r o f e s s i o n a l a d v i s e r would be small and would be outweighed by the prospect of c r o s s - f e r t i l i s a t i o n of a d v i c e and g r e a t e r a c c e s s f o r c l i e n t s t o d i f f e r e n t p r o f e s s i o n a l groups; and they thought the problems of which p r o f e s s i o n a l bodies' r u l e s should apply to mixed p a r t n e r s h i p s could be resolved by d i s c u s s i o n between p r o f e s s i o n a l bodies. Although they found l i t t l e demand a t t h a t time f o r development of m u l t i - d i s c i p l i n a r y p a r t n e r s h i p s , t h e y c o u l d s e e no good r e a s o n f o r p r e v e n t i n g t h e i r d e v e l o p m e n t a t a l l ; and t h e y recommended removal of the s t a t u t o r y ban on S c o t t i s h s o l i c i t o r s sharing fees with others.
## Recent Developments
12.6
I n 1986, the D i r e c t o r General of F a i r Trading reported on a review, which he had undertaken a t the request of M i n i s t e r s , of r e s t r i c t i o n s on the kind of o r g a n i s a t i o n
through which members of the p r o f e s s i o n s might o f f e r t h e i r s e r v i c e s . The D i r e c t o r General noted the course
of debate about m u l t i - d i s c i p l i n a r y p r a c t i c e s i n v o l v i n g
s o l i c i t o r s
s i n c e t h e r e p o r t s
o f t h e two
R o y a l
Commissions. He supported t h e view t h a t such mixed
p r a c t i c e s
s h o u l d
be e n c o u r a g e d ,
w i t h
s u i t a b l e
s a f e g u a r d s
f o r t h e m a i n t e n a n c e o f
p r o f e s s i o n a l
s t a n d a r d s
and a d e q u a t e consumer
p r o t e c t i o n .
He
t h e r e f o r e recommended t h a t M i n i s t e r s
should
consider
amendment of the S o l i c i t o r s Acts to remove s t a t u t o r y
p r o h i b i t i o n s on
s o l i c i t o r s
s h a r i n g
f e e s
w i t h nons o l i c i t o r s , and of any other s t a t u t o r y p r o v i s i o n s which
might prevent s o l i c i t o r s from entering i n t o
p a r t n e r s h i p
or any other form of a s s o c i a t i o n with members of other p r o f e s s i o n s . He pointed out t h a t l e g i s l a t i o n to t h i s e f f e c t would be a necessary precursor to corresponding a l t e r a t i o n of the p r a c t i c e r u l e s of the Law S o c i e t i e s .
12.7
I n November 1987
t h e S c o t t i s h Home and H e a l t h Department i s s u e d a d i s c u s s i o n paper on the P r a c t i c e of the S o l i c i t o r ' s P r o f e s s i o n i n Scotland, which s t a t e d t h a t i t seemed to the S e c r e t a r y of S t a t e t h a t the weight of argument was c l e a r l y i n favour of permitting mixed p r a c t i c e s of s o l i c i t o r s and other p r o f e s s i o n s .
The paper i n v i t e d observations i n the l i g h t of which t h e S e c r e t a r y of S t a t e would f u r t h e r c o n s i d e r h i s i n i t i a l view that s e c t i o n s 26 and 27 of the S o l i c i t o r s
(Scotland) Act 1980
should be amended so as to permit the Law S o c i e t y of Scotland to allow mixed p r o f e s s i o n a l p r a c t i c e s .
The S e c r e t a r y of S t a t e i s a t p r e s e n t c o n s i d e r i n g the responses to the d i s c u s s i o n paper.
## The Government'S View
12.8
The
Government c o n s i d e r s
t h a t the range of
c h o i c e
a v a i l a b l e to users of l e g a l s e r v i c e s i n England and Wales should not be l i m i t e d u n l e s s there are strong p u b l i c i n t e r e s t r e a s o n s to the c o n t r a r y , and t h a t r e s t r i c t i o n s on competition between s o l i c i t o r s should be no g r e a t e r than i s necessary adequately to safeguard the i n t e r e s t s of t h e i r c l i e n t s . I n the l i g h t of t h i s and t h e D i r e c t o r G e n e r a l ' s recommendation, t h e Government proposes to amend the S o l i c i t o r s Act 1974
to remove any s t a t u t o r y i n h i b i t i o n on the freedom of s o l i c i t o r s i n England and Wales to engage i n m u l t i -
d i s c i p l i n a r y and m u l t i - n a t i o n a l p r a c t i c e s .
The Government e x p e c t s t h e Law S o c i e t y t o amend i t s P r a c t i c e Rules i n the same way.
Once the s t a t u t o r y r e s t r i c t i o n s have been removed, the Law S o c i e t y (or any other p r o f e s s i o n a l body) would, of course, have to s a t i s f y the competition a u t h o r i t y t h a t any remaining r e s t r i c t i o n s they imposed were not u n n e c e s s a r i l y a n t i - competitive.
## Safeguards
12.9
The question t h e r e f o r e a r i s e s of how to maintain high p r o f e s s i o n a l standards so as properly to safeguard the i n t e r e s t s of c l i e n t s who seek l e g a l s e r v i c e s from m u l t i - d i s c i p l i n a r y p r a c t i c e s . T h i s i s p r i m a r i l y a matter f o r the Law S o c i e t y to consider i n addressing what changes would be required to i t s P r a c t i c e Rules and guidance on s o l i c i t o r s ' conduct. The r u l e s of the C o u n c i l o f L i c e n s e d C o n v e y a n c e r s a l r e a d y p e r m i t l i c e n s e d conveyancers to p r a c t i s e i n p a r t n e r s h i p with other p r o f e s s i o n s , s u b j e c t to the C o u n c i l ' s d e c i s i o n as to the s u i t a b i l i t y of the other p r o f e s s i o n s concerned. These r u l e s might provide the Law S o c i e t y with a model on which to work. There appears to be no reason why mixed p r a c t i c e s s h o u l d be p o s s i b l e o n l y i n t h e p a r t n e r s h i p form;
a c o r p o r a t e s t r u c t u r e
( w h i c h
s o l i c i t o r s i n England and Wales w i l l s h o r t l y be enabled to employ, as S c o t t i s h s o l i c i t o r s now
c a n ) , even
one
where s o l i c i t o r s d i d not c o n t r o l the ownership of
the
company, could e q u a l l y provide the v e h i c l e .
12.10
The
e s s e n t i a l need i s to provide
the same l e v e l
of
s a f e g u a r d s
a s
p r e s e n t l y
e x i s t
i n
r e s p e c t
o f
s o l i c i t o r s '
p r a c t i c e s . One
approach would be
through
d i s c u s s i o n s
b e t w e e n
t h e
Law
S o c i e t y
and
o t h e r
p r o f e s s i o n a l bodies with a view e i t h e r to agreeing
a
common code of p r a c t i c e or
to harmonising
r e l e v a n t
aspects of d i f f e r e n t p r o f e s s i o n s ' codes of p r a c t i c e . The Government notes the steps t h a t the Law S o c i e t y has r e c e n t l y taken
to arrange d i s c u s s i o n s and hopes t h a t
these w i l l come to a speedy and s u c c e s s f u l conclusion.
I n e i t h e r event, the Government c o n s i d e r s t h a t
other
p r o f e s s i o n a l bodies should, i f necessary, add to the
requirements imposed upon t h e i r members t o bring them
up t o the standards of c l i e n t p r o t e c t i o n of the
Law
S o c i e t y - a t l e a s t f o r those who opt t o p r a c t i s e j o i n t l y with
s o l i c i t o r s - on the p r i n c i p l e of aiming
f o r t h e
highest common f a c t o r .
12.11
U l t i m a t e l y , however, the maintenance of standards and
safeguards i n any p r o f e s s i o n depends on each of i t s
members t a k i n g personal
r e s p o n s i b i l i t y f o r observing
i t s
r u l e s and codes of conduct, and on h i s
or
her
p r o f e s s i o n a l
body
h a v i n g
e f f e c t i v e
d i s c i p l i n a r y
procedures to enforce observance where necessary. The Government t h e r e f o r e considers i t
e s s e n t i a l t h a t each
member of a m u l t i - d i s c i p l i n a r y p r a c t i c e should
remain
i n d i v i d u a l l y
s u b j e c t t o t h e r u l e s of h i s
o r h e r
p r o f e s s i o n a l body. The c e n t r a l p r i n c i p l e must be t h a t
each member should
remain p e r s o n a l l y r e s p o n s i b l e f o r
t h e
a c t i v i t i e s o f t h e p r a c t i c e w i t h i n
t h e i r own
p r o f e s s i o n a l
f i e l d and should
p e r s o n a l l y c o n t r o l the
work i n v o l v e d , p a r t i c u l a r l y i n r e s p e c t of functions reserved by s t a t u t e to any p a r t i c u l a r p r o f e s s i o n . I t w i l l t h e r e f o r e be e s s e n t i a l f o r a s o l i c i t o r ' s personal r e s p o n s i b i l i t y to h i s or her p r o f e s s i o n as a lawyer to override, i n any case of c o n f l i c t of i n t e r e s t or r u l e , h i s or her r e s p o n s i b i l i t y to the p r a c t i c e as a whole and t o fellow-members o f i t . I f n e c e s s a r y , t h e Government i s prepared t o l e g i s l a t e t o ensure t h e primacy of t h a t p e r s o n a l r e s p o n s i b i l i t y .
Subject to these c o n s i d e r a t i o n s , the Government does not envisage s t a t u t o r y p r e s c r i p t i o n of those with whom s o l i c i t o r s might be allowed to p r a c t i s e j o i n t l y . To do so would, i n the Government's view, be t o impose an unnecessary r i g i d i t y on s o l i c i t o r s ' freedom t o adapt to changing circumstances.
B a r r i s t e r s
12.12
Both the Benson Commission and
the Hughes Commission
concluded t h a t there should be
no
r e l a x a t i o n of
the
p r o h i b i t i o n on
b a r r i s t e r s and
advocates r e s p e c t i v e l y
forming any kind of p a r t n e r s h i p p r a c t i c e . They regarded
s o l e
p r a c t i c e as
c r u c i a l
to
the
i n d i v i d u a l i s m
and
detachment of
e f f i c i e n t advocacy, and were concerned
t h a t p a r t n e r s h i p p r a c t i c e - whether between b a r r i s t e r s
or between b a r r i s t e r s and s o l i c i t o r s - would reduce the
c h o i c e
a v a i l a b l e to
c l i e n t s . They d i d not
t h e r e f o r e
contemplate the
p o s s i b i l i t y
of
p a r t n e r s h i p s
between
b a r r i s t e r s and members of other p r o f e s s i o n s .
## The Government' S View
12.13
The
Government t h i n k s t h a t b a r r i s t e r s should now
be
p e r m i t t e d
to o p e r a t e
i n p a r t n e r s h i p s ,
should
they
choose to do so, f o r the reasons s e t out i n Chapter 11 of t h i s Green Paper at paras 11.13
to 11.17.
12.14
T h i s r a i s e s the p o s s i b i l i t y of b a r r i s t e r s being allowed
to enter i n t o m u l t i - d i s c i p l i n a r y p r a c t i c e s . I n view of the proposals i n t h i s Green Paper as to l e g a l education
(Chapter 3 ) , advocacy
(Chapter 5 ) , d i r e c t a c c e s s
to
c o u n s e l
( C h a p t e r
8 )
and
j u d i c i a l
a p p o i n t m e n t s
(Chapter 10)
t h e r e appears to be
no good reason
to
d i s t i n g u i s h
i n t h e
f u t u r e between b a r r i s t e r s
and
s o l i c i t o r s
i n t h i s
r e s p e c t .
The
advantages i n terms
both of improving the p r o v i s i o n of l e g a l s e r v i c e s and of the need to maintain safeguards to the p u b l i c are i n
p r i n c i p l e
s i m i l a r i n both c a s e s . On
safeguards,
the
c r u c i a l
requirement must be
t h a t
no
o b l i g a t i o n
a
b a r r i s t e r undertakes to p a r t n e r s or to anyone e l s e should take precedence over h i s p r o f e s s i o n a l duty as a b a r r i s t e r to the c o u r t s , to h i s c l i e n t and to the members of h i s p r o f e s s i o n .
Subject to that, and any n e c e s s a r y l e g i s l a t i v e p r o v i s i o n to e n s u r e t h a t a b a r r i s t e r ' s wider o b l i g a t i o n s would remain paramount over h i s o b l i g a t i o n s to fellow-members of a m u l t i -
d i s c i p l i n a r y p r a c t i c e , the Government considers that the code of conduct of the Bar should be amended to a l l o w b a r r i s t e r s to choose the form of o r g a n i s a t i o n through which they p r a c t i s e .
(B) M u l t i - n a t i o n a l p r a c t i c e s Present P o s i t i o n
12.15
At p r e s e n t t h e same r e s t r i c t i o n s w h i c h p r e v e n t
s o l i c i t o r s
i n England
and
Wales j o i n i n g a
m u l t i -
d i s c i p l i n a r y p r a c t i c e a l s o prevent them from p r a c t i s i n g
i n conjunction with lawyers from another j u r i s d i c t i o n .
A
s o l i c i t o r who forms a p a r t n e r s h i p with a f o r e i g n lawyer may not, as a p a r t n e r of the f o r e i g n firm, perform any of the functions reserved by s t a t u t e to q u a l i f i e d persons.
A
s o l i c i t o r may, however, perform such functions, i f he e s t a b l i s h e s h i s own firm, while a t the same time being a partner of the f o r e i g n firm. The r e s t r i c t i o n s on b a r r i s t e r s p r a c t i s i n g except independently apply a l s o i n t h i s area.
## Arguments A G A I N S T Change
12.15
There are three main arguments a g a i n s t change:-
( a )
there are d i f f i c u l t questions about the r e g u l a t i o n
of firms whose partners are s u b j e c t to d i f f e r e n t p r o f e s s i o n a l
bodies.
F e a r s have been
expressed
t h a t
the
standards
of
the
p r o f e s s i o n
could
be
compromised;
(b)
f o r e i g n
firms might dominate or even take
over
domestic firms i n some areas and
t h i s could
be
c o n t r a r y to the p u b l i c i n t e r e s t ;
and
( c )
the present arrangements permit a wide range of
forms of a s s o c i a t i o n short of p a r t n e r s h i p . E n g l i s h
s o l i c i t o r s have taken f u l l advantage of these.
F u l l p a r t n e r s h i p i s not t h e r e f o r e n e c e s s a r y , p a r t i c u l a r l y i n t h e l i g h t o f t h e d i f f i c u l t regulatory problems.
## Arguments F O R Change
12.17
The following points a r e made i n favour of change:-
( a ) the demand f o r m u l t i - n a t i o n a l l e g a l p r a c t i c e s
i s
growing a s commercial
o p e r a t i o n s
become more
i n t e r n a t i o n a l . T h i s
w i l l undoubtedly be given a
f u r t h e r
f i l l i p by the completion of the s i n g l e
market i n Europe. E n g l i s h s o l i c i t o r s should be
i n
a p o s i t i o n to meet the market demand, u n l e s s any
r e s t r i c t i o n s can be j u s t i f i e d on p u b l i c
i n t e r e s t
grounds. I f
the r e s t r i c t i o n s a r e
not l i f t e d , there
i s a r i s k that E n g l i s h s o l i c i t o r s w i l l l o s e out
t o
f o r e i g n
l a w y e r s who a r e p e r m i t t e d
t o be more
f l e x i b l e ;
(b)
some other
c o u n t r i e s (e.g.
the Netherlands) and
other UK p r o f e s s i o n s ( e . g . accountants)
permit
m u l t i - n a t i o n a l p r a c t i c e s . E n g l i s h s o l i c i t o r s a r e
permitted a l s o to be partners i n f o r e i g n p r a c t i c e s
s u b j e c t to c e r t a i n r u l e s . T h i s suggests
t h a t the
regulatory concern i s
one t h a t can, i n
p r i n c i p l e ,
be met;
( c ) the
UK's general inward investment p o l i c i e s do
not
s u p p o r t
e x c l u d i n g
f o r e i g n
f i r m s f o r f e a r of
dominance or take over i n a p a r t i c u l a r s e c t o r . Normal competition p o l i c y prevents
anticompetitive
mergers or monopolies. The Government endorses
t h i s argument f o r
change as long as p r o f e s s i o n a l
standards a r e
maintained; and
(d) t h e EC d i r e c t i v e on t h e mutual r e c o g n i t i o n of p r o f e s s i o n a l q u a l i f i c a t i o n s (which comes i n t o f o r c e i n e a r l y 1991) w i l l a s s i s t lawyers from other member s t a t e s i n gaining a c c e s s t o the l e g a l p r o f e s s i o n s i n England and Wales.
C o n t i n u i n g r e s t r i c t i o n s on E n g l i s h lawyers'
r i g h t s t o form p a r t n e r s h i p s w i t h c o l l e a g u e s from o t h e r member s t a t e s would be anomalous i n the context of such a move toward a f r e e r Community - wide market i n p r o f e s s i o n a l s e r v i c e s .
## Safeguards
12.18
As with m u l t i - d i s c i p l i n a r y p r a c t i c e s , t h e Government i s not persuaded t h a t the p u b l i c i n t e r e s t j u s t i f i e s the m a i n t e n a n c e o f r e s t r i c t i o n s on m u l t i - n a t i o n a l p r a c t i c e s . Removal of the s t a t u t o r y r e s t r i c t i o n s would p e r m i t m u l t i - n a t i o n a l p r a c t i c e s i n p r i n c i p l e . The i s s u e would then be whether adequate safeguards can be e s t a b l i s h e d over m u l t i - n a t i o n a l p r a c t i c e s to maintain
p r o f e s s i o n a l standards and c l i e n t
p r o t e c t i o n .
12.19
The Government's view i s that, as f a r
as p o s s i b l e ,
safeguards should be a matter f o r p r o f e s s i o n a l
s e l f
r e g u l a t i o n
r a t h e r than Government c o n t r o l . Once the
s t a t u t o r y
r e s t r i c t i o n s
h a d b e e n
l i f t e d , t h e
p r o f e s s i o n s
would, however, have t o j u s t i f y any
r e m a i n i n g
r e s t r i c t i o n s on t h e way
t h a t
l e g a l
p a r t n e r s h i p s a r e
operated to
the
competition a u t h o r i t y .
12.20
T h e r e i s a range o f o p t i o n s on t h e o p e r a t i o n of
s a f e g u a r d s
w h i c h a r e n o t n e c e s s a r i l y
m u t u a l l y
e x c l u s i v e . The p r o f e s s i o n a l
bodies would presumably
want
t h e i r members t o remain s u b j e c t t o t h e i r own
r u l e s . They could
r e q u i r e
r e g i s t r a t i o n of a
m u l t i -
n a t i o n a l p r a c t i c e . A l l p a r t n e r s i n a m u l t i - n a t i o n a l p r a c t i c e could then be s u b j e c t t o c e r t a i n s p e c i f i c r u l e s , although t h i s approach might mean t h a t f o r e i g n lawyers were e f f e c t i v e l y being required to be E n g l i s h s o l i c i t o r s r a t h e r than bringing t h e i r own e x p e r t i s e to the p r a c t i c e . An a l t e r n a t i v e option would be f o r the p r o f e s s i o n a l body to allow m u l t i - n a t i o n a l p a r t n e r s h i p s with lawyers who are bound by the r u l e s of p r o f e s s i o n a l
bodies of s i m i l a r standing.
12.21
Once the s t a t u t o r y r e s t r i c t i o n s a r e l i f t e d and the EC
d i r e c t i v e
on m u t u a l r e c o g n i t i o n
o f
p r o f e s s i o n a l
q u a l i f i c a t i o n s i s
implemented, the Government
considers
t h a t the prevention of p a r t n e r s h i p s
with EC lawyers
would be i n c r e a s i n g l y anomalous. The Government
a l s o
b e l i e v e s t h a t i t should be p o s s i b l e t o extend
m u l t i -
n a t i o n a l p r a c t i c e s to lawyers from other j u r i s d i c t i o n s .
## The Government'S View
12.22
I n summary, the Government considers
t h a t the l e g a l
p r o f e s s i o n s
should be as f r e e as p o s s i b l e ,
c o n s i s t e n t
with the safeguarding of c l i e n t s ' i n t e r e s t s , t o o f f e r
t h e i r s e r v i c e s i n the ways that they f i n d best meet the demands o f c l i e n t s .
The same amendments t o t h e S o l i c i t o r s Act 1974 which w i l l remove the s t a t u t o r y i n h i b i t i o n s on m u l t i - d i s c i p l i n a r y p r a c t i c e s w i l l serve to open t h e way f o r m u l t i - n a t i o n a l p r a c t i c e s . The Government hopes t h e r e f o r e t h a t the p r o f e s s i o n a l bodies w i l l u r g e n t l y review t h e i r own r u l e s governing the establishment of these.
## Chapter 13 ־Advertising And Information
13.1
C l i e n t s need adequate information i n order t o make a
s e n s i b l e choice of a lawyer and to get maximum value f o r money through the lawyer and c l i e n t r e l a t i o n s h i p .
## Background
13.2
The l e g a l p r o f e s s i o n , l i k e many other p r o f e s s i o n s ,
has
t r a d i t i o n a l l y
p l a c e d
r e s t r i c t i o n s through
p r a c t i c e
r u l e s or codes of conduct on the
freedom of i t s
members
i n d i v i d u a l l y t o inform the p u b l i c about what s e r v i c e s
they o f f e r and a t what p r i c e . These r e s t r i c t i o n s i n
p a r t
r e f l e c t e d a f e e l i n g
t h a t
p r a c t i c e s
s u c h a s
a d v e r t i s i n g and p r i c e competition, which a r e
common
and
u n o b j e c t i o n a b l e
i n a c o m m e r c i a l
c o n t e x t ,
were
u n d i g n i f i e d i n
a p r o f e s s i o n a l context and incompatible
with the s t a t u s and image of the p r o f e s s i o n . I t
was
argued t h a t i n d i v i d u a l
a d v e r t i s i n g - as opposed to
information about i t s e l f and i t s s e r v i c e s disseminated
by t h e p r o f e s s i o n c o l l e c t i v e l y - would damage the
r e l a t i o n s h i p of t r u s t between lawyer and c l i e n t , and t h a t i t
could be misleading to members of the p u b l i c
who c o n s u l t a lawyer only o c c a s i o n a l l y and who a r e i n
any
c a s e not w e l l p l a c e d t o judge t h e q u a l i t y of
s e r v i c e o f f e r e d .
## The Government'S Approach
13.3
The Government c o n s i d e r s t h a t no f u r t h e r r e s t r a i n t i s
n e c e s s a r y on the way i n which information i s given
about the l e g a l p r o f e s s i o n beyond the p r i n c i p l e s of
the
B r i t i s h Code of A d v e r t i s i n g P r a c t i c e of the
A d v e r t i s i n g
Standards Authority, which a r e t h a t a d v e r t i s i n g should
be l e g a l , decent, honest and t r u t h f u l . I n the opinion
of the Government these a r e strong safeguards.
There
should be no b a r r i e r s to the p u b l i c a t i o n of r e l e v a n t
information about the p r a c t i c e s of the p r o f e s s i o n and
the s e r v i c e s i t o f f e r s . T h i s would help g r e a t l y to ensure t h a t : -
( a )
i n d i v i d u a l members of the p u b l i c are enabled
to
make an informed choice of the l e g a l a d v i s e r most
s u i t e d to t h e i r needs;
(b)
i t becomes e a s i e r f o r newly q u a l i f i e d lawyers to
enter i n t o and e s t a b l i s h p r a c t i c e ;
( c )
there i s an i n c e n t i v e f o r e s t a b l i s h e d lawyers to
improve t h e i r e f f i c i e n c y and
the q u a l i t y of
the
s e r v i c e s they o f f e r ; and
(d)
there i s an encouragement to lower charges.
The o v e r a l l b e n e f i t to both lawyers and t h e i r c l i e n t s w i l l , i n the Government's view, improve the access of the p u b l i c to j u s t i c e .
## Present P O S I T I O N
13.4
R e s t r i c t i o n s on the freedom to a d v e r t i s e of members of both branches of the p r o f e s s i o n were examined i n r e p o r t s of the Monopolies and Mergers Commission which were p u b l i s h e d i n
1976.
The Commission came to d i f f e r e n t conclusions i n the conditions p r e v a i l i n g a t t h a t t i m e .
C o n s e q u e n t l y t h e p r e s e n t p o s i t i o n on providing information d i f f e r s as between s o l i c i t o r s and b a r r i s t e r s .
(a)
S o l i c i t o r s
13.5
The Monopolies and Mergers Commission concluded t h a t t h e r e s t r i c t i o n s on s o l i c i t o r s which then e x i s t e d operated against the p u b l i c i n t e r e s t . They recommended t h a t Rule 1 of the S o l i c i t o r s '
P r a c t i c e Rules, which p l a c e d a g e n e r a l p r o h i b i t i o n on a d v e r t i s i n g and s o l i c i t i n g business, should be terminated, and t h a t i t should be replaced by a r u l e which would permit any s o l i c i t o r to use, whenever he thought f i t , such methods of p u b l i c i t y as he thought f i t provided t h a t they did not: ־
(a)
c l a i m f o r h i s p r a c t i c e
s u p e r i o r i t y over any or a l l
other s o l i c i t o r s ' p r a c t i c e s ;
(b)
c o n t a i n any i n a c c u r a c i e s or misleading statements; or
( c )
possess a c h a r a c t e r t h a t could reasonably be regarded
as l i k e l y to bring the p r o f e s s i o n i n t o d i s r e p u t e .
As a r e s u l t of changes made to P r a c t i c e Rule 1 and guidance i s s u e d by the Law S o c i e t y i n 1984,
1987
and
1988, s o l i c i t o r s a r e now f r e e t o a d v e r t i s e t h e i r s e r v i c e s through any medium; and they may s p e c i f y the f e e s they charge f o r p a r t i c u l a r s e r v i c e s or the f a c t t h a t they are prepared to give a quotation. The Law S o c i e t y has a l s o taken a number of s t e p s to p u b l i c i s e the a v a i l a b i l i t y of s o l i c i t o r s ' s e r v i c e s g e n e r a l l y .
(b)
B a r r i s t e r s
13.6
As to b a r r i s t e r s , the Monopolies and Mergers Commission
concluded
t h a t the a b s o l u t e ban
i n the Bar Council
r u l e s on
a d v e r t i s i n g , touting and
p u b l i c i t y d i d not
operate a g a i n s t the p u b l i c
i n t e r e s t . The Commission
d i s t i n g u i s h e d b a r r i s t e r s ' s e r v i c e s from those of other
p r o f e s s i o n s i n t h a t the l a y c l i e n t could (and
s t i l l
can) approach
a b a r r i s t e r only through
a
s o l i c i t o r .
They took the view t h a t the c l i e n t was
-
almost u n i q u e l y - not disadvantaged by l a c k of information s i n c e he could r e l y on the advice of h i s s o l i c i t o r as to which b a r r i s t e r to i n s t r u c t . The Commission thought t h a t the Bar Council r u l e s concerned d i d not prevent s o l i c i t o r s from o b t a i n i n g s u f f i c i e n t i n f o r m a t i o n adequately to advise c l i e n t s . Moreover they thought the r u l e s d i d not p l a c e any s i g n i f i c a n t o b s t a c l e s i n the way o f e s t a b l i s h e d b a r r i s t e r s i m p r o v i n g t h e i r e f f i c i e n c y and standard of s e r v i c e , or i n the way of new b a r r i s t e r s e s t a b l i s h i n g themselves, given t h a t b a r r i s t e r s w e r e r e q u i r e d t o p r a c t i s e s i n g l y
( p a r t n e r s h i p being then, a s now, p r o h i b i t e d ) as a member of chambers. Consequently, the Commission d i d
not recommend any change t o the
Bar Council r u l e s .
13.7
I n
1988 the
Bar Council s i m p l i f i e d i t s r u l e s and i s s u e d
a code of a d v e r t i s i n g and p u b l i c i t y , which permits the
i s s u e of a c e r t a i n amount of information i n approved
d i r e c t o r i e s and l o c a l
newspapers and i n approved
chambers'
l e a f l e t s . The p o s i t i o n i s , however,
s t i l l
s u b s t a n t i a l l y
s i m i l a r
t o t h a t examined by t h e
Monopolies and Mergers Commission and remains
v e r y
r e s t r i c t i v e i n r e l a t i o n t o i n d i v i d u a l
b a r r i s t e r s ,
e s p e c i a l l y i n regard to g i v i n g information d i r e c t to the p u b l i c .
## The Government'S View
(a)
S o l i c i t o r s
13.8
The p r e s e n t
P r a c t i c e Rules and guidance of the Law
S o c i e t y on a d v e r t i s i n g by i n d i v i d u a l
s o l i c i t o r s ,
combined with the a c t i o n taken by the Law S o c i e t y to
i s s u e information about s o l i c i t o r s ' s e r v i c e s g e n e r a l l y ,
go a long way towards
r e a l i s i n g the advantages of
p u b l i c i t y
s e t o u t i n p a r a 13.3 a b o v e .
F u r t h e r
c o n s i d e r a t i o n w i l l , however, be needed about how best
to b r i n g to p u b l i c a t t e n t i o n the s p e c i a l i s t s k i l l s and
q u a l i f i c a t i o n s envisaged i n Chapter 3. Although t h e r e
i s obvious advantage i n making such s p e c i a l i s m s widely known, i t would be counter-productive i f any amendment to t h e P r a c t i c e Rules and guidance were to prevent s o l i c i t o r s from a d v e r t i s i n g t h e a v a i l a b i l i t y of s e r v i c e s i n p a r t i c u l a r a r e a s i n w h i c h t h e y a r e e x p e r i e n c e d , b u t do n o t h a v e a s p e c i a l i s t q u a l i f i c a t i o n .
(b)
B a r r i s t e r s
13.9
I n view of the proposals about advocacy (Chapter 5) and
d i r e c t a c c e s s by l a y c l i e n t s to b a r r i s t e r s (Chapter 8 ) ,
t h e
f a c t o r s which l e d t h e Monopolies and
Mergers
Commission not to recommend any change i n the Bar r u l e s
on p u b l i c i t y appear no longer to be r e l e v a n t . I t i s
t h e r e f o r e envisaged
that the Bar Council יs r u l e s and
code w i l l need amendment to put them on the same l i n e s
as those the Law S o c i e t y now has.
## The C I V I L J U S T I C E Review'S Recommendation
13.10
Some a l t e r a t i o n of e x i s t i n g p r o f e s s i o n a l
p r a c t i c e s w i l l
be needed i n any event, i n order t o implement
one
important
recommendation
i n the r e p o r t of the
C i v i l
J u s t i c e Review. I n i t s
chapter on a c c e s s to j u s t i c e ,
t h a t report recognised t h a t f e a r of c o s t s i s a major
f a c t o r w h i c h i n h i b i t s u s e of t h e C o u r t s ; and i t recommended t h a t s o l i c i t o r s and b a r r i s t e r s should be encouraged and expected to provide information by way of s t a t e d r a t e s per c a s e per hour. The Government e n d o r s e s t h i s f i n d i n g and s t r o n g l y s u p p o r t s t h e recommendation. For s o l i c i t o r s i t may be necessary f o r the Law S o c i e t y to consider how i t s e x i s t i n g r u l e s and guidance might be strengthened i n order to produce more s p e c i f i c d e t a i l s .
The Code of Conduct of the Bar e f f e c t i v e l y p r o h i b i t s b a r r i s t e r s from p u b l i s h i n g t h e i r charges. Accordingly the Government b e l i e v e s t h a t the code should both be r e l a x e d to permit t h i s and a l s o expanded so as to encourage the r o u t i n e p r o v i s i o n of information about fees i n i n d i v i d u a l c a s e s .
## Chapter 14 - Probate Introduction
14.1
I n t h i s chapter the
Government s e t s out
why i t
proposes
to amend s e c t i o n 23 of the S o l i c i t o r s Act 1974 which
imposes r e s t r i c t i o n s on those who may draw o r prepare
f o r
reward
c e r t a i n
papers i n connection
w i t h nonc o n t e n t i o u s
a p p l i c a t i o n s f o r probate and l e t t e r s of
a d m i n i s t r a t i o n .
I t s e e k s
v i e w s on whether t h e
r e s t r i c t i o n s should be removed a l t o g e t h e r or whether a p p l i c a t i o n s f o r
reward should be made only by s p e c i f i c
c l a s s e s of persons.
## Existing R E S T R I C T I O N S
14.2
Under s e c t i o n 23 of the S o l i c i t o r s Act 1974 i t
i s
an
offence f o r
anyone apart from a s o l i c i t o r , b a r r i s t e r or
notary to draw or prepare f o r reward the papers on
w h i c h t o found a g r a n t of probate
o r l e t t e r s o f
a d m i n i s t r a t i o n .
14.3
The papers required
a r e : -
( a )
an a f f i d a v i t by which the a p p l i c a n t f o r the grant s w e a r s t h a t he w i l l a d m i n i s t e r t h e e s t a t e according to the law and
( i )
i f he i s an executor, swears t h a t he i s the
executor named and i d e n t i f i e s the w i l l as
the
l a s t w i l l of the deceased; or
( i i ) i f t h e r e i s no
e x e c u t o r
o r no
w i l l ,
i d e n t i f i e s h i s
t i t l e to the grant;
(b)
v e r y
o c c a s i o n a l l y , a f f i d a v i t s
i n r e s p e c t o f
c e r t a i n other matters; and
( c )
an Inland Revenue account signed by
the executor
or administrator. (However t h i s i s not required i n
most c a s e s where the e s t a t e i s worth l e s s
than
£70,000).
14.4
A p p l i c a t i o n s f o r a grant may be made i n person or by a
s o l i c i t o r .
The Non-Contentious Probate Rules
provide
t h a t only a p p l i c a t i o n s by a s o l i c i t o r do not r e q u i r e personal attendance a t the Probate R e g i s t r y .
## D I F F I C U L T I E S C R E A T E D
14.5
I t i s common p r a c t i c e f o r a t e s t a t o r to nominate a bank
as h i s executor.
A bank f o r t h i s purpose operates as a
t r u s t corporation.
The expression " t r u s t corporation"
i s defined by s e c t i o n 128 of the Supreme Court Act 1981
and
t h e
Law
of
P r o p e r t y
(Amendment) A c t 1926
as
meaning the P u b l i c Trustee, a corporation appointed
by
the Court i n any p a r t i c u l a r case to be a t r u s t e e , or a corporation e n t i t l e d under the P u b l i c Trustee Rules to
a c t as custodian t r u s t e e .
The
l i s t
of
corporations
e n t i t l e d to a c t i s l a r g e and v a r i e d .
I t i n c l u d e s the
Treasury
S o l i c i t o r ,
c h a r i t i e s authorised by the
Lord
Chancellor,
l o c a l a u t h o r i t i e s , and o r g a n i z a t i o n s
l i k e
B r i t i s h Gas, London Regional Transport and the
B r i t i s h
Coal Corporation
i n r e l a t i o n to t h e i r pension
funds.
I t
a l s o
i n c l u d e s UK
or
EEC
companies w h i c h
a r e
empowered to undertake t r u s t business, have a t
l e a s t
one
p l a c e of business i n England and Wales and have
i s s u e d
c a p i t a l
of £250,000 of which not
l e s s
than
£100,000 has been paid up i n cash.
Examples of
such
companies are insurance companies and, as s t a t e d a t the beginning of the paragraph, banks.
14.6
A
t r u s t
c o r p o r a t i o n
i s , l i k e
any
o t h e r
e x e c u t o r ,
e n t i t l e d to administer the e s t a t e i n r e s p e c t of which
i t has been appointed.
However, as i t r e c e i v e s a fee
for being executor, i t
cannot prepare the a f f i d a v i t or
account.
Nor can i t make a personal a p p l i c a t i o n f o r probate as i t i s s p e c i f i c a l l y excluded from doing t h i s by t h e N o n - C o n t e n t i o u s P r o b a t e R u l e s .
I t must
t h e r e f o r e
i n s t r u c t a s o l i c i t o r t o prepare the papers
and make the a p p l i c a t i o n on i t s behalf.
14.7
I t
might appear t h a t i t
could avoid these d i f f i c u l t i e s
by
making t h e a p p l i c a t i o n
t h r o u g h an
i n - h o u s e
s o l i c i t o r . However there i s
some doubt as t o whether
t h i s
would be
l a w f u l .
I t i s a r g u e d
t h a t t h e
r e s t r i c t i o n s on u n q u a l i f i e d persons ( i . e .
those who
are
not
s o l i c i t o r s ) cannot be avoided by an u n q u a l i f i e d
person employing a s o l i c i t o r to a c t
as h i s
agent. I f
t h i s
i n t e r p r e t a t i o n of s e c t i o n 23 i s c o r r e c t , the
r e s u l t i s i l l o g i c a l ,
bearing
i n mind t h a t employed
s o l i c i t o r s a r e a b l e to l i t i g a t e on behalf of
t h e i r
employers and w i l l soon be able to provide conveyancing
s e r v i c e s on t h e i r behalf.
Nevertheless, the
wording of
s e c t i o n 23 can
be seen as a bar
on making a p p l i c a t i o n s
for grants through employed s o l i c i t o r s .
14.8
Banks have been arguing f o r
some time t h a t s e c t i o n 23
should be amended so that they a r e
c l e a r l y permitted to
make a p p l i c a t i o n s f o r grants.
I n a d d i t i o n
l i c e n s e d
conveyancers now argue t h a t they need t o be able to
make a p p l i c a t i o n s on behalf of c l i e n t s .
An obvious
example i s
where t h e i r c l i e n t s need to obtain a grant
of probate to obtain a good
t i t l e .
At the moment,
u n l e s s
c l i e n t s
a r e w i l l i n g
t o make
p e r s o n a l
a p p l i c a t i o n s , l i c e n s e d conveyancers have to send them
to s o l i c i t o r s .
J u s t i f i c a t i o n f o r r e s t r i c t i o n s
14.9
The j u s t i f i c a t i o n f o r the r e s t r i c t i o n s i n s e c t i o n 23
would appear to
be:-
( a )
the need to p r o t e c t the e s t a t e .
The p r o t e c t i o n
t h a t the s e c t i o n might give could be only
very
l i m i t e d .
I t does not apply to c a s e s where the
executor
or h i s agent a c t s without
reward.
I t
does not p r o t e c t the e s t a t e once i t i s i n the hands of the executors which i s the stage a t which most dishonesty would take p l a c e .
I t b i t e s only
on the formal a p p l i c a t i o n f o r the grant.
(b)
t h e
need
t o
p r o t e c t
t h e
c o u r t s
from
p o o r l y
p r e p a r e d
documents.
I n c a s e s where
t r u s t
c o r p o r a t i o n s a d m i n i s t e r
e s t a t e s ,
i t i s thought
t h a t they prepare the documentation so the r o l e of
the s o l i c i t o r i s purely nominal.
I n the view of
the Probate R e g i s t r y , documents prepared by
t r u s t
c o r p o r a t i o n s
a r e a t
l e a s t
as w e l l prepared
as
t h o s e
p r e p a r e d
by
s o l i c i t o r s .
The
P r o b a t e
R e g i s t r y
checks
a l l a p p l i c a t i o n s and
w i l l
not
i s s u e a grant u n l e s s i t i s s a t i s f i e d t h a t a l l i s
i n order.
14.10
The Law S o c i e t y were u n t i l r e c e n t l y f i r m l y a g a i n s t any
change. The President, however, i n h i s recent
address
to the Law S o c i e t y Conference,
s a i d : -
"We
are r e a s s e s s i n g the areas of work i n which we
r e t a i n p r i v i l e g e d p o s i t i o n s .
For example,
the
Council i s looking again a t whether the monopoly we
enjoy by s t a t u t e f o r taking out probate
and
l e t t e r s of administration, i s r e a l l y j u s t i f i e d i n
the p u b l i c i n t e r e s t .
I w i l l
t e l l you my
view.
Non-contentious probate i s an area of work which
as a p r o f e s s i o n we have t r a d i t i o n a l l y dominated.
Where banks or other t r u s t corporations have been
i n s t r u c t e d as executors to undertake the bulk of
the winding up of an e s t a t e i s there r e a l l y a p u b l i c safeguard i n r e q u i r i n g only the probate papers themselves to be drawn and lodged by a s o l i c i t o r ?
We know t h a t o u r c h a r g e s f o r executorship a r e modest compared with those the bank charge, and we should be p u b l i c i s i n g t h i s f a c t to our c l i e n t s . I f we cannot stand on our reputation i n t h i s area and maintain a s u b s t a n t i a l share of the market, we do not deserve t o have i t a r t i f i c i a l l y m a i n t a i n e d f o r us by p r o t e c t i v e l e g i s l a t i o n . "
The Government welcomes t h i s c o n s t r u c t i v e approach.
## Relaxation
14.11
The Government has concluded t h a t i t can no longer j u s t i f y maintaining the present s t a t u t o r y r e s t r i c t i o n on those who may make a p p l i c a t i o n s f o r g r a n t s of probate or l e t t e r s of a d m i n i s t r a t i o n f o r reward i n noncontentious c a s e s .
However i t wishes to seek views on whether the r i g h t course i s t o widen the c l a s s of people who may apply f o r reward
- Option A - or w h e t h e r i t i s s a f e t o remove t h e r e s t r i c t i o n a l t o g e t h e r - Option B.
## Option A
14.12
Documents have to be completed properly and executors
need to be aware of any i r r e g u l a r i t i e s i n
the d r a f t i n g
of the w i l l .
There i s a l s o a p o s s i b i l i t y , should the
r e s t r i c t i o n s
go a l t o g e t h e r , o f a new b r e e d o f
unregulated probate p r a c t i t i o n e r .
The Probate R e g i s t r y
cannot be expected to pick up every mistake or attempt
a t
f r a u d .
I t might be s e n s i b l e t o p r o v i d e
t h a t
a p p l i c a t i o n s f o r
reward
s h o u l d o n l y be made by
s p e c i f i c
c l a s s e s of p e r s o n who a r e l i k e l y t o be
reputable and who may w e l l be regulated by s t a t u t e or a p r o f e s s i o n a l body.
The obvious examples of such c l a s s e s
( a p a r t from
14.13
s o l i c i t o r s , b a r r i s t e r s and n o t a r i e s ) a r e : -
(a)
t r u s t corporations;
(b)
l i c e n s e d conveyancers;
( c )
a u t h o r i s e d p r a c t i t i o n e r s - as proposed
i n the
C o n s u l t a t i o n Paper on Conveyancing
by Authorised
P r a c t i t
i o n e r s ; and
(d)
c h a r t e r e d and c e r t i f i e d accountants.
The l i s t i n para 14.13 i s not intended to be exhaustive
14.14
a n d t h e G o v e r n m e n t w o u l d w i s h t o c o n s i d e r r e p r e s e n t a t i o n s from any other c l a s s which c o n s i d e r s i t might properly be included.
As explained i n para 14.4, a t present only s o l i c i t o r s
14.15
may make a p p l i c a t i o n s f o r a grant without attending the R e g i s t r y i n person.
I t would seem to be both s e n s i b l e and simple to put a l l the c l a s s e s which are u l t i m a t e l y accepted i n e x a c t l y the same p o s i t i o n .
Option Β
I t i s d i f f i c u l t to a s s e s s the p r a c t i c a l as opposed to
14.16
t h e t h e o r e t i c a l p r o b l e m s of u n r e g u l a t e d p r o b a t e p r a c t i t i o n e r s s e t t i n g up i n b u s i n e s s .
Furthermore, i f t h e r e i s a s p e c i f i c l i s t of a c c e p t e d p e r s o n s , as suggested i n p a r a 14.13, t h e r e w i l l i n e v i t a b l y be a p p l i c a t i o n s from t h o s e who would w i s h t o add themselves.
Option A may t h e r e f o r e cause more t r o u b l e than i t i s worth i f the r i s k of fraud and e r r o r i s very s m a l l .
14.17
On the other hand, where fraud or e r r o r does occur the p u b l i c would be l e s s w e l l protected i n the case of unregulated probate p r a c t i t i o n e r s .
I n addition, i f anyone were able to apply f o r a grant as agent f o r another, i t would be l e s s j u s t i f i a b l e to r e l a x the requirement t h a t a l l t h o s e e x c e p t s o l i c i t o r s must a t t e n d t h e R e g i s t r y i n person.
I t would not be s e n s i b l e to remove the requirement a l t o g e t h e r , as i t does help the R e g i s t r y to ensure as f a r as p o s s i b l e t h a t a p p l i c a t i o n s a r e made by the person p r o p e r l y e n t i t l e d .
On the other hand, any attempt to d e f i n e those who need not attend seems to be a p a r t i a l r e t u r n to Option A.
The oath
Under e i t h e r Option A or B, f o r those who do not make
14.18
an a p p l i c a t i o n f o r a grant through a s o l i c i t o r or notary, t h e r e i s a f u r t h e r o b s t a c l e i n the way of a one-stop probate s e r v i c e . Only a s o l i c i t o r or notary may administer the oaths r e f e r r e d to i n paras 14.3(a)
and
( b ) . T h i s r a i s e s t h e q u e s t i o n w h e t h e r t h e requirement to swear an oath i s too cumbersome and should be removed, on the understanding t h a t making a d i s h o n e s t unsworn statement f o r the purpose of an a p p l i c a t i o n would continue to be a c r i m i n a l offence. The Government would welcome views on t h i s suggestion.
## Relaxation Confined To Non-Contentious C A S E S
14.19
A l t h o u g h t h e Government i n t e n d s t o remove t h e r e s t r i c t i o n s i n n o n - c o n t e n t i o u s c a s e s , i t i s not proposing to remove them i n c a s e s which a r e or become contentious.
Such c a s e s need to conducted by those w i t h t h e n e c e s s a r y s k i l l and t r a i n i n g t o conduct l i t i g a t i o n and appear i n court.
## Possible S P E C I A L C O N T R O L S (A) Code Of Conduct
14.20
I n the past i t
was suggested t h a t there should be a
code o f conduct i f t r u s t
c o r p o r a t i o n s
were t o be
allowed to apply f o r
probate. The Government c o n s i d e r s
t h a t
t h e r e i s no m e r i t
i n t h i s
s u g g e s t i o n .
As
p r e v i o u s l y explained, the a p p l i c a t i o n f o r
probate i s
a
very small p a r t of the a d m i n i s t r a t i o n of an e s t a t e and
the code would not apply t o the r e s t .
I t i s a l s o
d i f f i c u l t to
know what i t could provide other than t h a t
a p p l i c a t i o n s should be made competently and honestly.
Furthermore, the overwhelming majority of a p p l i c a n t s
w i l l
already be s u b j e c t to s t a t u t o r y or p r o f e s s i o n a l
c o n t r o l s over the
way
they conduct themselves.
## (B) Charges
14.21
An anxiety
often expressed about banks i s t h a t
t h e i r
c h a r g e s f o r e x e c u t o r s h i p
a r e too high and a r e
not
s u b j e c t t o c o n t r o l s as a r e
the charges of s o l i c i t o r s .
( B e n s o n ,
a s a
q u a l i f i c a t i o n
t o i t s g e n e r a l
recommendation about t r u s t corporations,
proposed t h a t
c h a r g e s by those who a r e not s o l i c i t o r s
should be
s u b j e c t to c o n t r o l . )
14.22
I n the past the banks have argued t h a t one reason why
t h e i r charges are
high i s
because they have had to
pay
s o l i c i t o r s to do work which they have v i r t u a l l y done
already.
Whether t h i s i s t r u e or not,
the Government
b e l i e v e s
t h a t i n p r i n c i p l e p r i c e s should be s e t
by
market f o r c e s and t h a t i t s r o l e i s
confined t o ensuring
t h a t
p r i c e s a r e c l e a r l y and t r u t h f u l l y
e x p r e s s e d .
Banks p u b l i s h t a b l e s of f e e s .
I t
i s
up t o
the t e s t a t o r
to make h i s choice.
T h i s now a l s o seems t o
be the view
of the
Law Society.
## Summary
14.23
The government would welcome views on whether
(a)
anybody should be
e n t i t l e d to make a p p l i c a t i o n s f o r
grants of probate or l e t t e r s of administration; or
(b)
only s p e c i f i e d c l a s s e s of person and, i f so, who should
they be?
( c )
the requirement to swear an oath should be a b o l i s h e d .
## Competition I N The Ec At The Moment:-
( a ) the
UK 18 already bound by the
requirement of the
EC t r e a t y
to a b o l i s h r e s t r i c t i o n s on t h e freedom o f establishment of
n a t i o n a l s o f a member s t a t e i n t h e t e r r i t o r y o f another
member s t a t e and
by t h e
requirement t o a b o l i s h r e s t r i c t i o n s
on freedom to provide s e r v i c e s w i t h i n the Community;
(b)
d i s c r i m i n a t i o n on the grounds of n a t i o n a l i t y which might
prevent lawyers from one member s t a t e p r a c t i s i n g i n another
i s not permitted;
(c) UK lawyers, e i t h e r as firms or i n d i v i d u a l s , a r e
permitted to
p r a c t i s e under t h e i r home s t a t e
t i t l e i n EC member s t a t e s
without a c q u i r i n g a l o c a l q u a l i f i c a t i o n provided t h a t they
do n o t engage i n work
r e s e r v e d
f o r t h e h o s t
l e g a l
profession; and
(d) under t h e Legal S e r v i c e s
D i r e c t i v e of 1977 a lawyer from
one member s t a t e has the r i g h t t o plead i n the c o u r t s of
another member s t a t e provided t h a t he a c t s i n co-operation
with a l o c a l lawyer who has r i g h t s of audience before the
court or t r i b u n a l i n question.
The plans t o achieve a s i n g l e i n t e r n a l market from the end of
1992 w i l l have f u r t h e r consequences f o r the p r o v i s i o n o f l e g a l services i n EC
member s t a t e s : -
( a ) The Council D i r e c t i v e on a general system f o r r e c o g n i t i o n of
h i g h e r e d u c a t i o n d i p l o m a s , adopted by t h e C o u n c i l o f M i n i s t e r s on 21 December 1988, w i l l promote the freedom of
members of p r o f e s s i o n s to provide s e r v i c e s throughout the
EC
and make i t
e a s i e r f o r
a p r o f e s s i o n a l i n
one
member s t a t e t o
p r a c t i s e i n other member s t a t e s a s a member of the l o c a l
p r o f e s s i o n . Member s t a t e s have two years i n which t o take the measures necessary to comply with the D i r e c t i v e . As f a r as lawyers a r e concerned, member s t a t e s w i l l have a choice between r e q u i r i n g an incoming p r o f e s s i o n a l t o t a k e an a p t i t u d e t e s t o r go t h r o u g h a n a d a p t a t i o n p e r i o d .
Accordingly once he has completed t h e a p t i t u d e t e s t or adaptation period and s a t i s f i e d other r e l e v a n t c o n d i t i o n s , he w i l l be e n t i t l e d t o admission a s a f u l l member of the host s t a t e l e g a l p r o f e s s i o n ;
(b)
t h e r e
w i l l be an i n c r e a s e d demand a s a r e s u l t o f
t h e
d i r e c t i v e both f o r host
s t a t e p r a c t i c e
(e.g. UK lawyers
a c q u i r i n g the l o c a l q u a l i f i c a t i o n s i n another member s t a t e ) and f o r
home s t a t e p r a c t i c e (e.g. UK lawyers p r a c t i s i n g i n
other member s t a t e s without a c q u i r i n g l o c a l q u a l i f i c a t i o n s ) .
I t
w i l l be important
t o s a f e g u a r d t h e p o s s i b i l i t y of
establishment under both methods;
and
(c)
there w i l l be an i n c r e a s e d demand to remove r e s t r i c t i o n s on
m u l t i - n a t i o n a l p r a c t i c e s .
As f a r a s the law i t s e l f i s concerned there i s l i k e l y by 1992
to be both an i n c r e a s e d body of E n g l i s h law implementing EC d i r e c t i v e s and an i n c r e a s e d body of EC law. Both business and private c l i e n t s w i l l be a f f e c t e d . Business c l i e n t s e s p e c i a l l y a r e l i k e l y t o become more a c t i v e i n the common market. They w i l l need advice on matters such a s the best p l a c e and form i n which to s e t up b u s i n e s s , whether t h e r e a r e advantages i n h a v i n g t h e i r contracts governed by the law of a p a r t i c u l a r s t a t e , and the proper forum i n which t o b r i n g proceedings. Only those E n g l i s h lawyers prepared t o develop an e x p e r t i s e i n European Community law and p r a c t i c e and t h e law o f EC Member S t a t e s w i l l be i n a position t o o f f e r t h i s advice. E n g l i s h lawyers who do not w i l l lose the opportunity to compete both i n the European market and at home.
## The Providers Of Legal Services B A R R I S T E R S
1
The
General Council of the Bar
i s the governing body
of
t h e B a r .
I t
i s r e s p o n s i b l e f o r p o l i c y
m a t t e r s
a f f e c t i n g the
Bar
and f o r
the
p r o f e s s i o n a l conduct of
b a r r i s t e r s . Every b a r r i s t e r must be a member o f
one
of
the four Inns of Court ( L i n c o l n ' s Inn, Inner Temple,
Middle Temple, and
Gray's I n n ) . The Inns have the
s o l e
r i g h t t o c a l l men and
women t o the
Bar
and t o d i s b a r
them i n
the
event of misconduct.
Q u a l i f i c a t i o n
2
There a r e three stages to q u a l i f y i n g a s a b a r r i s t e r .
The
f i r s t , or academic, stage c o n s i s t s of
a law degree
or, for non-law graduates, a one year Diploma Course
i n
s u b s t a n t i v e law.
The B a r u s u a l l y
r e q u i r e s a s a
minimum a second c l a s s honours degree before
allowing
students t o
proceed t o
the
second, or
v o c a t i o n a l ,
stage
of
t r a i n i n g .
T h i s i s
r u n by t h e p r o f e s s i o n and
c u r r e n t l y c o n s i s t s of a 30-week course a t
the Council
o f
L e g a l
E d u c a t i o n
l e a d i n g
t o t h e B a r
F i n a l
examination.
Once the student has passed t h e Bar F i n a l s , and provided t h a t he o r she has kept t h e r e q u i s i t e number of terms a t t h e i r Inn of Court (which normally takes two y e a r s ) , he o r she i s e n t i t l e d t o be c a l l e d t o the Bar.
He o r she i s not, however, allowed to p r a c t i s e u n t i l he o r she has completed t h e t h i r d stage of t r a i n i n g which i s c a l l e d p u p i l l a g e .
T h i s l a s t s f o r 12 m o n t h s a n d i s s i m i l a r t o a n a p p r e n t i c e s h i p .
The p u p i l i s a t t a c h e d t o a p u p i l master, an experienced b a r r i s t e r whose f u n c t i o n i t i s to i n s t r u c t the p u p i l i n the s k i l l s he o r she w i l l need to p r a c t i s e a t the Bar and t o i n s t i l l i n him o r or her the e t h i c s of t h e i r p r o f e s s i o n .
The Bar introduced
1
p r a c t i s i n g c e r t i f i c a t e s and check l i s t s f o r p u p i l s i n the autumn of 1988.
A f t e r s i x months of p u p i l l a g e the p u p i l must obtain a c e r t i f i c a t e from h i s or her p u p i l master confirming t h a t he or she has s a t i s f a c t o r i l y completed the f i r s t stage of t h e i r p u p i l l a g e .
The Bar Council w i l l then i s s u e him or her with a p r a c t i s i n g c e r t i f i c a t e e n t i t l i n g him or her to take c a s e s on t h e i r own account.
On s a t i s f a c t o r y completion of a f u r t h e r s i x months p u p i l l a g e , confirmed by the production of a f u r t h e r s i g n e d c e r t i f i c a t e from h i s o r her p u p i l master, the Bar Council w i l l i s s u e him or her with a F i n a l C e r t i f i c a t e e n a b l i n g him or her t o become a f **u l l y** . r f l e d g e d p r a c t i s i n g b a r r i s t e r e i t h e r i n independent p r a c t i c e or employment.
There i s no requirement t h a t p u p i l b a r r i s t e r s be p a i d a s a l a r y during t h e i r p u p i l l a g e , although v a r i o u s awards and
g r a n t s
a r e
a v a i l a b l e
from
t h e
C o u n c i l
of
L e g a l
Education, the Inns of Court and an i n c r e a s i n g number o f
s e t s
o f chambers.
( S e e
p a r a
4 below
f o r
an
explanation of the chambers system.)
3
T h e r e
i s no
compulsory
c o n t i n u i n g
e d u c a t i o n
f o r
b a r r i s t e r s a f t e r p u p i l l a g e , although the Bar has plans
to introduce t h i s .
Courses are already organised f o r
p r a c t i t i o n e r s on,
f o r instance, the i n t e r p r e t a t i o n of
company accounts,
EC law and
matters
of
i n t e r e s t
t o
the s p e c i a l i s t Bar A s s o c i a t i o n s .
## Practice A T The Bar
4
I n order
t o p r a c t i s e a t the Bar a b a r r i s t e r must,
according to the r u l e s of h i s or her p r o f e s s i o n , be a
member of a s e t of chambers which i n c l u d e s having
the
s e r v i c e s of a c l e r k .
There were i n the autumn of
1988
about 6,000 b a r r i s t e r s p r a c t i s i n g from a t o t a l of
359
s e t s of chambers; 231 of these s e t s were i n London and
128 were i n the provinces.
Again, according to h i s or
her p r o f e s s i o n a l r u l e s , a b a r r i s t e r must p r a c t i s e as an i n d i v i d u a l
(partnerships a r e not permitted) and, with a few e x c e p t i o n s r e l a t i n g t o other p r o f e s s i o n s , a b a r r i s t e r i s not allowed t o take i n s t r u c t i o n s d i r e c t l y from l a y c l i e n t s but may a c t only on the i n s t r u c t i o n s o f a s o l i c i t o r .
( D i r e c t a c c e s s t o b a r r i s t e r s i s considered i n Chapter 8.)
## The Employed Bar
5
Many b a r r i s t e r s a r e employed i n commerce and i n d u s t r y and by c e n t r a l and l o c a l government.
The e x a c t number of employed b a r r i s t e r s i s unknown although i t i s l i k e l y to be i n excess of 5,000.
S p e c i a l p r o f e s s i o n a l r u l e s apply to employed b a r r i s t e r s : f o r i n s t a n c e , such a b a r r i s t e r may not supply l e g a l s e r v i c e s t o the p u b l i c , most employed b a r r i s t e r s a r e not allowed t o i n s t r u c t counsel d i r e c t l y and, by v i r t u e of a combination of s t a t u t o r y p r o v i s i o n s and p r a c t i c e r u l e s , the r i g h t s of
audience of employed b a r r i s t e r s a r e c u r r e n t l y even more
r e s t r i c t e d than those of s o l i c i t o r s . (See Annex E:
paras 19-21.)
## S O L I C I T O R S
6
The Law Society i s
the p r o f e s s i o n a l body of s o l i c i t o r s .
I n
c o n t r a s t
t o t h e B a r , many
a s p e c t s
o f t h e
s o l i c i t o r s '
p r o f e s s i o n ,
such a s entry, p r a c t i c e and
conduct and d i s c i p l i n e , a r e regulated by s t a t u t e ( t h e
S o l i c i t o r s Act 1974, c.47, as amended).
## Q U A L I F I C A T I O N
7
As with b a r r i s t e r s , s o l i c i t o r s have s e v e r a l stages to
t h e i r t r a i n i n g .
The academic stage i s s a t i s f i e d by a
law
d e g r e e ,
o r by p a s s i n g
t h e S o l i c i t o r s
F i r s t
Examination ( f o r
non-graduates), or by passing the Law
S o c i e t y ' s Common P r o f e s s i o n a l Examination
( a one-year law course f o r non-law graduates).
Completion of the academic stage e n t i t l e s the student to take the 36-week course leading to the S o l i c i t o r s F i n a l Examination.
As w i t h the Bar, the v o c a t i o n a l stage of t r a i n i n g i s e x c l u s i v e l y under t h e c o n t r o l of t h e p r o f e s s i o n .
Before being admitted as a s o l i c i t o r , a student must a l s o s e r v e a p e r i o d o f p r a c t i c a l t r a i n i n g o r a p p r e n t i c e s h i p c a l l e d a r t i c l e s .
The s t u d e n t i s a r t i c l e d to an experienced s o l i c i t o r f o r between two and f i v e y e a r s , depending on h i s or her method of q u a l i f i c a t i o n .
The Law S o c i e t y p r e s c r i b e s the terms and conditions of a r t i c l e d c l e r k s h i p and i n s i s t s t h a t the a r t i c l e d c l e r k i s paid a t l e a s t the recommended minimum s a l a r y , which i n the autumn of 1988 was £6,000
i n the provinces, £6,900 i n outer London and £7,200 i n inner London.
8
From
1 August
1985
t h e
Law
S o c i e t y has
r e q u i r e d
s o l i c i t o r s , i n the f i r s t three years a f t e r admission to
the R o l l , to attend a system of continuing
education.
There are compulsory courses i n o f f i c e management and
communication,
standards
of p r o f e s s i o n a l conduct
and
e t h i c s and the handling of p r o f e s s i o n a l r e s p o n s i b i l i t y .
I n
a d d i t i o n , the
n e w l y - q u a l i f i e d
s o l i c i t o r
has
to
attend a c e r t a i n number of voluntary courses over
the
three year period.
Practice as a s o l i c i t o r 9
S o l i c i t o r s may
p r a c t i s e as s o l e p r a c t i t i o n e r s or i n
p a r t n e r s h i p .
I n the autumn of 1988 there were 50,337
s o l i c i t o r s
holding
p r a c t i s i n g
c e r t i f i c a t e s .
Between
March 1986
and March 1987,
the number of
s o l i c i t o r s '
p r a c t i c e s increased by 2.3%
i n the North (Wales,
the
North and Midlands above the Severn ־Wash L i n e ) ,
3.9%
i n the South ( i n c l u d i n g Ε Anglia but excluding London),
and 5.1% I n London (the o l d GLC a r e a ) .
1 When s.9 of the A d m i n i s t r a t i o n of J u s t i c e Act 1985 i s brought i n t o f o r c e
(which i s expected t o be l a t e r t h i s y e a r ) , s o l i c i t o r s w i l l be able to p r a c t i s e i n corporate form w i t h both l i m i t e d and u n l i m i t e d l i a b i l i t y .
Over r e c e n t years there has been a tendency f o r firms of s o l i c i t o r s t o amalgamate t o form l a r g e r u n i t s . The l a t e s t f i g u r e s
2 i n d i c a t e t h a t between 1986 and 1987 the number of firms with 11 or more p r i n c i p a l s I n c r e a s e d by
7.5%. These l a r g e firms can provide a s p e c i a l i s e d range of s e r v i c e s , e s p e c i a l l y i n the commercial f i e l d , and i t i s p o s s i b l e t h a t such firms are now providing some of the expert advice which was p r e v i o u s l y given by the s p e c i a l i s t Bar.
| | | | | Employed | | s o l i c i t o r s |
|-----|-------------|-------|---------------------|------------------|-----------|------------------------|
| 10 | I n 1987/88 | 3,258 | s o l i c i t o r s | were employed by | l o c a l | and |
n a t i o n a l government and 2,892 s o l i c i t o r s were employed i n commerce and o t h e r employments.
3
An employed s o l i c i t o r who e i t h e r holds or i s exempted from holding a p r a c t i s i n g c e r t i f i c a t e i s t r e a t e d i n a l l r e s p e c t s as
any o t h e r
p r a c t i s i n g s o l i c i t o r
w i t h
one
p r o v i s o ,
namely, t h a t s i n c e he or she has only one c l i e n t - h i s
or her employer ־he or she i s g e n e r a l l y p r o h i b i t e d by
p r o f e s s i o n a l r u l e s from doing work d i r e c t l y f o r the
p u b l i c .
## Notaries
11
Notaries, who a r e often s o l i c i t o r s who have undertaken
a d d i t i o n a l academic and p r a c t i c a l
t r a i n i n g , have a
h i g h l y s p e c i a l i s e d l e g a l function. T h e i r main business
1The Law S o c i e t y ' s Annual S t a t i s t i c a l Report 1988 2The Law S o c i e t y ' s Annual S t a t i s t i c a l Report 1988 3The Law S o c i e t y ' s Annual S t a t i s t i c a l Report 1988
18
to c e r t i f y deeds and other documents under t h e i r o f f i c i a l s e a l , f o r use anywhere i n the world, so t h a t s u c h documents w i l l be a c c e p t a b l e t o j u d i c i a l o r p u b l i c a u t h o r i t i e s as proof of the matters a t t e s t e d .
For i n s t a n c e , n o t a r i e s c e r t i f y documents t o take e f f e c t abroad, prepare and t r a n s l a t e documents f o r use abroad, t r a n s l a t e documents emanating from overseas, p r o t e s t b i l l s of exchange, c e r t i f y copies, administer oaths and take a f f i d a v i t s , note and draw up s h i p s ' p r o t e s t s and advise on matters of E n g l i s h and f o r e i g n law.
## Legal Executives
12
Legal executives have both an academic and
p r a c t i c a l
t r a i n i n g
and work mainly i n s o l i c i t o r s '
o f f i c e s
and
l e g a l departments of
l a r g e o r g a n i s a t i o n s ,
i n c l u d i n g
c e n t r a l and
l o c a l government, commerce and
i n d u s t r y .
I n p r a c t i c e l e g a l executives are able to do
a l l the
work of s o l i c i t o r s except the work which i s reserved to
s o l i c i t o r s by
s t a t u t e (see Chapter 2 paras
2.1-2.2).
T h e r e were
i n t h e autumn of
1988
around
16,500
s u b s c r i b e r s to the I n s t i t u t e of Legal E x e c u t i v e s .
## Licensed Conveyancers
13
T h i s
18
a new p r o f e s s i o n e s t a b l i s h e d by t h e A d m i n i s t r a t i o n of J u s t i c e Act
1985.
Standards of competence and p r o f e s s i o n a l conduct are r e g u l a t e d by the Council f o r Licensed Conveyancers.
There were i n e a r l y
1989
approximately 500
l i c e n s e d conveyancers.
L i c e n s e d c o n v e y a n c e r s a r e l i c e n s e d t o p r o v i d e conveyancing s e r v i c e s as d e f i n e d by 8.11(3) of the A d m i n s t r a t i o n of J u s t i c e Act
1985
and may a c t i n d o m e s t i c and c o m m e r c i a l t r a n s a c t i o n s .
L i c e n s e d conveyancers have to pass examinations before being a l l o w e d t o p r a c t i s e .
T h e i r f i n a l e x a m i n a t i o n i s s i m i l a r i n standard to the f i n a l examination taken by s o l i c i t o r s although i t obviously covers a much narrower range of s u b j e c t s namely, conveyancing, l a n d l o r d and tenant law, o r g a n i s a t i o n s and revenue law and accounts.
I n addition, l i c e n s e d conveyancers have t o complete two
y e a r s of p r a c t i c a l t r a i n i n g .
14
L i c e n s e d c o n v e y a n c e r s
may
p r a c t i s e
on
t h e i r
own
account, although not f o r the f i r s t t h r e e y e a r s a f t e r q u a l i f y i n g , or i n p a r t n e r s h i p . Mixed p a r t n e r s h i p s with
other p r o f e s s i o n s deemed s u i t a b l e by the C o u n c i l f o r
Licensed Conveyancers are allowed, although t h e r e are
no mixed p a r t n e r s h i p s as y e t .
Licensed Conveyancers
w i l l
during 1989
be
able to p r a c t i s e i n corporate
bodies c o n t r o l l e d by l i c e n s e d conveyancers.
Licensed
c o n v e y a n c e r s
may
be
e m p l o y e d
by
n o n - l i c e n s e d
conveyancers, but a t the moment ( s e e the c o n s u l t a t i o n paper
on conveyancing
s e r v i c e s
i s s u e d
today)
they
cannot provide conveyancing s e r v i c e s to the c l i e n t s of
such employers.
## Patent Agents
15
Patent agents a r e s p e c i a l i s t
p r a c t i t i o n e r s who
d e a l
w i t h o b t a i n i n g and
e n f o r c i n g i n t e l l e c t u a l
p r o p e r t y
r i g h t s .
They have both an academic
and
p r a c t i c a l
t r a i n i n g and work e i t h e r i n the patent departments
of
l a r g e i n d u s t r i a l o r g a n i s a t i o n s or i n p r i v a t e f i r m s of
patent agents.
Patent agents no longer have a monopoly
on t h e i r p r a c t i c e .
The Copyright Designs and Patents
Act 1988 a l l o w s anyone t o p r a c t i s e as a patent agent
but r e s e r v e s the use of the t i t l e "patent agent" and
"patent attorney" to those who are on the r e g i s t e r kept
by the Chartered I n s t i t u t e of Patent Agents. S o l i c i t o r s may a l s o use the t i t l e "patent attorney".
Insolvency p r a c t i t i o n e r s
16
Under the Insolvency Act 1986 insolvency p r a c t i t i o n e r s
p r a c t i s e a s t r u s t e e s i n b a n k r u p t c y , l i q u i d a t o r s ,
administrators, r e c e i v e r s and s u p e r v i s o r s of voluntary arrangements.
I n s o l v e n c y
p r a c t i t i o n e r s a r e u s u a l l y
accountants,
s o l i c i t o r s or members of the
Insolvency
P r a c t i t i o n e r s A s s o c i a t i o n .
Insolvency p r a c t i t i o n e r s
have to be authorised by p r o f e s s i o n a l bodies
recognised
for
t h a t purpose by the S e c r e t a r y of S t a t e f o r Trade
and Industry.
I f
the p r a c t i t i o n e r i s
not a member of a
recognised body, then a u t h o r i s a t i o n has to be obtained
from t h e I n s o l v e n c y
P r a c t i t i o n e r s A s s o c i a t i o n , or,
f a i l i n g that, the S e c r e t a r y of S t a t e .
Banks, b u i l d i n g s o c i e t i e s , accountants and c h a r t e r e d s e c r e t a r i e s
17
Banks, b u i l d i n g s o c i e t i e s ,
accountants and chartered
s e c r e t a r i e s give l e g a l advice to t h e i r c l i e n t s on such
matters as t a x a t i o n , w i l l s , insolvency and company law.
## Law C E N T R E S
18
The
f i r s t
law c e n t r e was s e t up i n 1970 i n North
Kensington, London.
There a r e now around 60 c e n t r e s .
Most of these a r e concentrated
i n urban a r e a s .
Law
c e n t r e s a r e s t a f f e d by a v a r i e t y of a d v i s e r s i n c l u d i n g
s a l a r i e d
l a w y e r s
and tend t o s p e c i a l i s e mainly i n
welfare law, immigration and housing.
## C I T I Z E N S Advice Bureaux
19
C i t i z e n s
a d v i c e bureaux
(CABx) were
o r i g i n a l l y
e s t a b l i s h e d i n 1939 t o give emergency s e r v i c e s during the second World War.
There a r e
now over a thousand
such bureaux handling around 6.8 m i l l i o n e n q u i r i e s a
y e a r .
CABx g i v e a d v i c e on a v a r i e t y of m a t t e r s
i n c l u d i n g
s o c i a l
s e c u r i t y ,
consumer
p r o t e c t i o n ,
housing, the family, employment, h e a l t h , education and
Immigration and n a t i o n a l i t y .
Most advice 18 given by
t r a i n e d l a y
v o l u n t e e r s although most CABx have a c c e s s
to a s o l i c i t o r on a t l e a s t a r o t a b a s i s .
## Trade Tin Ions
20
Trade unions provide advice and a s s i s t a n c e to t h e i r
members on employment matters and w i l l u s u a l l y arrange
r e p r e s e n t a t i o n on such matters f o r t h e i r members i n
t r i b u n a l s and c o u r t s .
Some trade unions a l s o provide
general l e g a l advice to members e i t h e r in-house or by r e f e r r a l to
an outside s o l i c i t o r .
## The Royal B R I T I S H Legion
21
The Royal B r i t i s h Legion employs l a y people,
u s u a l l y
e x - s e r v i c e m e n ,
t o work
f u l l - t i m e on a d v i s i n g and
r e p r e s e n t i n g a p p e l l a n t s before the Pensions Appeals T r i b u n a l .
These l a y people r e c e i v e on-the-job t r a i n i n g and a r e recognised as having c o n s i d e r a b l e e x p e r t i s e i n t h e i r f i e l d .
## Academic And Vocational Training
1.
The appropriate t r a i n i n g f o r
lawyers w i l l be a matter
f o r c o n s i d e r a t i o n by the
Advisory Committee.
I t
seems
s e n s i b l e , however, t h a t l e g a l education should c o n t a i n
t h e
f o l l o w i n g f o u r s t a g e s : academic, v o c a t i o n a l ,
p r a c t i c a l and c o n t i n u i n g ( i . e . p o s t - q u a l i f i c a t i o n )
education.
## ( I ) Academic Stage
2.
The c u r r e n t core s u b j e c t s a r e
as f o l l o w s :
c o n s t i t u t i o n a l and a d m i n i s t r a t i v e law c o n t r a c t
t o r t
land law
t r u s t s c r i m i n a l law
3.
Marre has r e c e n t l y suggested t h a t c o n s i d e r a t i o n should
be given to teaching t r u s t s and land law
as a composite
s u b j e c t ; and t h e A d v i s o r y Committee may w i s h t o
c o n s i d e r recommending
t h i s . I n view of the t h r u s t
suggested f o r
the v o c a t i o n a l course (see para 4 below)
t h e Advisory Committee might
a l s o c o n s i d e r whether
evidence should be included among the core s u b j e c t s
to
be studied a t
the
academic stage. I n
a d d i t i o n , t u i t i o n
a t t h e academic stage ought perhaps t o r e f l e c t the
i n c r e a s i n g importance of f i n a n c i a l r e g u l a t i o n and
the
EC. The Advisory Committee w i l l be i n v i t e d t o c o n s i d e r
whether and how t h i s could be covered i n
core s u b j e c t s
a t the
academic stage.
( i i ) Vocational stage
4.
The Government c o n s i d e r s t h a t the emphasis a t the
v o c a t i o n a l stage should be on the a c q u i s i t i o n of
the
p r a c t i c a l
s k i l l s necessary f o r p r a c t i c e a s a lawyer.
The Government agrees with the views expressed i n the
1
Ormrod, Benson and Marre r e p o r t s that there a r e strong arguments i n favour of a common system of v o c a t i o n a l t r a i n i n g t o cover the whole l e g a l p r o f e s s i o n .
The Advisory Committee might accordingly wish t o consider g i v i n g a high p r i o r i t y t o the development o f a core of minimum r e q u i r e m e n t s f o r t h e v o c a t i o n a l s t a g e o f t r a i n i n g .
These minimum requirements could, f o r i n s t a n c e , cover:
( a )
c i v i l procedure i n c l u d i n g probate;
(b)
c r i m i n a l procedure and sentencing;
( c )
advocacy;
(d)
evidence (but
see
para 3 above);
( e )
conveyancing;
( f )
probate;
(g)
business accounts;
(h)
s o l i c i t o r s ' accounts;
( i )
t h e management o f a l e g a l
p r a c t i c e i n c l u d i n g
computerisation;
( j )
n e g o t i a t i o n and communication s k i l l s i n both noncontentious and contentious matters;
(k)
l a w y e r - c l i e n t
r e l a t i o n s
( c o m m u n i c a t i o n ,
c o u n s e l l i n g and a d v i s i n g ) ;
(1)
d r a f t i n g ; and
(m)
p r o f e s s i o n a l e t h i c s and conduct ( t o i n c l u d e the
codes proposed i n
Chapter
4 ) .
Not every p r a c t i t i o n e r would need t o cover a l l these s u b j e c t s : f o r i n s t a n c e , those marked with an a s t e r i s k might be o p t i o n s .
I t w i l l , of course, be f o r the Advisory Committee t o consider whether t h e suggested s u b j e c t s a r e appropriate. The Committee w i l l a l s o need to consider the a c t u a l content of the courses and take i n t o account the f a c t t h a t students wishing t o cover e v e r y o p t i o n may n e e d an e x t e n d e d p e r i o d o f q u a l i f i c a t i o n .
( i i i ) P r a c t i c a l and continuing stages
6.
Proposals covering the p r a c t i c a l and continuing stages
of t r a i n i n g f o r advocacy are s e t out i n Chapter 5.
I t
w i l l be f o r the Advisory Committee i n due course
to
c o n s i d e r
t h e
p r a c t i c a l
and
c o n t i n u i n g
s t a g e s
of
t r a i n i n g f o r other s p e c i a l i s m s .
Present arrangements of the Bar and the Law S o c i e t y f o r handling complaints P a r t 1;
The Bar C a s e s b e f o r e t h e P r o f e s s i o n a l Conduct Committee o f t h e General Council of the Bar
(PCC)
The PCC c o n s i s t s of members of the Bar and a number of l a y members nominated by the Lord Chancellor.
( a )
Informal procedure Where the conduct d i s c l o s e d may be
d e a l t
w i t h
i n f o r m a l l y , t h e PCC
w i l l
i n f o r m t h e
b a r r i s t e r i n w r i t i n g of i t s views and may a l s o d i r e c t
him t o attend on the Chairman of the
PCC or some other
person.
(b) Summary procedure T h i s i s under c o n s i d e r a t i o n but has
not been introduced. The proposal, however, i s
t h a t ,
i f
t h e PCC wished
t o t a k e a matter
f u r t h e r
w i t h o u t
r e f e r r i n g i t to a D i s c i p l i n a r y T r i b u n a l ( s e e para 2 below) and there was no r e l e v a n t dispute of f a c t , a
b a r r i s t e r would be afforded the opportunity t o make
r e p r e s e n t a t i o n s , i n w r i t i n g or i n person, a t a s p e c i a l committee of the PCC, which would have the power to
administer an admonishment and reprimand or give advice
on future conduct.
Cases before a D i s c i p l i n a r y T r i b u n a l More s e r i o u s c a s e s o r those where t h e r e i s a r e l e v a n t d i s p u t e o f f a c t a r e p r o s e c u t e d by t h e PCC b e f o r e a D i s c i p l i n a r y T r i b u n a l . A T r i b u n a l i s c h a i r e d by a Judge and has f o u r o t h e r members i n c l u d i n g one l a y member. L e s s s e r i o u s c a s e s r e l a t i n g t o breach of p r o f e s s i o n a l standards are t r e a t e d i n the same way as c a s e s before the PCC. Where, however, a charge of p r o f e s s i o n a l misconduct i s proved, b a r r i s t e r s may be ordered to repay or forego f e e s or may be suspended or d i s b a r r e d . Hearing before the V i s i t o r s Appeal from the D i s c i p l i n a r y T r i b u n a l l i e s to not fewer than three Judges of the High Court nominated by the Lord C h i e f J u s t i c e a f t e r c o n s u l t a t i o n w i t h the Lord C h a n c e l l o r and known as the V i s i t o r s . There i s no f u r t h e r i n t e r n a l appeal.
P a r t 2: The Law S o c i e t y The S o l i c i t o r s ' Complaints Bureau Complaints are f i r s t considered by the s t a f f of the Bureau who prepare the c a s e s f o r f u r t h e r c o n s i d e r a t i o n or e l s e inform the complainant t h a t t h e r e i s no i s s u e of conduct or shoddy work. The I n v e s t i g a t i o n Committee monitors the way the Bureau handles complaints. The A d j u d i c a t i o n Committee e x e r c i s e s the Law S o c i e t y ' s d i s c i p l i n a r y and other r e l e v a n t powers.
(a)
The
I n v e s t i g a t i o n Committee
T h i s has
s e v e n
l a y
members, i n c l u d i n g the Chairman, and four s o l i c i t o r members, two of whom a r e a l s o Law S o c i e t y C o u n c i l members. I t s functions a r e : -
( i )
t o review c a s e s going t o the A d j u d i c a t i o n
Committee
and make recommendations
f o r
f u r t h e r
i n v e s t i g a t i o n ,
i f i t t h i n k s i t
necessary;
( i i )
t o r e v i e w c a s e s where t h e
i n v e s t i g a t i n g
o f f i c e r wishes to terminate an i n v e s t i g a t i o n ,
but the complainant does not;
( i i i )
to review c a s e s before a f i l e i s r e f e r r e d t o
the Lay Observer and review r e p o r t s of the
Lay Observer; and
( i v )
to make formal recommendations to the s t a f f for improvements i n procedure.
(b)
The A d j u d i c a t i o n Committee T h i s has nine Law S o c i e t y
member8 i n c l u d i n g the Chairman, t h r e e other
s o l i c i t o r s
and s i x l a y members. I t has a l a r g e number of powers
and i n p a r t i c u l a r
may:-
( i )
t a k e d i s c i p l i n a r y p r o c e e d i n g s a g a i n s t a s o l i c i t o r a t t h e S o l i c i t o r s '
D i s c i p l i n a r y T r i b u n a l ;
( i i )
rebuke s o l i c i t o r s ;
( i l l )
d i s c i p l i n e s o l i c i t o r s f o r shoddy work, e.g.
order r e c t i f i c a t i o n of the mistake or the remission of fees;
( i v )
order an i n s p e c t i o n of accounts;
(v)
i n t e r v e n e i n a p r a c t i c e t o p r o t e c t t h e i n t e r e s t s of a c l i e n t ;
( v i )
i m p o s e c o n d i t i o n s on a p r a c t i s i n g c e r t i f i c a t e ;
( v i i )
o r d e r payment o f i n t e r e s t on a c l i e n t ' s money; and
( v i i i )
order payments out of the compensation fund when a p e r s o n h a s s u f f e r e d l o s s a s a consequence of a s o l i c i t o r ' s dishonesty.
S o l i c i t o r s ' D i s c i p l i n a r y T r i b u n a l T h i s Committee i s e s t a b l i s h e d by s t a t u t e and e x e r c i s e s the delegated powers of the High Court. I t c o n s i d e r s the most s e r i o u s c a s e s of p r o f e s s i o n a l misconduct.
Complaints a r e u s u a l l y r e f e r r e d by the S o l i c i t o r s ' Complaints Bureau, but they may a l s o be made d i r e c t by the p u b l i c o r i n c e r t a i n c a s e s by t h e Lay Observer. I t normally s i t s with t h r e e members, a t l e a s t one of whom must be l a y . The members a r e appointed by t h e Master of the R o l l s . I t has powers to s t r i k e o f f the r o l l , suspend, f i n e o r reprimand.
6
The High Court
Appeal from the S o l i c i t o r s '
D i s c i p l i n a r y T r i b u n a l
l i e s to
the
High Court. I n a d d i t i o n t h e High Court
r e t a i n s i t s
g e n e r a l
s u p e r v i s o r y j u r i s d i c t i o n
over t h e p r o f e s s i o n .
A p p l i c a t i o n s may be
made d i r e c t t o
the
High Court t o cause a
s o l i c i t o r to answer a l l e g a t i o n s .
7
The
Lay Observer
He i s
an independent
o f f i c e - h o l d e r appointed by the Lord
C h a n c e l l o r .
S e c t i o n 4 5 ( 1 ) o f t h e S o l i c i t o r s A c t
1974
empowers him to examine any w r i t t e n a l l e g a t i o n made by or on b e h a l f o f a member o f t h e p u b l i c c o n c e r n i n g t h e Law S o c i e t y ' s treatment of a complaint about a s o l i c i t o r or h i s employee. The Lay Observer i s only able t o r e p o r t on t h i s treatment and to make recommendations. He has no powers to r e i n v e s t i g a t e the complaint. When a complaint r a i s e s an i s s u e of both conduct and q u a l i t y of s e r v i c e s , he may, i n t h o s e c i r c u m s t a n c e s o n l y , make an a p p l i c a t i o n t o t h e S o l i c i t o r s D i s c i p l i n a r y Tribunal i n respect of t h e q u a l i t y of s e r v i c e s .
## Rights Of Audience I N The Courts Of England And Wales
1
A l i t i g a n t i n
person, t h a t i s
a party t o proceedings who i s
not represented by a lawyer, has a r i g h t of audience i n h i s
or her own cause i n a l l
c o u r t s and t r i b u n a l s .
A b a r r i s t e r
p r a c t i s i n g from chambers has a general r i g h t of audience on behalf of h i s
or her c l i e n t s .
The r i g h t s of audience of
s o l i c i t o r s i n
p r i v a t e p r a c t i c e a r e
more l i m i t e d .
The r i g h t s
of audience of employed lawyers a r e
more r e s t r i c t e d
s t i l l .
By v i r t u e of the European Communities ( S e r v i c e s of Lawyers)
Order 1978 ( S I
1978 No.1910) an EC lawyer may appear before
any court, t r i b u n a l or p u b l i c a u t h o r i t y i n the UK provided
t h a t throughout t h e proceedings he or she i s i n s t r u c t e d
with, and a c t s i n conjunction with, an advocate,
b a r r i s t e r
or
s o l i c i t o r who i s e n t i t l e d t o p r a c t i s e before the court
t r i b u n a l o r p u b l i c
a u t h o r i t y
concerned and who c o u l d
properly provide the s e r v i c e i n
question.
## The Magistrates' Courts
2
The Magistrates' Courts deal with around 90% of the t o t a l
c r i m i n a l workload a t f i r s t i n s t a n c e .
They a l s o d e a l w i t h
c a r e p r o c e e d i n g s i n r e s p e c t of j u v e n i l e s and
l i c e n s i n g
a p p l i c a t i o n s , and have a s i z e a b l e domestic
j u r i s d i c t i o n .
D e c i s i o n s on both f a c t and law a r e taken e i t h e r by a bench
of l a y
magistrates o r by a s t i p e n d i a r y ( l e g a l l y q u a l i f i e d )
magistrate, s i t t i n g without a j u r y .
3
Rights of audience a r e
governed by s t a t u t e , c u r r e n t l y s.122
of
t h e M a g i s t r a t e s ' Courts Act 1980.
T h i s
p r o v i s i o n
d e r i v e s from 8.2 of the T r i a l s f o r Felony Act 1836 (6 & 7
W i l l . 4, c . 114) enacted t o reform the law f o l l o w i n g the
d e c i s i o n i n C o l l i e r ν Hicks (1831) 2 Β & Ad. 663 i n which
i t was held t h a t no person had a r i g h t to a c t
as an advocate
on the t r i a l of an information before j u s t i c e s of the peace
without t h e i r permission.
The Magistrates' Courts Act
1980
8.122(1) provides t h a t a party to any proceedings before a magistrates' court may be represented by counsel ( i . e . a b a r r i s t e r ) or s o l i c i t o r .
I n addition, v a r i o u s s t a t u t e s such as the L o c a l Government Act 1972 8.223 and the Customs and E x c i s e Management Act 1979 8.155, g i v e s p e c i f i e d persons a u t h o r i t y t o conduct p a r t i c u l a r prosecutions, although they may not be counsel or s o l i c i t o r .
The Magistrates' Court a l s o has a d i s c r e t i o n to allow someone e l s e t o a c t on behalf of e i t h e r party to the proceedings.
## The Crown Court
4
The main j u r i s d i c t i o n of the Crown Court i s i n c r i m i n a l
proceedings.
Apart from cases committed f o r t r i a l from the
Magistrates' Courts, the Crown Court d e a l s with appeals from
the Magistrates' Courts against c o n v i c t i o n and sentence.
I t
a l s o hears appeals from d e c i s i o n s of magistrates i n c a r e
proceedings i n j u v e n i l e c a s e s , appeals from the d e c i s i o n s of
j u s t i c e s
i n l i c e n s i n g
m a t t e r s
and
a p p e a l s
from
l o c a l
a u t h o r i t i e s
and
c h i e f
o f f i c e r s of p o l i c e under v a r i o u s
s t a t u t e s .
The Crown Court has a s m a l l o r i g i n a l c i v i l
j u r i s d i c t i o n ,
such as a p p l i c a t i o n s under the R e s e r v o i r s
( S a f e t y P r o v i s i o n s ) Act 1930.
I n c r i m i n a l c a s e s , the court
i s
p r e s i d e d o v e r
by
an
A s s i s t a n t
Recorder,
Recorder,
C i r c u i t Judge or High Court Judge.
I n t r i a l s on not g u i l t y
pleas the judge
s i t s with a j u r y whose f u n c t i o n i t i s to
decide whether the charge a g a i n s t the accused person
has
been proved.
Lay magistrates s i t
with the l e g a l l y q u a l i f i e d
judges on some c a s e s and appeals.
5
B a r r i s t e r s
p r a c t i s i n g
from chambers have a
r i g h t
o f
audience
i n a l l c a s e s i n t h e Crown c o u r t .
R i g h t s o f
audience f o r s o l i c i t o r s a r e governed by 8.83 of the Supreme Court Act 1981
(reproducing the now
repealed 8.12
of the
Courts Act 1971).
T h i s provides as f o l l o w s : -
"(1)
The Lord Chancellor may a t any time d i r e c t t h a t s o l i c i t o r s may appear i n , conduct, defend and address the court i n any proceedings i n the Crown Court, or p r o c e e d i n g s i n the Crown Court of any d e s c r i p t i o n s p e c i f i e d i n the d i r e c t i o n .
(2)
A d i r e c t i o n under t h i s s e c t i o n may have e f f e c t as r e s p e c t s a l l p l a c e s where the Crown Court s i t s , or as r e s p e c t s a s p e c i f i e d area, region or c i r c u i t , or as r e s p e c t s one or more s p e c i f i e d p l a c e s where the Crown Court s i t s .
(3)
I n c o n s i d e r i n g whether t o e x e r c i s e h i s powers under t h i s s e c t i o n a s r e s p e c t s any one o r more s p e c i f i e d p l a c e s where the Crown Court s i t s , the Lord C h a n c e l l o r s h a l l have regard t o any shortage of counsel i n t h e a r e a i n q u e s t i o n , any r i g h t s of audience f o r m e r l y e x e r c i s e d by s o l i c i t o r s a t any c o u r t of quarter s e s s i o n s i n the l o c a l i t y i n question, and to any other circumstances a f f e c t i n g the p u b l i c i n t e r e s t .
(4)
Any d i r e c t i o n given under t h i s s e c t i o n may be s u b j e c t to such c o n d i t i o n s and r e s t r i c t i o n s as appear to the Lord Chancellor to be necessary or expedient."
By v i r t u e of d i r e c t i o n s made by the Lord C h a n c e l l o r on 7
December
1971,
9 F e b r u a r y
1972
and
15 August
1988, s o l i c i t o r s have r i g h t s of audience i n : -
(a)
appeals to the Crown Court from a M a g i s t r a t e s '
Court or on committal
f o r sentence, i f the same
firm appeared i n the court below;
(b)
c i v i l proceedings i n the Crown Court on appeal i n
s i m i l a r circumstances; and
( c )
a l i m i t e d number of c a s e s i n remote a r e a s where
s o l i c i t o r s
t r a d i t i o n a l l y
had
f u l l
r i g h t s
o f
a u d i e n c e
a t Q u a r t e r
S e s s i o n s
( C a e r n a r v o n ,
B a r n s t a p l e ,
T r u r o ,
D o n c a s t e r
and
p a r t s
o f
L i n c o l n ) , which have been replaced by the Crown
Court.
R i g h t s of audience f o r Crown Prosecutors ( b a r r i s t e r s and s o l i c i t o r s ) employed by the Crown Prosecution S e r v i c e are governed by s.4 of the Prosecution of Offences Act
1985.
T h i s g i v e s Crown Prosecutors the same r i g h t s of audience i n t h e Crown C o u r t a s s o l i c i t o r s h o l d i n g p r a c t i s i n g c e r t i f i c a t e s ;
and the Lord C h a n c e l l o r may g i v e any such d i r e c t i o n s under 8.83
of the Supreme Court Act 1981 i n r e s p e c t of Crown Prosecutors as he could g i v e i n r e s p e c t of s o l i c i t o r s .
## The County Courts
7
These c o u r t s have a wide-ranging c i v i l j u r i s d i c t i o n i n c a s e s
where, g e n e r a l l y speaking, the amount i n i s s u e does not
exceed £5,000, covering debt, breach of c o n t r a c t , personal
i n j u r y ,
r e c o v e r y of l a n d , b a n k r u p t c y
and i n s o l v e n c y ,
admiralty, family proceedings and miscellaneous matters such
as mental h e a l t h and sex d i s c r i m i n a t i o n .
T r i a l s a r e heard
by A s s i s t a n t Recorders, Recorders or C i r c u i t
Judges,
and
i n t e r l o c u t o r y matters are heard by County Court R e g i s t r a r s .
8
R i g h t s of audience i n the County Court a r e governed
by
s e c t i o n s 60 and 61 of the County Courts Act 1984.
The
m a t e r i a l p a r t of s.60 i s as f o l l o w s : -
(1)
I n any proceedings i n a county court any of the
following persons may address the c o u r t : -
( a )
any p a r t y t o the proceedings;
(b)
a b a r r i s t e r
r e t a i n e d by or on b e h a l f of any
party;
( c )
a
s o l i c i t o r
a c t i n g
g e n e r a l l y
i n
t h e
proceedings f o r a p a r t y t o them ( i n t h i s
subsection r e f e r r e d to as a
, s o l i c i t o r on the
r e c o r d
1 ) ;
(d)
any s o l i c i t o r employed by a s o l i c i t o r on the
record;
( e )
any
s o l i c i t o r
a c t i n g
a s an agent
f o r a
s o l i c i t o r on the record;
( f )
any
s o l i c i t o r employed by a
s o l i c i t o r
so
engaged; and
(g)
any other person allowed by l e a v e of
the
court to appear i n s t e a d of any party.
By v i r t u e of 8.61 of the County Courts Act 1984, the Lord C h a n c e l l o r may by d i r e c t i o n confer r i g h t s of audience i n the County Court on persons i n employment c o n s i s t i n g of or I n c l u d i n g g i v i n g a s s i s t a n c e t o s o l i c i t o r s i n the conduct of l i t i g a t i o n .
Only one such d i r e c t i o n has been made t o date and t h a t was i n 1978 when t h i s power was used t o confer r i g h t s of audience on Fellows of the I n s t i t u t e of Legal E x e c u t i v e s on b e h a l f o f t h e i r s o l i c i t o r employer i n unopposed a p p l i c a t i o n s f o r an adjournment or a p p l i c a t i o n s for judgments by consent.
## The High Court
9
The High Court i s divided i n t o three D i v i s i o n s :
Chancery, Queen's Bench, and Family.
There i s no upper l i m i t on i t s j u r i s d i c t i o n .
I t d e a l s with a range of heavy c i v i l work covering matters such as debt, personal i n j u r y , land and p r o p e r t y , b r e a c h of c o n t r a c t , bankruptcy and companies proceedings.
I n a d d i t i o n the High Court d e a l s w i t h p u b l i c law and v a r i o u s s p e c i a l i s t cases, i n c l u d i n g patents.
The
three D i v i s i o n s of the High Court e x e r c i s e a p p e l l a t e as w e l l as
f i r s t i n s t a n c e j u r i s d i c t i o n : The D i v i s i o n a l Court of the
Chancery D i v i s i o n hears appeals i n revenue matters from the Commissioners of Taxes and bankruptcy matters from the County C o u r t s ;
t h e Queen's Bench D i v i s i o n a l C o u r t e x e r c i s e s a p p e l l a t e and s u p e r v i s o r y j u r i s d i c t i o n over the Crown Court (except i n r e l a t i o n t o the conduct of t r i a l s on indictment), i n f e r i o r c o u r t s and t r i b u n a l s and the a c t i o n s and d e c i s i o n s of p u b l i c bodies under the j u d i c i a l review
procedure;
the D i v i s i o n a l Court of the Family
D i v i s i o n
hears appeals from Magistrates' Courts i n domestic matters.
10
The Chancery D i v i s i o n c o n s i s t s of the Lord Chancellor, who
i s i t s p r e s i d e n t , the V i c e - C h a n c e l l o r and such of the High
Court judges as a r e f o r the time being attached to i t .
The
5
Queen's Bench D i v i s i o n , which i s much the l a r g e s t , c o n s i s t s of the Lord Chief J u s t i c e , who i s i t s president, and such of the High Court judges as are f o r the time being attached to i t .
The Family D i v i s i o n c o n s i s t s of the P r e s i d e n t of the Family D i v i s i o n and such of the High Court judges as are f o r the time being attached to i t . Apart from a few c a s e s i n the Queen'8 Bench D i v i s i o n , f o r example i n some a c t i o n s f o r defamation, where j u r i e s s i t t o decide the f a c t s , c a s e s i n the High Court a r e heard by judges who s i t alone and have t o make d e c i s i o n s on both the f a c t s and the law.
I n t e r l o c u t o r y matters are d e a l t with by Masters and D i s t r i c t R e g i s t r a r s .
Subject to the 1978 Order mentioned above (para 1 ) , r i g h t s of audience i n t h e High Court have not h i t h e r t o been regulated by s t a t u t e , but by the High Court judges a c t i n g as a c o l l e g i a t e body (Abse ν Smith [1986] 1 QB, 536).
I t i s an e s t a b l i s h e d r u l e that, save i n an emergency, a s o l i c i t o r cannot appear on h i s c l i e n t ' s b e h a l f i n open c o u r t .
According to long custom, b a r r i s t e r s have a general r i g h t of audience i n the High Court, whereas s o l i c i t o r s do not.
S o l i c i t o r s do have a general r i g h t of audience i n the High Court when s i t t i n g i n chambers, whether before a judge or Master, which extends to t h e i r r e s p o n s i b l e r e p r e s e n t a t i v e s
(such as l e g a l e x e c u t i v e s ) .
S o l i c i t o r s may a l s o appear i n : -
( a )
bankruptcy matters, and
(b)
f o r m a l o r unopposed m a t t e r s where t h e r e i s
u n l i k e l y to be any argument and where the c o u r t
w i l l
n o t
be
c a l l e d
upon
t o
e x e r c i s e
any
d i s c r e t i o n .
A s o l i c i t o r may a l s o represent h i s c l i e n t i n the Supreme Court when judgment i s d e l i v e r e d i n open court f o l l o w i n g a hearing i n chambers a t which t h a t s o l i c i t o r conducted the case f o r the c l i e n t ( P r a c t i c e D i r e c t i o n : S o l i c i t o r s : Rights of A u d i e n c e )
[ 1 9 8 6 ]
1 W.L.R.545
i s s u e d by t h e L o r d Chancellor, the Lord Chief J u s t i c e , the Master of the R o l l s and the P r e s i d e n t of the Family D i v i s i o n .
## The Court Of Appeal
12
The Court of Appeal 18 d i v i d e d i n t o the C r i m i n a l D i v i s i o n
and the C i v i l D i v i s i o n .
The judges of the Court of Appeal
are
the Lord C h i e f J u s t i c e , who i s the p r e s i d e n t of the
C r i m i n a l D i v i s i o n , and the Master of the R o l l s , who i s
the
p r e s i d e n t of t h e C i v i l
D i v i s i o n , together w i t h 27 Lords
J u s t i c e s of Appeal.
The P r e s i d e n t of the Family D i v i s i o n
and the V i c e - C h a n c e l l o r a l s o s i t
i n the Court o f Appeal f o r
p a r t of t h e i r time.
The Court of Appeal normally s i t s i n a
bench of two or three.
13
The C r i m i n a l D i v i s i o n of the Court of Appeal hears appeals
a g a i n s t c o n v i c t i o n and sentence from the Crown Court i n
England and Wales.
I n 1987 the number of a p p l i c a t i o n s and
appeals r e g i s t e r e d was 8,320 - a r i s e of 8% over the number r e g i s t e r e d i n 1986.
Courts i n the C r i m i n a l D i v i s i o n a r e
c o n s t i t u t e d
from t h e Lord C h i e f J u s t i c e and t h e Lords
J u s t i c e s a s s i s t e d by judges of the Queen's Bench D i v i s i o n of
the High Court as required. There are
no j u r i e s .
14
The C i v i l
D i v i s i o n of the Court of Appeal hears appeals
from the High Court i n c i v i l matters, the County Courts, and
v a r i o u s t r i b u n a l s .
Courts i n t h i s D i v i s i o n a r e normally
c o n s t i t u t e d from t h e Master o f t h e R o l l s and the Lords
J u s t i c e s .
15
Rights of audience i n both D i v i s i o n s a r e governed by the
judges of the Court of Appeal a c t i n g as a c o l l e g i a t e body
(Abse ν Smith above). The p o s i t i o n
on r i g h t s of audience
18 the same as t h a t i n the High Court.
## The House Of Lords 16 The House Of Lords I N I T S J U D I C I A L C A P A C I T Y I S The Supreme Court Of Appeal I N Great B R I T A I N And Northern I R E L A N D . I T A D J U D I C A T E S On Matters Of Law Of General P U B L I C Importance.
The main j u d g e s of t h e House o f L o r d s a r e t h e L o r d Chancellor and the Lords of Appeal i n Ordinary.
An appeal l i e s t o the House of Lords:-
( a )
from any order or judgment of the Court of Appeal
i n England, by l e a v e of t h a t court or the House of Lords, s u b j e c t t o r e s t r i c t i o n s imposed by s t a t u t e
or by p r a c t i c e i n s p e c i f i c matters;
(b)
from any
o r d e r o r judgment of any
c o u r t i n
S c o t l a n d from which
e r r o r or appeal l a y on
or
b e f o r e
1
November 1876
by common law or
by
s t a t u t e ;
( c )
s u b j e c t to s t a t u t o r y r e s t r i c t i o n s , i n e x c e p t i o n a l
c a s e s d i r e c t from a d e c i s i o n of the High Court i n
England;
(d)
from any order or judgment of the Court of Appeal
i n Northern I r e l a n d by leave of t h a t c o u r t or the
House of Lords, s u b j e c t to s t a t u t o r y r e s t r i c t i o n s ;
and
( e )
s u b j e c t t o s t a t u t o r y r e s t r i c t i o n s , i n e x c e p t i o n a l
c a s e s d i r e c t from d e c i s i o n s of the High Court of
J u s t i c e i n Northern I r e l a n d .
17
Rights of audience are the same as i n the High Court and the
Court of Appeal.
I n a d d i t i o n ,
S c o t t i s h advocates
and
b a r r i s t e r s from Northern I r e l a n d have r i g h t s of audience and
s o l i c i t o r s may
appear before the Appeal Committee of the
House of Lords when i t i s c o n s i d e r i n g a p e t i t i o n f o r l e a v e to appeal.
The J u d i c i a l C o - i t t e e of the P r i v y Council
18
The J u d i c i a l Committee of the P r i v y Council i s the f i n a l c o u r t of appeal f o r those Commonwealth c o u n t r i e s which
V.
r e t a i n the r i g h t of appeal to Her Majesty i n C o u n c i l .
I t s
members a r e normally drawn from among the Lord C h a n c e l l o r
and
the Lords of Appeal i n Ordinary.
I n i t s domestic
j u r i s d i c t i o n ,
the Committee e n t e r t a i n s a p p e a l s a g a i n s t
schemes by
t h e Church Commissioners under t h e
P a s t o r a l
Measure Act 1983.
The Committee a l s o hears appeals from
t h e i r d i s c i p l i n a r y bodies by doctors, d e n t i s t s ,
o p t i c i a n s ,
v e t e r i n a r y surgeons and members of p r o f e s s i o n s supplementary
t o medicine; i t a l s o hears appeals i n p r i z e c a s e s during and
a f t e r a period of h o s t i l i t i e s .
Rights of audience, which
are governed by custom and not s t a t u t e ,
extend t o E n g l i s h
and Northern I r e l a n d b a r r i s t e r s , S c o t t i s h advocates and a l l
advocates duly q u a l i f i e d i n c o u n t r i e s from which appeals l i e
to the Queen i n C o u n c i l .
## The R I G H T S Of Audience Of Employed Lawyers
19
S o l i c i t o r s employed by non-legal employers, who e i t h e r hold
or a r e exempted from holding p r a c t i s i n g c e r t i f i c a t e s , have
the same r i g h t s of audience on behalf of t h e i r employer as
s o l i c i t o r s i n p r i v a t e p r a c t i c e .
20
The r i g h t s of audience of employed b a r r i s t e r s are c u r r e n t l y
more r e s t r i c t e d than the r i g h t s of employed s o l i c i t o r s .
For
i n s t a n c e , employed
b a r r i s t e r s
a r e p r e s e n t l y allowed
t o
appear as advocates f o r t h e i r employers i n the Magistrates' Court and the County Court only i f they a r e given l e a v e to do so by the c o u r t . Employed s o l i c i t o r s , on the other hand,
can appear i n these c o u r t s as of r i g h t .
T h i s anomaly i s the
r e s u l t of the combined e f f e c t of the wording of 8.122(1) of
the Magistrates' Courts Act 1980 and 8.60(1) of the County Courts Act 1984 and the p r o v i s i o n s of the T h i r d E d i t i o n of
the Bar's Code of Conduct which deny t o employed b a r r i s t e r s
the s t a t u s of counsel.
I t w i l l be removed by the p r o v i s i o n s
of the Fourth E d i t i o n of the Bar's Code of Conduct (due to come i n t o f o r c e on 1 February 1989) which w i l l enable
an
employed b a r r i s t e r to appear on behalf of h i s employer as
c o u n s e l I n c i r c u m s t a n c e s where b a r r i s t e r s i n g e n e r a l p r a c t i c e do not have an e x c l u s i v e r i g h t of audience.
T h i s a l t e r a t i o n t o t h e Code s h o u l d a l s o e n a b l e employed b a r r i s t e r s t o appear i n the same i n s t a n c e s a s employed s o l i c i t o r s i n the High Court, Court of Appeal and House of Lords .
21
Employed
lawyers do not have r i g h t s o f audience i n the
Crown Court.
T h i s 18 the r e s u l t of the combined e f f e c t of
the p r o v i s i o n s of 8.83 of the Supreme Court Act 1981, the
c u r r e n t
D i r e c t i o n s made by t h e L o r d
C h a n c e l l o r
and
p r o f e s s i o n a l p r a c t i c e r u l e s .
## Tribunals
22
At present, there are g e n e r a l l y no r e s t r i c t i o n s on r i g h t s of
audience before t r i b u n a l s . T h i s i s
because, as recognised by
the Report of the Committee on Administrative T r i b u n a l s and E n q u i r i e s (1957 Cmnd. 218), the main c h a r a c t e r i s t i c s of t r i b u n a l s a r e , "cheapness, a c c e s s i b i l i t y ,
freedom
from
t e c h n i c a l i t y ,
e x p e d i t i o n
and e x p e r t knowledge of
t h e i r
p a r t i c u l a r s u b j e c t . "
( p a r a
3 8 ) .
B e c a u s e o f t h e s e c h a r a c t e r i s t i c s i t i s g e n e r a l l y c o n s i d e r e d t h a t most a p p l i c a n t s should be able t o cope with bringing proceedings without the need f o r a s s i s t a n c e from a q u a l i f i e d l e g a l r e p r e s e n t a t i v e .
A s s i s t a n c e may, however, be a v a i l a b l e from other sources;
f o r instance, trade unions and CABx o f t e n r e p r e s e n t employees before I n d u s t r i a l T r i b u n a l s and a l s o r e p r e s e n t a p p l i c a n t s b e f o r e t h e C r i m i n a l I n j u r i e s Compensation Board.
CABx are a l s o p l a y i n g an i n c r e a s i n g r o l e i n representing a p p l i c a n t s before Mental Health Review T r i b u n a l s .
## Conveyancing By Authorised P R A C T I T I O N E R - Contents
I n t r o d u c t i o n
Chapter 1
Background
Chapter 2
The new approach
Chapter 3
The p r o v i s i o n of conveyancing s e r v i c e s by employees of lending i n s t i t u t i o n s Authorised p r a c t i t i o n e r s
Requirements f o r a u t h o r i s a t i o n Obtaining a u t h o r i s a t i o n
Summary of proposals
Chapter 4
Annex
Proposed code of conduct: main p r i n c i p l
## Chapter 1 ־Introduction
1.1
The Government proposes t o l e g i s l a t e t o p e r m i t a
simpler system t o be implemented f o r banks,
b u i l d i n g
s o c i e t i e s ,
o t h e r
i n s t i t u t i o n s and I n d i v i d u a l s t o
provide conveyancing
s e r v i c e s t o c l i e n t s
s u b j e c t to
appropriate safeguards. There i s l e g i s l a t i v e p r o v i s i o n
f o r a system of t h i s k i n d i n
Schedule 21 t o the
B u i l d i n g S o c i e t i e s Act 1986, but t h i s Schedule has
not
been implemented. The Government now
w i s h e s t o
s u b s t i t u t e an a l t e r n a t i v e
s t a t u t o r y framework which
w i l l
be
l e s s
e l a b o r a t e t h a n
t h a t
e n v i s a g e d i n
S c h e d u l e 21 t o t h e 1986 A c t but which
w i l l
s t i l l
provide the necessary c o n t r o l s . These proposals
w i l l
a f f e c t only England and Wales.
1.2
The new system w i l l provide f o r the a u t h o r i s a t i o n of
p r a c t i t i o n e r s who w i l l be a b l e t o o f f e r conveyancing
s e r v i c e s
t o t h e p u b l i c .
The
i d e n t i t y
o f t h e
p r a c t i t i o n e r s may vary but they w i l l a l l
be required to
comply w i t h a s e t of s t r i c t
c o n d i t i o n s . These
w i l l
i n c l u d e a b i d i n g by a code of conduct and employing
s u f f i c i e n t
s o l i c i t o r s o r l i c e n s e d
c o n v e y a n c e r s t o
s u p e r v i s e or provide the
conveyancing s e r v i c e s .
1.3
T h e r e
w i l l
be no
p r o h i b i t i o n
a g a i n s t
l e n d i n g
i n s t i t u t i o n s providing conveyancing s e r v i c e s t o t h e i r
borrowers. The Government i s , however, concerned t o
see
t h a t t h e many Independent
s o l i c i t o r s and l i c e n s e d
conveyancers throughout the country can compete with
such i n s t i t u t i o n s on a f a i r b a s i s . I t
t h e r e f o r e i n v i t e s
v i e w s on whether
a u t h o r i s e d p r a c t i t i o n e r s might be
r e q u i r e d not
t o s u b s i d i s e the p r o v i s i o n of conveyancing
s e r v i c e s
from
t h e i r
o t h e r
a c t i v i t i e s .
The same
r e q u i r e m e n t c o u l d be p l a c e d a l s o upon e x i s t i n g Independent s o l i c i t o r s and l i c e n s e d conveyancers
80 as t o e n s u r e a l e v e l p l a y i n g f i e l d f o r a l l . The Government would welcome comment on whether t h i s could be achieved, i f i t was provided t h a t , i n order to remain authorised, authorised p r a c t i t i o n e r s had t o : -
( a )
o f f e r conveyancing
s e r v i c e s
a t not
l e s s
than
t h e i r t r u e c o s t ; and
(b)
be a b l e to prove t h a t they were doing t h i s to the
s a t i s f a c t i o n of t h e i r a u d i t o r s .
I t i s a l s o f o r c o n s i d e r a t i o n whether any authorised p r a c t i t i o n e r , who was a lending i n s t i t u t i o n which had o f f e r e d to add the c o s t of the conveyancing t r a n s a c t i o n t o the loan, should be r e q u i r e d to do t h i s , whether the c l i e n t chose t o use t h a t a u t h o r i s e d p r a c t i t i o n e r or an independent conveyancer to c a r r y out the conveyancing t r a n s a c t i o n .
V i e w s a r e t h e r e f o r e I n v i t e d on whether s u i t a b l e d e t a i l e d arrangements could be made to give e f f e c t to
these proposals.
1.4
I t f o l l o w s from t h i s t h a t t h e r e would a l s o appear no
longer to be any reason to prevent lending i n s t i t u t i o n s
o r other p o t e n t i a l a u t h o r i s e d p r a c t i t i o n e r s from having
a
shareholding
i n incorporated l i c e n s e d
conveyancers'
p r a c t i c e s , when t h e s e come i n t o being,
s i n c e
such
companies w i l l be r e q u i r e d to abide by the r e l e v a n t
p r o f e s s i o n a l
r u l e s
of conduct
of
t h e
C o u n c i l
f o r
L i c e n s e d Conveyancers. **At present such**
a shareholding
18 p r o h i b i t e d by the r u l e s of the C o u n c i l , but, i f the
Government i n due
c o u r s e c o n f i r m s
i t s i n t e n t i o n t o
adopt the proposals s e t out i n t h i s paper, the Council
may wish to consider amending a c c o r d i n g l y i t s approach to incorporated p r a c t i c e s . The Law S o c i e t y a l s o might w i s h i n the l i g h t of t h i s to review i t s p o l i c y on o u t s i d e shareholdings. Arrangements l i n k i n g s o l i c i t o r s and others a r e considered i n Chapter 12 of the Green Paper on t h e Work and O r g a n i s a t i o n of t h e L e g a l P r o f e s s i o n which i s published today.
## Chapter 2 - Background
2.1
At the beginning of the nineteenth century i t appears
t h a t t h e r e was nothing t o prevent anyone a t a l l
from
s e t t i n g up as a conveyancer, but i n 1804 the
l e g i s l a t u r e made conveyancing the monopoly of the l e g a l
p r o f e s s i o n . At t h a t time t h e r e was a c o n s i d e r a b l e
number of branches of the l e g a l p r o f e s s i o n , but most
have s i n c e dwindled away. S t a t u t o r y p r o v i s i o n s g i v i n g
the l e g a l p r o f e s s i o n a monopoly over conveyancing were
l a s t re-enacted i n the S o l i c i t o r s Act 1974. S e c t i o n 22
provided t h a t only s o l i c i t o r s and c e r t a i n other excepted c a t e g o r i e s could d r a f t conveyancing documents
f o r reward;
and i n p r a c t i c e s o l i c i t o r s had the work to
themselves.
2.2
I n 1983 the Government decided t h a t the e x i s t i n g
r e s t r i c t i o n s should be modified i n order t o s t i m u l a t e
competition. I t
was argued t h a t the s o l i c i t o r s '
monopoly was wrong, t h a t t h e i r c o s t s were too high and
t h a t i t
was not necessary t o be a s o l i c i t o r t o d r a f t
conveyancing documents. The Government t h e r e f o r e began
the process which l e d
t o the establishment, by the
A d m i n i s t r a t i o n of J u s t i c e Act 1985, of the new
p r o f e s s i o n of l i c e n s e d conveyancers, who a r e able t o provide conveyancing s e r v i c e s i n competition with s o l i c i t o r s . I n a d d i t i o n i n December 1983 the S o l i c i t o r General announced t h a t the Government intended t o introduce l e g i s l a t i o n t o extend the r i g h t of conveyancing to s o l i c i t o r s employed by banks and b u i l d i n g s o c i e t i e s , s u b j e c t t o safeguards.
2.3
The d e c l a r e d p o l i c y was s e t
out by the S o l i c i t o r
General I n a w r i t t e n answer on 6 December 1985, when he r e p l i e d to Mr F o r s y t h MP.
"The Government i s s u e d a c o n s u l t a t i o n paper l a s t year seeking views on the way i n which c o n f l i c t s of i n t e r e s t and a n t i - c o m p e t i t i v e p r a c t i c e s could be avoided i f b u i l d i n g s o c i e t i e s and other f i n a n c i a l i n s t i t u t i o n s were t o o f f e r conveyancing s e r v i c e s to the p u b l i c . Following t h a t c o n s u l t a t i o n , the Government have concluded t h a t t h e r e i s no d i f f i c u l t y i n p r i n c i p l e i n such i n s t i t u t i o n s providing conveyancing t o persons to whom they a r e not a l s o o f f e r i n g a loan. However, the Government are not s a t i s f i e d t h a t lending i n s t i t u t i o n s could s a f e l y be permitted to o f f e r both conveyancing and a loan i n the same t r a n s a c t i o n . I t i s t h e r e f o r e proposed to p r o h i b i t lending i n s t i t u t i o n s from providing conveyancing, e i t h e r d i r e c t l y or through a s u b s i d i a r y company i n which they hold a m a j o r i t y stake, to those who a r e a l s o borrowing from them.
"The Government are a l s o examining the p o s s i b i l i t y of e s t a t e agents providing a combined s e r v i c e of s a l e and conveyancing to vendors, and of lending i n s t i t u t i o n s providing conveyancing t o borrowers from them through a s s o c i a t e d companies i n which the lender holds only a m i n o r i t y shareholding.
C o n s u l t a t i o n on those matters i s not y e t complete.
" I t i s a l s o proposed to s e t a number of other c o n d i t i o n s to ensure proper consumer p r o t e c t i o n .
I n p a r t i c u l a r , i n s t i t u t i o n s w i l l be r e q u i r e d t o ensure t h a t t h e i r conveyancing work i s s u p e r v i s e d by a q u a l i f i e d person; and adequate arrangements w i l l have to be made to p r o t e c t the consumer
a g a i n s t negligence or fraud on the
p a r t of those
providing the s e r v i c e " .
2.4
The necessary s t a t u t o r y p r o v i s i o n s were p l a c e d i n
s e c t i o n 124 of and Schedule 21 t o the
B u i l d i n g
S o c i e t i e s Act
1986, although these p r o v i s i o n s have
not
been implemented. They allow the Lord C h a n c e l l o r t o
recognise i n s t i t u t i o n s - which a r e
defined as
"any
b u i l d i n g s o c i e t y or other body corporate o r
any
unincorporated a s s o c i a t i o n " - and i n d i v i d u a l p r a c t i t i o n e r s as s u i t a b l e t o undertake the
p r o v i s i o n
of
conveyancing
s e r v i c e s . Recognised
i n s t i t u t i o n s and
p r a c t i t i o n e r s a r e
exempt from s e c t i o n 22 of
the
S o l i c i t o r s Act 1974.
I n
a d d i t i o n recognised
i n s t i t u t i o n s which happen t o
be bodies corporate a r e
a l s o exempt from s e c t i o n 24 of the
1974
Act which
p r o h i b i t s bodies corporate from providing
conveyancing
s e r v i c e s .
2.5
The Lord C h a n c e l l o r was given e x t e n s i v e rule-making
powers, i n
order t h a t he might c o n t r o l these new
conveyancers. He may make r u l e s t o p r e s c r i b e
the
circumstances i n
which i n s t i t u t i o n s and p r a c t i t i o n e r s
may be recognised and the c o n d i t i o n s which must be met i n order t h a t such r e c o g n i t i o n may continue
(paragraph
2 ( 1 ) of Schedule 2 1 ) . He may p r e s c r i b e appropriate c o n d i t i o n s f o r p r o t e c t i n g persons f o r whom conveyancing s e r v i c e s a r e provided from c o n f l i c t s of i n t e r e s t
(paragraph 2 ( 2 ) ( a ) ) and f o r s e c u r i n g t h a t compensation i s payable t o such persons i n r e s p e c t of negligence, fraud or other dishonesty (paragraph 2 ( 2 ) ( b ) ) . The Schedule a l s o permits the Lord C h a n c e l l o r t o make r u l e s f o r the manner, form, period and r e v o c a t i o n of r e c o g n i t i o n on s p e c i f i e d grounds, (paragraph 3 ) ;
f o r the keeping of a l i s t of recognised i n s t i t u t i o n s o r p r a c t i t i o n e r s (paragraph 4) and f o r the d e l e g a t i o n of a l l the Lord C h a n c e l l o r ' s f u n c t i o n s (except f o r r u l e making) to any o f f i c e r or o f f i c e r s nominated by the r u l e s (paragraph 5 ) . A l l r e c o g n i t i o n r u l e s a r e t o be made by s t a t u t o r y instrument.
2.6
The Schedule c l e a r l y envisages t h a t the Lord C h a n c e l l o r
w i l l : -
( a )
provide an e l a b o r a t e s t r u c t u r e of r u l e s and
g u i d e l i n e s t o govern the conduct of
recognised
i n s t i t u t i o n s and p r a c t i t i o n e r s ; and
(b)
s e t up a d m i n i s t r a t i v e machinery which w i l l
oversee
the granting of r e c o g n i t i o n , ensure t h a t the r u l e s are observed and, where necessary, w i l l revoke
r e c o g n i t i o n or impose d i s c i p l i n a r y s a n c t i o n s .
2.7
The j u s t i f i c a t i o n f o r such a s t r u c t u r e would be t h a t
t h e r e would be i n s u f f i c i e n t p r o t e c t i o n and c o n t r o l
without i t . The Government, however, now
c o n s i d e r s
t h a t adequate a l t e r n a t i v e
machinery could be s e t up
bearing i n mind t h a t : -
( a )
those o r g a n i s a t i o n s and i n d i v i d u a l s who are most
l i k e l y to seek and obtain r e c o g n i t i o n a r e a l r e a d y
regulated by s t a t u t e and/or p r o f e s s i o n a l bodies; and
(b)
t h e r e w i l l be a requirement t h a t those who
c a r r y
out or s u p e r v i s e the conveyancing s e r v i c e s must be
s o l i c i t o r s or l i c e n s e d conveyancers.
## Chapter 3 - The New Approach
(A.) The p r o v i s i o n of conveyancing s e r v i c e - by employees of
lending
i n s t i t u t i o n s
3.1
Government p o l i c y as s t a t e d i n 1985 was t o p r o h i b i t
lending i n s t i t u t i o n s from providing conveyancing s e r v i c e s , e i t h e r d i r e c t l y or through a Company i n which
they had a m a j o r i t y shareholding, t o those who were
a l s o borrowing from them.
The p r o h i b i t i o n was the
r e s u l t of unresolved concerns over c o n f l i c t s of i n t e r e s t which might a r i s e i f a s o l i c i t o r or l i c e n s e d
conveyancer employed by a lending i n s t i t u t i o n acted both f o r the i n s t i t u t i o n and the borrower.
The
c o n f l i c t would be between the s o l i c i t o r ' s duty to h i s employer and the duty to the borrower, who would be h i s c l i e n t .
Such c o n f l i c t s could a r i s e where the borrower
r e v e a l e d something to the s o l i c i t o r or l i c e n s e d conveyancer which might reduce h i s chances of obtaining
a loan.
I t
was considered t h a t the s o l i c i t o r or
l i c e n s e d conveyancer might a l s o be i n d i f f i c u l t y i n
g i v i n g independent advice about the type of mortgage
which would be required and the c o n d i t i o n s of the
loan.
3.2
The Government no longer t h i n k s i t
necessary to follow
the p o l i c y i t
announced i n 1985.
I t
now b e l i e v e s t h a t ,
although the c o n f l i c t s of i n t e r e s t o u t l i n e d i n paragraph 2.1 above might a r i s e very o c c a s i o n a l l y ,
n e v e r t h e l e s s adequate safeguards can be devised and, i n
the v a s t m a j o r i t y of c a s e s , the i n t e r e s t s of the borrower and the lender i n the conveyancing t r a n s a c t i o n
w i l l be i d e n t i c a l .
Indeed, a t present the same
s o l i c i t o r s and l i c e n s e d conveyancers f r e q u e n t l y a c t f o r
both the lending i n s t i t u t i o n and the borrower.
For
y e a r s lending i n s t i t u t i o n s have been w i l l i n g to use the
same s o l i c i t o r (and a r e now w i l l i n g t o use the same l i c e n s e d conveyancer) as the customer a t a s i g n i f i c a n t saving to him. The added r i s k of a c o n f l i c t o f I n t e r e s t where the conveyancer i s a c t u a l l y employed by the lending i n s t i t u t i o n appears to be a matter of degree r a t h e r than substance and to be r e l e v a n t only i n e x c e p t i o n a l circumstances.
3.3
The Government t h e r e f o r e does not c o n s i d e r t h a t the
r i s k s a r e l a r g e enough to outweigh the p o t e n t i a l
b e n e f i t s of a more r e l a x e d approach, provided t h a t t h e r e a r e s u f f i c i e n t safeguards t o o f f e r the borrower
an informed c h o i c e . These safeguards w i l l be
incorporated i n the Code of Conduct proposed i n
paragraph 3.9.
A few w i l l be s p e c i f i c to lending
i n s t i t u t i o n s - and, i t should be pointed out, t o any
insurance company which might wish t o provide
conveyancing s e r v i c e s to someone t a k i n g out an
endowment mortgage.
Others w i l l be g e n e r a l l y a p p l i c a b l e to a l l a u t h o r i s e d p r a c t i t i o n e r s .
On t h i s b a s i s the Government proposes to allow s o l i c i t o r s and l i c e n s e d conveyancers employed by lending i n s t i t u t i o n s to undertake conveyancing work on b e h a l f of t h e i r
employers יc l i e n t s .
(B.) Authorised p r a c t i t i o n e r s
3.4
The Lord C h a n c e l l o r no longer i n t e n d s t h a t he w i l l
c o n s i d e r i n d i v i d u a l a p p l i c a t i o n s from those who wish to provide conveyancing s e r v i c e s to the p u b l i c .
I n s t e a d
he proposes to s e t out a number of requirements which
any person, whether an i n d i v i d u a l , a p a r t n e r s h i p or a
corporate body, must meet before i t w i l l be allowed to
provide conveyancing s e r v i c e s .
A l l those who meet such
requirements w i l l be known as a u t h o r i s e d p r a c t i t i o n e r s .
## Requirements F O R A U T H O R I S A T I O N
3.5
To o b t a i n a u t h o r i s a t i o n the i n d i v i d u a l p r a c t i t i o n e r
w i l l have t o s a t i s f y the
requirements s e t i n t h e
following
a r e a s :
( i )
S u i t a b i l i t y t o provide conveyancing s e r v i c e s
3.6
The p r a c t i t i o n e r must be f i t
and proper o r be a
b u s i n e s s which i s
run
by f i t
and proper people,
conducting the
b u s i n e s s i n
a prudent and competent
manner.
P r a c t i t i o n e r s must a l s o have the experience
and competence t o provide these a d d i t i o n a l s e r v i c e s .
T h i s means t h a t p r a c t i t i o n e r s must e i t h e r be a u t h o r i s e d under s t a t u t e , l i k e banks o r b u i l d i n g s o c i e t i e s , o r o b t a i n a u t h o r i s a t i o n by a recognised a u t h o r i t y as
i n d i c a t e d i n
paragraph 3.18. below.
( i i )
Employment of a s u f f i c i e n t number o f s o l i c i t o r s o r
l i c e n s e d conveyancers (or both) t o provide or s u p e r v i s e the p r o v i s i o n of the
conveyancing s e r v i c e s
3.7
Although an a u t h o r i s e d p r a c t i t i o n e r w i l l be exempt from
s e c t i o n 22 of the S o l i c i t o r s Act
1974, i t w i l l remain a
requirement t h a t the
conveyancing work must be c a r r i e d
out by those who have the r e l e v a n t
p r o f e s s i o n a l
e x p e r t i s e .
( i i i )
P r o t e c t i o n of c l i e n t s ' money from improper use
3.8
I n
order t o reduce the r i s k of dishonesty o r
the
improper use
of c l i e n t s ' money, such money must be paid
i n t o separate c l i e n t s ' accounts. I n a d d i t i o n , i n c a s e s
where money i s
held by an a u t h o r i s e d p r a c t i t i o n e r on
b e h a l f of a c l i e n t , he must p l a c e i t on d e p o s i t and
pay
the c l i e n t the i n t e r e s t earned.
( i v )
Compliance with the Lord C h a n c e l l o r ' s Code of Conduct
3.9
The Lord C h a n c e l l o r intends t o l a y down i n
a s t a t u t o r y
instrument a Code of Conduct t o
be followed by
a l l
a u t h o r i s e d p r a c t i t i o n e r s .
T h i s w i l l Impose uniform
minimum standards on them and provide a measure a g a i n s t which complaints should be judged.
The main p r i n c i p l e s
which the
Government proposes should be covered a r e
contained i n
the
Annex t o t h i s paper.
(v)
A b i l i t y t o meet c l a i m s a r i s i n g out
of conveyancing
s e r v i c e s
3.10
There w i l l i n e v i t a b l y be c l a i m s of f i n a n c i a l l o s s
a r i s i n g out
of the
p r o v i s i o n
of conveyancing
s e r v i c e s .
A bad mistake can r e s u l t i n
a purchaser a c q u i r i n g
a
property which i s
worth c o n s i d e r a b l y l e s s than he paid
f o r i t - because, f o r
example, the conveyancer
overlooked a r e s t r i c t i o n on use
or the planning of a
new motorway. The p r a c t i t i o n e r w i l l be r e q u i r e d
t o
have adequate p r o f e s s i o n a l indemnity insurance or other appropriate arrangements to meet such c l a i m s .
( v i )
I n v e s t i g a t i o n of complaints
3.11
The a u t h o r i s e d p r a c t i t i o n e r must be a b l e t o
demonstrate, where appropriate t o the s a t i s f a c t i o n of
the r e l e v a n t recognised a u t h o r i t y ( s e e para 3.18
below), t h a t i t
has s u i t a b l e i n t e r n a l mechanisms
i n
p l a c e , appropriate t o
the nature and s c a l e of
i t s
o r g a n i s a t i o n , t o d e a l w i t h complaints and d i s c i p l i n a r y
matters.
| ( v i l ) | | S u i t a b l e | compensation | | arrangements |
|-------------|-----|-------------------|-----------------|-----|-----------------|
3.12
I t
18 not p o s s i b l e f o r
anyone t o i n s u r e a g a i n s t h i s own
dishonesty.
There w i l l i n e v i t a b l y be c a s e s where l o s s
18 caused by the
dishonesty of the
p r a c t i t i o n e r or, i n
the case of a corporate body, by i t s d i r e c t o r s . The
p r a c t i t i o n e r w i l l t h e r e f o r e be r e q u i r e d t o
be covered
by a s u i t a b l e compensation scheme o r t o have made adequate bonding arrangements.
( v i i i )
Membership of a s u i t a b l e ombudsman scheme
3.13
There w i l l be c a s e s where an aggrieved c l i e n t i s e i t h e r
not s a t i s f i e d about the
way the
p r a c t i t i o n e r d e a l t with
h i s complaint or wishes t o complain about
p o s s i b l e
breaches of the
Code of Conduct by the p r a c t i t i o n e r .
Every a u t h o r i s e d p r a c t i t i o n e r w i l l t h e r e f o r e be
r e q u i r e d t o belong t o
a s u i t a b l e ombudsman scheme which
provides f o r
an independent a d j u d i c a t o r who must
a t
l e a s t have powers t o : -
( a )
i n v e s t i g a t e the
complaint provided i t i s w i t h i n a
reasonable period of time and i s
not v e x a t i o u s or
f r i v o l o u s ;
(b)
r e q u i r e production of documents;
( c )
order the
authorised p r a c t i t i o n e r t o
pay
the
complainant compensation f o r
the l o s s , expense or
inconvenience caused by the a c t i o n ;
(d)
d i r e c t the
authorised p r a c t i t i o n e r t o take a c t i o n
to c o r r e c t the
complaint ( t h i s could i n c l u d e
suspending the
t a k i n g on of
new b u s i n e s s f o r
a
f i x e d period or u n t i l the
problems have been
remedied);
( e )
r e q u i r e a p r a c t i t i o n e r
t o abide by h i e r u l i n g
w i t h i n a s p e c i f i e d period as a c o n d i t i o n of
membership of the
scheme ( i n p r a c t i c e , t h i s means
t h a t the p r a c t i t i o n e r w i l l e i t h e r have t o accept
the r u l i n g or r e s i g n from the scheme, thereby
d i s q u a l i f y i n g himself or i t s e l f from
a u t h o r i s a t i o n ) ; and
( f )
r e p o r t t o the r e l e v a n t recognised or other
s u p e r v i s o r y a u t h o r i t y where a complaint a g a i n s t an
authorised p r a c t i t i o n e r r e v e a l s a p e r s i s t e n t
breach of the
code of conduct or a systemic
f a u l t .
(ix)
Adequate arrangements f o r
p r o t e c t i n g c l i e n t s
should an a u t h o r i s e d p r a c t i t i o n e r cease
providing conveyancing s e r v i c e s .
3.14
An authorised p r a c t i t i o n e r
may cease, or go out
of,
b u s i n e s s f o r
any number of reasons i n c l u d i n g death,
i l l n e s s , d i s c i p l i n a r y a c t i o n or bankruptcy.
I n the
c a s e of s o l i c i t o r s and l i c e n s e d conveyancers who cease
p r a c t i c e , t h e r e a r e s t a t u t o r y p r o v i s i o n s whereby
c l i e n t s ' money i s protected, and p r o f e s s i o n a l c o l l e a g u e s may i n t e r v e n e i n the p r a c t i c e i n order t o r e t u r n papers t o c l i e n t s .
Very o f t e n the i n t e r v e n i n g c o l l e a g u e i s w i l l i n g t o take over the f i l e of any c l i e n t prepared t o i n s t r u c t him. S i m i l a r arrangements w i l l be r e q u i r e d i n the case of a u t h o r i s e d p r a c t i t i o n e r s so t h a t c l i e n t s a r e properly protected.
(C.) Obtaining a u t h o r i s a t i o n
3.15
Those who may wish t o become authorised p r a c t i t i o n e r s
may be d i v i d e d i n t o two c a t e g o r i e s .
( i )
Banks and B u i l d i n g s S o c i e t i e s
3.16
These b u s i n e s s e s a r e
a l r e a d y regulated and s u b j e c t t o
p r u d e n t i a l r e g u l a t i o n : -
( a )
Banks An I n s t i t u t i o n wishing t o operate a
deposit t a k i n g b u s i n e s s - u s t be a u t h o r i s e d by
the
Bank o f England under the
Banking Act 1987;
and
(b)
B u i l d i n g S o c i e t i e s No b u i l d i n g s o c i e t y may r a i s e
money from i t s
members u n l e s s i t
i s
authorised t o
do so by the B u i l d i n g S o c i e t i e s Commission under
the B u i l d i n g S o c i e t i e s
Act
1986.
3.17
No bank o r b u i l d i n g s o c i e t y i s
a u t h o r i s e d u n l e s s i t 18
e s t a b l i s h e d t h a t i t 18 run
by f i t
and proper persons i n
a prudent manner.
Accordingly the
Government b e l i e v e s
t h a t a l l
banks and b u i l d i n g s o c i e t i e s should be allowed
t o operate as authorised p r a c t i t i o n e r s
provided
they
c e r t i f y t o t h e i r r e g u l a t o r y a u t h o r i t i e s t h a t they can
comply with a l l
the other requirements s e t
out
i n
paragraphs 3.7 t o
3.14.
## ( I I ) Others
3.18
Others wishing t o
become a u t h o r i s e d p r a c t i t i o n e r s w i l l
be r e q u i r e d t o submit themselves t o the s u p e r v i s i o n of
an a u t h o r i t y which can s a t i s f y the Lord C h a n c e l l o r t h a t i t i s
a b l e t o impose and enforce the necessary
requirements s e t
out i n t h i s paper.
Such a u t h o r i t i e s
w i l l be known as recognised a u t h o r i t i e s . Some
intending p r a c t i t i o n e r s , such as surveyors, v a l u e r s and insurance brokers, may a l r e a d y be r e g u l a t e d by
a u t h o r i t i e s which w i l l e a s i l y be a b l e t o enforce the
r e l e v a n t new requirements.
Others, l i k e e s t a t e agents
and the
new mortgage lending companies, may f i n d
i t
necessary t o s e t
up new a u t h o r i t i e s
or,
i f
they wish, a
s i n g l e new a u t h o r i t y , with a s i n g l e ombudsman scheme.
Indeed, although there w i l l be no s t a t u t o r y requirement t o t h i s e f f e c t , a l l authorised p r a c t i t i o n e r s , however regulated, might f i n d i t s e n s i b l e t o s e t up a s i n g l e ombudsman scheme r a t h e r than f i n a n c e a number of separate schemes.
## Chapter 4 - Summary Of Proposals
4.1
I n summary, the Government t h e r e f o r e proposes:-
( a )
t o r e p e a l s e c t i o n 124 of and Schedule 21 t o the
B u i l d i n g S o c i e t i e s Act 1986; and
(b) t o Introduce l e g i s l a t i o n which w i l l provide f o r
the a u t h o r i s a t i o n of p r a c t i t i o n e r s who can s a t i s f y the requirements s e t
out I n paragraphs 3.6 t o 3.14
of t h i s Paper.
4.2
The Government would welcome comments on these
proposals.
They should be sent to a r r i v e not l a t e r
than 2 May 1989
t o : -
Room 417
Lord C h a n c e l l o r ' s Department Trevelyan House 30, Great Peter S t r e e t London SW1P 2BY
## Proposed Code Of Conduct: Main Principles
(A.) Proper s u p e r v i s i o n of conveyancing s e r v i c e s
1.
One i n d i v i d u a l must be r e s p o n s i b l e f o r t h e
d i r e c t i o n and
s u p e r v i s i o n of
the
conveyancing s e r v i c e s .
Each authorised p r a c t i t i o n e r must have one named person, who i s d i r e c t l y r e s p o n s i b l e f o r ensuring t h a t the conveyancing s e r v i c e s a r e c a r r i e d out according t o t h i s code.
2.
A s u f f i c i e n t number of s o l i c i t o r s o r l i c e n s e d conveyancers
(or both) must be employed t o
enable the
conveyancing
s e r v i c e s t o
be provided by s u i t a b l y q u a l i f i e d persons
o r
under t h e i r immediate
s u p e r v i s i o n .
As explained i n paragraph 3.7
of the paper, i t w i l l remain a requirement t h a t the conveyancing work must be c a r r i e d out by those who have the r e l e v a n t p r o f e s s i o n a l e x p e r t i s e .
(B.) C o n f l i c t s of i n t e r e s t
3.
Subparagraphs ( a )
and (b) below w i l l apply i n
any
c a s e where
the authorised p r a c t i t i o n e r I s a lending i n s t i t u t i o n ( o r i s a s u b s i d i a r y of
a lending i n s t i t u t i o n ) and
wishes t o provide
conveyancing s e r v i c e s f o r any person t o whom the lending i n s t i t u t i o n has l e n t o r I s proposing t o lend money which was or i s t o be applied i n or towards the a c q u i s i t i o n o f an e s t a t e o r i n t e r e s t i n land. The authorised p r a c t i t i o n e r must:-
( a ) make i t c l e a r t h a t independent f i n a n c i a l advice i s not a v a i l a b l e from the conveyancer; and
(b) e x p l a i n the terms and c o n d i t i o n s of the loan or o f f e r i n a c l e a r and s t r a i g h t f o r w a r d manner•
A conveyancer employed by a lending i n s t i t u t i o n ( o r by an insurance company providing an endowment p o l i c y ) would not be able to g i v e independent advice, but i n t h i s he would be no d i f f e r e n t to t i e d agents i n other f i n a n c i a l markets. The v i t a l c o n s i d e r a t i o n i s t h a t the borrower understands t h i s . As long as he does, he w i l l s t i l l have the option of seeking independent l e g a l advice about a l t e r n a t i v e f i n a n c i a l packages.
I t i s worth pointing out, however, t h a t under the c u r r e n t system i t seems c l e a r t h a t a s i g n i f i c a n t proportion of home buyers do not approach t h e i r conveyancers u n t i l they have arranged t h e i r mortgage, and do not t h e r e f o r e look to them f o r f i n a n c i a l advice.
The c l i e n t must be made s p e c i f i c a l l y aware t h a t information d i s c l o s e d by the c l i e n t to the conveyancer may be used by the a u t h o r i s e d p r a c t i t i o n e r i n r e s p e c t of any other s e r v i c e i t i s providing or intends to provide.
An independent conveyancer would have a duty of confidence to the c l i e n t .
However, an employed conveyancer would a l s o have a duty to h i s employer and must make i t c l e a r to the c l i e n t t h a t no r e l e v a n t information d i s c l o s e d can be kept from the employer.
Such information could t h e r e f o r e be used by a lending i n s t i t u t i o n i n a s s e s s i n g a borrower's s u i t a b i l i t y f o r a loan or by a f i r m of surveyors i n a s s e s s i n g whether the c l i e n t w i l l be a b l e t o pay f o r an expensive s t r u c t u r a l survey.
5.
( a ) A recognised p r a c t i t i o n e r must not provide
conveyancing
s e r v i c e s i n
any case where the i n t e r e s t s of the p r a c t i t i o n e r
o r any a s s o c i a t e of the p r a c t i t i o n e r may c o n f l i c t w i t h those
of the
person making use
of the s e r v i c e s .
(b) " A s s o c i a t e " i n sub-paragraph ( a ) would cover p a r t n e r s , s u b s i d i a r y or holding companies, companies of which the p r a c t i t i o n e r i s a d i r e c t o r and, where the p r a c t i t i o n e r i s an i n d i v i d u a l , any members of h i s family.
C l i e n t s need t o be protected from s i t u a t i o n s where the i n t e r e s t s of the authorised p r a c t i t i o n e r put a t r i s k h i s d u t i e s t o the c l i e n t .
The obvious example i s where the p r a c t i t i o n e r has a d i r e c t f i n a n c i a l i n t e r e s t because i t owns or i s seeking to buy the property i n question.
P r i n c i p l e s 6
and 7 below a r e p a r t i c u l a r examples of where c o n f l i c t i s l i k e l y t o a r i s e and where, s u b j e c t t o c e r t a i n safeguards, i t may be considered t h a t a p o t e n t i a l c o n f l i c t can be
regarded as overcome.
6.
( a ) An authorised p r a c t i t i o n e r must not accept i n s t r u c t i o n s
from or continue t o a c t
f o r any person whose i n t e r e s t s
c o n f l i c t with those of any other person by whom
the
a u t h o r i s e d p r a c t i t i o n e r i s
a l s o
i n s t r u c t e d .
(b)
I n p a r t i c u l a r an authorised p r a c t i t i o n e r must not a c t
f o r both p a r t i e s to a t r a n s a c t i o n except where i t appears
t h a t there i s
no c o n f l i c t of i n t e r e s t between the p a r t i e s
and both have consented i n w r i t i n g
( 1 ) t o i t s a c t i n g ; and
( i i ) t o i t s c e a s i n g t o a c t f o r both p a r t i e s , s h o u l d a c o n f l i c t of i n t e r e s t subsequently a r i s e .
Subparagraph ( a ) 18 a broad statement of p r i n c i p l e . I t would cover not only a c t i n g f o r both p a r t i e s , but a l s o a s i t u a t i o n where the vendor (V)
i s s e l l i n g t o purchaser one
( P I ) who i s s e l l i n g t o purchaser two (P2)
and the authorised p r a c t i t i o n e r i s i n s t r u c t e d by V and P2. Although a c o n f l i c t may be u n l i k e l y , the p r a c t i t i o n e r needs t o be aware t h a t i t could a r i s e .
Subparagraph (b)
i s s p e c i f i c a l l y d i r e c t e d a t a c t i n g f o r both vendor and purchaser.
I t follows the approach of the Licensed Conveyancers P r a c t i c e Rules which permit l i c e n s e d conveyancers t o a c t f o r both p a r t i e s on these very s t r i n g e n t c o n d i t i o n s .
One obvious example of where a c o n f l i c t may a r i s e i s where an e s t a t e agent a c t i n g on behalf of a vendor wishes t o provide conveyancing s e r v i c e s f o r both vendor and purchaser.
A p a r t i c u l a r problem which w i l l need t o be s o r t e d out when the r e l e v a n t r u l e s come t o be d r a f t e d i s how t o deal with a u t h o r i s e d p r a c t i t i o n e r s who have more than one o f f i c e . T h i s i s obviously the case with most lending i n s t i t u t i o n s .
I t may be s a f e t o provide t h a t I n most c a s e s where one branch o f f i c e a c t s f o r the vendor and another f o r the purchaser each o f f i c e may be t r e a t e d a s a separate
p r a c t i t i o n e r , but e q u a l l y there may need t o be p r o v i s i o n s which ensure t h a t they a c t
independently of one another.
7.
When the authorised p r a c t i t i o n e r e n t e r s i n t o an arrangement
with another person f o r
the i n t r o d u c t i o n of c l i e n t s t o
the
a u t h o r i s e d p r a c t i t i o n e r or by the authorised p r a c t i t i o n e r to the other person i t must ensure:-
( a ) t h a t the c l i e n t i s informed i n w r i t i n g of the arrangement and of any commission o r other b e n e f i t the authorised p r a c t i t i o n e r may be r e c e i v i n g o r pay;
(b) t h a t I t obtains the c l i e n t ' s w r i t t e n agreement as t o the d e s t i n a t i o n of the commission or e l s e i t s h a l l account t o the c l i e n t f o r the commission? and
( c ) t h a t i t remains able t o advise the c l i e n t r e g a r d l e s s of i t s own i n t e r e s t s .
A c l i e n t must be e n t i t l e d to know whether the authorised p r a c t i t i o n e r i s making any hidden p r o f i t o r i s paying any t h i r d party who r e f e r r e d the c l i e n t t o the authorised p r a c t i t i o n e r .
(C.) C o n t r a c t u a l o b l i g a t i o n s
8.
An authorised p r a c t i t i o n e r must give to each c l i e n t , before i t may accept i n s t r u c t i o n s t o a c t , an estimate of the t o t a l c o s t which the c l i e n t w i l l or may have t o meet.
T h i s must
s e t out
( a ) the way i n which fees w i l l be c a l c u l a t e d ;
(b) the circumstances i n which they might be i n c r e a s e d ;
and
( c ) the p a r t i c u l a r s of expenses and t a x l i k e l y t o be charged t o the c l i e n t C l i e n t s must be e n t i t l e d t o know before they e n t e r i n t o a c o n t r a c t with the authorised p r a c t i t i o n e r what the l i k e l y c o s t of the t r a n s a c t i o n w i l l be.
When t h e authorised p r a c t i t i o n e r
18 a lending i n s t i t u t i o n and o f f e r s t o add the c o s t of the conveyancing t r a n s a c t i o n to the loan, i t must give the c l i e n t an i n d i c a t i o n of what he 18 l i k e l y t o pay over the period of the loan compared to what he would pay i f he net the c o s t on completion. Any such lending i n s t i t u t i o n , which has o f f e r e d t o add the c o s t of the conveyancing t r a n s a c t i o n t o the loan, must a l s o be ready to do t h i s , whether the c l i e n t chooses t o use t h a t lending I n s t i t u t i o n or an independent conveyancer t o c a r r y out the conveyancing t r a n s a c t i o n .
9.
When an a u t h o r i s e d p r a c t i t i o n e r o f f e r s conveyancing and
other s e r v i c e s t o a c l i e n t i t
must ensure t h a t the statement
required under P r i n c i p l e 8 s e t s out s e p a r a t e l y the c o s t of
each s e r v i c e .
The c l i e n t needs t o be a b l e t o make an informed c h o i c e between the c o s t of in-house and independent conveyancing s e r v i c e s .
10.
Authorised p r a c t i t i o n e r s must not o f f e r conveyancing
s e r v i c e s below t h e i r t r u e c o s t and must provide annual proof
t h a t they a r e
complying with t h i s requirement
The Government i s anxious t o ensure t h a t the competitive p o s i t i o n of independent conveyancers i s not put a t r i s k by a u t h o r i s e d p r a c t i t i o n e r s s u b s i d i s i n g the p r o v i s i o n of conveyancing s e r v i c e s by t h e i r other a c t i v i t i e s . I t t h e r e f o r e r e q u i r e s a u t h o r i s e d p r a c t i t i o n e r s not t o o f f e r conveyancing s e r v i c e s below t h e i r t r u e c o s t .
Authorised p r a c t i t i o n e r s must be able t o demonstrate t h i s a t l e a s t once a y e a r t o the s a t i s f a c t i o n of t h e i r a u d i t o r s who must c e r t i f y t h a t t h i s condition i s being met.
11. An a u t h o r i s e d p r a c t i t i o n e r must not make the p r o v i s i o n o f ; -
( a ) conveyancing s e r v i c e s c o n d i t i o n a l on any other s e r v i c e being taken; o r
(b) any other s e r v i c e c o n d i t i o n a l on conveyancing s e r v i c e s being taken.
Such a p r o h i b i t i o n a g a i n s t " t y i n g - i n " i s e s s e n t i a l .
There i s an obvious r i s k t h a t , f o r example, a lending i n s t i t u t i o n w i l l t i e i n the conveyancing s e r v i c e s t o the loan, thus making the borrower accept the whole package.
S i n c e the loan i s so v i t a l , t h i s would e f f e c t i v e l y prevent the borrower from seeking independent l e g a l or f i n a n c i a l advice.
S i m i l a r l y , although the c l i e n t would f e e l under l e s s p r e s s u r e to accept, a surveyor might wish a c l i e n t to accept a combined e s t a t e agency/survey/conveyancing package.
I f t h i s were permitted, i t might w e l l f o r c e independent conveyancers out of business and so reduce competition.
12.
An a u t h o r i s e d p r a c t i t i o n e r must not c o n t r a c t u a l l y l i m i t i t s
l i a b i l i t y f o r damage s u f f e r e d by the c l i e n t as a r e s u l t of
negligence on i t s p a r t .
13.
An authorised p r a c t i t i o n e r must s e t out i n w r i t i n g the terms
upon which i n s t r u c t i o n s w i l l be accepted and give them to
the c l i e n t before accepting i n s t r u c t i o n s .
## (D.) Conduct Of Business
14.
An a u t h o r i s e d p r a c t i t i o n e r must d e a l with correspondence
and
other matters a r i s i n g i n the course of a conveyancing
t r a n s a c t i o n with reasonable speed and must not by h i s
a c t i o n s or omissions cause unnecessary delay.
Authorised p r a c t i t i o n e r s w i l l be r e q u i r e d to a c t i n a p r o f e s s i o n a l manner.
These purpose of t h i s and the f o l l o w i n g p r i n c i p l e s i s t o ensure t h a t t h i s happens.
These p r i n c i p l e s w i l l : -
( a )
help t o avoid any c o n f l i c t between the
authorised
p r a c t i t i o n e r and the
employed p r o f e s s i o n a l
conveyancer by imposing t h e
same r u l e s o f conduct
as the
p r o f e s s i o n a l
conveyancer would expect t o
meet i n
p r i v a t e p r a c t i c e ;
(b) demonstrate t o independent conveyancers a c t i n g
f o r
other p a r t i e s t h a t a u t h o r i s e d p r a c t i t i o n e r s a r e not exempt from the
u s u a l p r o f e s s i o n a l standards;
and
( c )
o f f e r guidance t o
ombudsmen and other i n t e r e s t e d
p a r t i e s i n
the
case of complaints.
15. An a u t h o r i s e d p r a c t i t i o n e r must ensure t h a t c l i e n t s a r e kept
adequately informed of the
progress of the t r a n s a c t i o n .
F a i l i n g t o keep c l i e n t s properly informed causes misunderstanding and a n x i e t y .
I t l e a d s t o mistakes and complaints.
15. An a u t h o r i s e d p r a c t i t i o n e r must t r e a t a l l f a c t s and
information concerning the c l i e n t obtained by i t i n the
course of a c t i n g f o r
the c l i e n t as c o n f i d e n t i a l and must
not
a t any time make any unauthorised use
of such f a c t s or
information.
17. An a u t h o r i s e d p r a c t i t i o n e r must not delay completion of
any
t r a n s a c t i o n s o l e l y on the
ground t h a t i t s f e e s
a r e
outstanding.
18. An a u t h o r i s e d p r a c t i t i o n e r must comply f u l l y w i t h every
undertaking given on i t s
behalf during any conveyancing
t r a n s a c t i o n .
19. When an authorised p r a c t i t i o n e r
18 i n s t r u c t e d by a vendor to
submit forms of c o n t r a c t to more than one
p r o s p e c t i v e
purchaser, i t must obtain the c l i e n t ' s a u t h o r i t y t o d i s c l o s e t h i s f a c t to a l l
p r o s p e c t i v e purchasers.
I f t h a t a u t h o r i t y
i s not given, i t must withdraw from the t r a n s a c t i o n s .
20.
An authorised p r a c t i t i o n e r
must not withdraw from
t r a n s a c t i o n s without good cause.
An authorised p r a c t i t i o n e r must not cease t o a c t merely because i t no longer wishes to represent a c l i e n t .
There should be a good reason f o r i t s withdrawing, f o r example because a c o n f l i c t of I n t e r e s t 18 discovered or the authorised p r a c t i t i o n e r i s unable t o obtain i n s t r u c t i o n s from the c l i e n t .
CABINET
DRAFT WHITE PAPER ON THE REFORM
OF THE NATIONAL HEALTH SERVICE
Note by •the S e c r e t a r y o f t h e C a b i n e t
The d r a f t White Paper on t h e
Reform o f t h e
N a t i o n a l H e a l t h S e r v i c e
was c i r c u l a t e d t o a l l
members o f t h e
C a b i n e t under t h e
memorandum by t h e
t l t h - E ( A ) ( 8 9 ) 2. The Sub-Committee on
i n i s t e r i a l S t e e r i n g Committee on Economic
Paper i n
p r i n c i p l e a t i t s
m e e t i n g t h i s
/ i l l be c o n s i d e r e d by t h e
C a b i n e t on
r e - c i r c u l a t e d a s
a s e p a r a t e C a b i n e t paper.
S e c r e t a r y o f S t a t e
Economic A f f a i r s ο
S t r a t e g y approved
t h e
morning and
t h e
White
26 J a n u a r y .
I t i s not
C a b i n e t O f f i c e
24 J a n u a r y 1989
gned ROBIN BUTLER
THIS DOCUMENT I S
THE PROPERTY OF HER BRITANNIC MAJESTY'S GOVERNMENT
CABINET
## Economic Strategy
Memorandum by the Chancellor of the Exchequer conomy, which saw above a v e r a g e growth i n 1987, The U n i t e d K f c o n t i n u e d t o gr| boom, but a l s o
i d l y i n 1988,
l a r g e l y a s
a r e s u l t o f
an investment
^.ng c o n t i n u e d
s t r o n g consumer demand.
With
s h i g h e s t l e v e l s s i n c e t h e
1960s and w i t h
c o n t i n u e d
p r o f i t a b i l i t y now
t y , companies a r e
i n
a v e r y s t r o n g p o s i t i o n
and
t o meet f u t u r e demand.
Consumers have seen
r a p i d growth i n p r
have been i n v e s t i n g
f i c a n t l y and
have f e l t more c o n f i d e n t about
have been p r e p a r e d t o f i n a n c e t h e i r spending
t h e i r r e a l incomes r i
the f u t u r e ; a s
a r e s u l t
by borrowing more.
2.
The upshot i s
that t o t a l domestic demand has r i s e n f a s t e r than
the
economy's capacity to supply, l e a d ^ g to
a re-emergence of i n f l a t i o n a r y
pressure, manifesting i t s e l f botJ^»kectly i n
a pick-up i n
the underlying
increase i n
the R e t a i l P r i c e Ιη<ΛΛ(ΜΙ), and i n d i r e c t l y i n
a sharp growth
i n imports and hence a widening e
;afreet ,account d e f i c i t .
3.
S i n c e the
summer, monetary p o l i c y
d e a l w i t h t h e
emerging i n f l a t i o n a r y ρ
s a l e s , from t h e
h o u s i n g market and from
growth (MO)
i s
t h a t t h i s t i g h t e n i n g i s
s t
t o a s u s t a i n a b l e path, b u t t h e r e i s s t i l l
p a r t i c u l a r .
The R P I e x a g g e r a t e s the e x t e n t
o f t h e
p e r v e r s e i n c l u s i o n o f mortgage i n t e r e s
g e t t i n g i n f l a t i o n on t o
a c l e a r downward path w i l l mean k e e p i n g
i n t e r e s t
r a t e s h i g h f o r some time.
F i s c a l p o l i c y h a s
been c o n s i d e r a b l y t i g h t e r
t h a n f o r e c a s t o v e r t h e
p a s t y e a r and
we now seem s e t f o r a P u b l i c S e c t o r
Debt Repayment (PSDR) a p p r e c i a b l y g r e a t e r than t h e
£10 b i l l i o n I i n d i c a t e d
i n the Autumn Statement.
4.
I am s u r e , i n
t h e
c i r c u m s t a n c e s ,
t h a t we must
aim
approach t o
t h e
Budget.
Sound and prudent f i n a n c i a l p o l f
e s s e n t i a l i f
we a r e
t o
m a i n t a i n t h e
c o n f i d e n c e o f
t h e
mark
the improvement i n
economic performance o f r e c e n t y e a r s . I
we succeed i n
r e v e r s i n g the
r e c e n t r i s e i n
i n f l a t i o n , w h i l e c
p o l i c i e s t o improve t h e
e f f i c i e n c y and f l e x i b i l i t y o f
t h e
econo
p r o s p e c t
remains a v e r y good
one.
een t i g h t e n e d
s u b s t a n t i a l l y t o
The e v i d e n c e from
r e t a i l
rrow i n d i c a t o r s o f monthly
t o b r i n g t h e
economy back
y t o
go,
on i n f l a t i o n i n
r i s e i n
p r i c e s because
e n t s .
But
even
so,
## Economic Prospects
,5. As i n
t h e
U n i t e d Kingdom, growth i n
the r e s t of t h e
w o r l d i n
1988 was
r e buoyant t h a n f o r e c a s t a y e a r ago, e x c e e d i n g e x p e c t a t i o n s i n
each of
major i n d u s t r i a l c o u n t r i e s , i n
most c a s e s s u b s t a n t i a l l y s o . World
e i n
m a n u f a c t u r e s
probably grew by 10 per c e n t .
E v e n those European
e a 0 M ) i e s
t h a t have been s l u g g i s h i n
r e c e n t y e a r s a r e
now e x p e r i e n c i n g
raster
growth.
P a r t l y a s
a r e s u l t , consumer p r i c e i n f l a t i o n edged up a
l i t t l e i n
a number o f c o u n t r i e s and
most commodity p r i c e s have r i s e n .
6. The l a t e s t i n d i c a t o r s suggest t h a t a c t i v i t y i n
t h e
major economies
remains s t u ^ , though i n c r e a s e s i n
s h o r t term i n t e r e s t r a t e s t o counter
r i s i n g ί η Α Λ Λ ο η may l e a d t o
some slow down through
1989.
Gross N a t i o n a l
Product g ^ i n A ^ y
f a l l from 4 per cent i n
1988
to
a s t i l l h e a l t h y 3
per
cent t h i s y e a r .
World t r a d e growth should
s t i l l be h i g h .
s p r o s p e c t i s
t h a t t h e
p e r s i s t e n c e of s i z e a b l e
nces between t h e l a r g e s t economies c o u l d l e a d t o
c i a l m a r k e t s .
Domestic demand growth i n t h e
and t h e
U n i t e d S t a t e s Government needs t o
a t the
same time, t h e
s u r p l u s c o u n t r i e s -
remove t h e
o b s t a c l e s which
r e s t r i c t the
growth
7.
One t h r e a t
c u r r e n t
account
renewed t u r m o i l
U n i t e d S t a t e s need
reduce i t s
Budget d
Germany and J a p a n -
of t h e i r domestic mark
8.
The U n i t e d Kingdom has e x p e r i e n c e d a s h a r p e r a c c e l e r a t i o n
of output
than most o f i t s
Group of Seven p a r t n e r s , w i t h unemployment f a l l i n g
f a s t e r
. ׳-
·
1
_ ־1
1
_
than i n
any o t h e r major c o u n t r y
i n t e r p r e t i n g r e c e n t macroecono
had two s u c c e s s i v e y e a r s w i t h
per c e n t , t h e f i r s t
time
t h i s
Domestic demand p r o b a b l y grew cons
m a i n l y because o f t h e
s t r e n g t h
of
c o n t i n u e d r a p i d growth i n
consumer
growth o f t o t a l f i x e d investment
w i l l
l a s t y e a r - t h e l a r g e s t i n c r e a s e f o r
f u l l
f i g u r e s a r e
a v a i l a b l e i t i s p o s s i b l e
s u r p a s s e d t h a t r e c o r d e d i n
1964
- h i t h e r t o
growth s i n c e t h e
War. At the
same t i m e , pro
c o n t i n u e d t o grow r a p i d l y .
9.
A p a r t from f i x e d i n v e s t m e n t , t h e
h o u s i n g market h a s
major s o u r c e o f t h e
r a p i d growth i n
domestic demand. A
p r i c e bubble emerged l a s t y e a r and w i t h i t a r a p i d
t u
I t i s
l i k e l y
t h i s had
a s i g n i f i c a n t e f f e c t on consump
spending on d u r a b l e s i n p a r t i c u l a r .
10. As a l r e a d y mentioned, the
i n c r e a s e i n i n f l a t i o n a r y p r
countered by t h e
o n l y e f f e c t i v e means: a t i g h t e n i n g o f
mone
h i g h e r s h o r t term i n t e r e s t r a t e s .
T h e r e a r e
now i n c r e a s i n g
s
t h i s f i r m a c t i o n h a s
begun t o check t h e
growth of spending by
Growth of t h e
narrow measure of t h e
money s u p p l y , MO, has begun
down a p p r e c i a b l y . The housing market h a s c o o l e d down markedly,
p a r t i c u l a r l y i n
t h e
South E a s t , w i t h both house p r i c e s and l e n d i n g
s p i t e o f t h e
major problems
i n
t i s t i c s i t l o o k s as i f
we have now
l e s t i c Product growth a t about
4 i
ed s i n c e t h e m i d - s i x t i e s .
more q u i c k l y than t h i s i n 1988,
n t . b u t a l s o r e f l e c t i n g
I t seems l i k e l y t h a t
the
w e l l i n t o double f i g u r e s
y e a r s .
Indeed once
t h e
owth o f investment even
t y e a r f o r investment
'ity i n m a n u f a c t u r i n g has
been t h e o t h e r
s i g n i f i c a n t house
i n
h o u s i n g ,
g e n e r a l and
house purchase r i s i n g much l e s s r a p i d l y than i n
the
middle of l a s t y e a r ,
and showing s i g n s of f a l l i n g i n
some a r e a s .
The growth o f r e t a i l
s a l e s i n
e n e r a l has moderated, and s a l e s o f some consumer d u r a b l e s have
f a l l e n ,
d i c a t o r s o f consumer c o n f i d e n c e suggest
t h a t e x p e n d i t u r e growth i n the
r ahead w i l l be modest.
The p e r s o n a l s e c t o r s a v i n g s r a t i o should a s a
t b e g i n t o r e c o v e r .
. Meanwhile, company s e c t o r s a v i n g remains h i g h and t h e s i g n s a r e t h a t
t h e v e r y s t r o n g investment performance o f t h e l a s t two y e a r s w i l l
c o n t i n u e
i n 1989, though growth w i l l probably be a t a l e s s heady pace.
The r a t e of
r e t u r n on c a p i t a l i s
a t i t s h i g h e s t l e v e l f o r
over twenty y e a r s , and
t h e
e x t r a i n v e s ^ ^ n t t h a t t h i s i s
g e n e r a t i n g w i l l h e l p t o u n d e r p i n the supply
s i d e i m p r A t K e t s of r e c e n t y e a r s ,
12. The l a t
e i n
t h e
mortgage r a t e w i l l almost
c e r t a i n l y l e a d t o
by t h e
R P I r i s i n g above 7 per c e n t f o r
some months
p r t g a g e i n t e r e s t payments the r a t e should remain
as the e f f e c t s o f t h e r i s e s i n
mortgage r a t e s
t o drop o u t , R P I i n f l a t i o n i t s e l f should
f a l l
ent by t h e f o u r t h q u a r t e r o f t h i s y e a r .
The
i n f l a t i o n as
( a l t h o u g h
e x c l
below 6 per
c e n
d u r i n g t h e l a s t y
back t o w e l l below
f i r s t
h a l f of t h i s y e a r w i l l undoubtedly
s.
We must c l e a r l y do e v e r y t h i n g i n
our
not l e a d t o a pay e x p l o s i o n .
r i s e i n i n f l a t i o n du
cause us c o n s i d e r a b l e
power t o ensure t h a t
i t
13. The u n d e r l y i n g r a t e of i n f l a t i o n - whether measured by t h e
R P I l e s s
mortgage i n t e r e s t payments or by producer p r i c e s - i s
l o w e r , but
s t i l l
much too h i g h .
We w i l l have t o m ^ a t a i n t h e p r e s e n t v e r y t i g h t monetary
p o l i c y long enough to ensure t h a A ^ e i s put f i r m l y on a steady downward
t r e n d .
^ - ^ 1
14. The sharp worsening of the c u r r l
t o some e x t e n t by the p u b l i s h e d
f i g u H
p u b l i s h e d f o r
1988 i s
£ 1 4 ^ 4
b i l l i o n ,
i n t h e b a l a n c e of payments - w h i c h cons:
U n i t e d Kingdom - f o r
t h e f i r s t
t h r e e quart
p e r i o d ) was even g r e a t e r than t h e recorded^
c u r r e n t account d e f i c i t remains a l a r g e one.
demand w i l l l e a d t o i t s r e d u c t i o n , but t h i s
The c o n t i n u e d
s t r o n g growth of i n v e s t m e n t c o u l d keep i m p o r t s of c a p i t a l
goods h i g h f o r
the time b e i n g , and i t may t a k e a l i t t l e w h i l e f o r the
a d v e r s e e f f e c t s on t r a d e performance o f v e r y h i g h c a p a c i t y u t i l i s a t i o n i n
some i n d u s t r i e s t o unwind.
Even though the d e f i c i t c o u l d w e l l
f a l l
d u r i n g
the coming y e a r , the o u t t u r n f o r
1989 as a whole might J > ^ ^ 1 c h the
same as
t h a t f o r 1988.
15. To summarise, f o l l o w i n g a prolonged p e r i o d of above a
l i k e l i h o o d i s
t h a t growth w i l l be w e l l below t r e n d over th£
GDP i n 1989 c o u l d
s t i l l be 2$ per cent h i g h e r than i n
1988,
the s t a t i s t i c s f o r
t h e r e c e n t p a s t i n such d i s a r r a y and t h e
ec
t u r n i n g p o i n t the f o r e c a s t i s
even more u n c e r t a i n than u s u a l
ount d e f i c i t may be
exaggerated
be p r e l i m i n a r y e s t i m a t e
( p o s i t i v e ) " b a l a n c i n g i t e m "
f unrecorded f l o w s t o
t h e
he l a t e s t
a v a i l a b l e
N e v e r t h e l e s s , t h e
lowdown i n domestic
e l y t o o c c u r q u i c k l y .
## Fiscal Prospects
16. I n l a s t y e a r ' s Budget I announced major t a x
r e f o r m s , i n c l u d i n g c u t s i n
oth the b a s i c and h i g h e r r a t e s of income t a x . Y e t d e s p i t e
t h i s
udgeted f o r
a PSDR i n 1988-89 of some £3 b i l l i o n , o r 3/^ Q f
a
p
e
r
c
e
n t
,_P.
I n
t h e e v e n t , t h e p u b l i c f i n a n c e s have t u r n e d out c o n s i d e r a b l y
>trAeer.
The f o r e c a s t I gave i n
t h e
Autumn Statement was f o r
a PSDR of
£ ^ Λ ^ 1 ί ο η , o r 2 per c e n t o f GDP.
L a t e r i n f o r m a t i o n s u g g e s t s t h a t the
s u r p l u s w i l l c o m f o r t a b l y exceed even
t h i s .
17. T h i s r e m a r k a b l e improvement i n
t h e f i s c a l p o s i t i o n - no o t h e r major
c o u n t r y e n j o y s a comparable s u r p l u s - owes much t o t h e
buoyancy o f
t h e
as
1 as somewhat h i g h e r p r i v a t i s a t i o n proceeds t h a n
o r i g i n a l l y
the c o n t i n u i n g s t r e n g t h o f domestic demand, t h e need f o r a
p o l i c y , and market e x p e c t a t i o n s , i t
i s e s s e n t i a l to
f i s c a l s t a n c e .
I n p r e s e n t c i r c u m s t a n c e s I b e l i e v e we
s i z e a b l e PSDR i n
t h e
coming f i n a n c i a l y e a r .
economy,
planned,
c a u t i o u s ap
m a i n t a i n a ρ
must aim f o r
18. Thus d e s i t e
Budget s u r p l u s t h e scope f o r
r e d u c t i o n s i n
be l i m i t e d t h i s y e a r .
I t
may prove b e s t t o do
t a x a t i o n must i n e v
n a t u r a l tendency f o r
the n o n - o i l t a x
burden to
l i t t l e more t h a n o f
rag.
L o o k i n g
f u r t h e r ahead, t h e r e t u r n t o
a
r i s e as a r e s u l t o f
r e l y
t o l e a d t o some r e v e r s a l o f
the
. on p u b l i c f i n a n c e s which we have r e c e n t l y
r e d u c t i o n s i n t a x a t i o n w i l l depend c r u c i a l l y on
r e s t r a i n t h e growth o f p u b l i c e x p e n d i t u r e .
s u s t a i n a b l e growth r a t e
f a v o u r a b l e c y c l i c a l
e f f e
e x p e r i e n c e d .
So f u t u r e
our c o n t i n u e d
a b i l i t y t o
## Summary And Conclusions
19. Output growth i n
t h e l a s t two
s u s t a i n i n
t h e
medium term.
Some
c u r r e n t account
l i k e l y t o improve on
any r i s k s which damage t h e c r e d i b i l i t
c a u t i o u s B u d g e t a n d a f u r t h e r y e a r o f s u B ^ Q | i a l
b u d g e t
s u r p l u s
20. I would welcome c o l l e a g u e s ' v i e w s on
of the f i s c a l and economic p r o s p e c t s I have
T r e a s u r y
14 F e b r u a r y 1989
.has been f a s t e r than we can
i s i n e v i t a b l e .
With the
er s l o w l y , we must a v o i d t a k i n g
p o l i c i e s .
T h i s means a
et a g a i n s t t h e background
| | | 1984 | | 1983 | 1982 | 1981 |
|----------|-------------|---------------|-----|---------|---------|---------|
| ! | * | S | ־ | ^5 | 3 | 5 |
| d | | GNP,* | * | i n | | |
| or | 7 | economies | | | | |
| cent | change) | | | | | |
| DP, < | | | | | | |
| 2 | | | | | | |
| > | - 1 | | | | | |
| r | cent | change) | | | | |
| 1 % | | | | | | |
| | 3H | l h | 3k | 3k | | |
| | 4 | | | | | |
| *1 | | | | | | |
| | Ah | 2h | | | | |
| (2 | \ | | | | | |
| 2h | | 2k | | | | |
| | 4 | 4% | 7 | | | |
| 2h | | | | | | |
| s t i c | demand, | | | | | |
| v | | | | | | |
| ' - l h | 2k | | | | | |
| | 4% | | | | | |
| r | cent | change) | | | | |
| i l | p r i c e s | Q4 | 12 | | | |
| r | cent | change) | | | | |
| a | year | e a r l i e r | | | | |
| 1235 | | 10 | 10 | 12 | 11 | 9 |
| 7 | | | | | | |
| / 8 | | | | | | |
| ( | 3 | ) | | | | |
| erest | r a t e s | | 14 | | | |
| erage | 3-month | | | | | |
| terbank) | | | | | | |
| 835 | | 10 | 11 | 11 | 11 | 1 1 % |
mployment per c e n t o f rking p o p u l a t i o n eluding s c h o o l avers)
rung i n d e x
117
11335 10535
10035
100
9135
90
9535
9 7 %
(
3
)
(
1 ^ P r o v i s i o n a l pre-Budget f i g u r e s
( 2 )
At c o n s t a n t p r i c e s
(3)
F e b r u a r y 6
| | | 1985 | | 1986 1987 1988 | 1989(1) |
|-----|----|--------|------|------------------|-------------|
| 335 | | 2% | 335 | 4 | 3 |
| 5h | | 3h | | | |
| | 4 | | | | |
| | 6h | 5h | | | |
## Annex 2: Direct Effects Of Tax Changes A. D I R E C T Taxes: Indexation
The R P I i n c r e a s e d i n t h e y e a r t o December 1988 by 6.8 p e r c e n t .
With i n d e x a t i o n by t h i s amount and s t a t u t o r y r o u n d i n g , t h e f i g u r e s f o r t h e main a l l o w a n c e s and o t h e r t h r e s h o l d s would be:
P e r s o n a l a l l o w a n c e s S i n g l e and w i f e ' s e a r n e d income a l l o w a n c e M a r r i e d a l l o w a n c e
| Tax |
|-------------|
| 25% r a t e |
| 40% r a t e |
The t o t a l r e v e n u e c o s t o f i n d e x a t i o n o f income t a x ( i n c l u d e d i n t h e f o r e c a s t ) i s £1,455 m i l l i o n i n
1989-90.
## Β. I N D I R E C T Taxes: Indexation
The e f f e c t s o f
6.8 p e r c e n t r e v a l o r i s a t i o n o f t h e e x c i s e d u t i e s
( i n c l u d i n g VAT e f f e c t s ) a r e a s f o l l o w s :
VAT i n c l u s i v e p r i c e change Y i e l d i n RPI impact
| | | B e e r | | 1 . 5 p / p i n t | | 140 |
|---------------|---------------|-------------------------|---------------------|---------------------|-----|--------|
| Wine | | 6 . 0 p / 7 5 c l | l i g h t | wine | | 45 |
| S p i r i t s | | 3 7 . O p / b o t t l e | | 65 | | |
| Tobacco | | 6.5p/20 | k i n g | s i z e | | 235 |
| P e t r o l | | 7 . 3 p / g a l l o n | | 440 | | |
| Derv | | 6 . 1 p / g a l l o n | | 95 | | |
| VED | £6.80/car | | 155 | | | |
| O v e r a l l | e f f e c t , | | ( i n c l u d i n g | minor | | |
| d u t i e s ) | | 1225 | | | | |
(
1 ^ F i g u r e s do n o t sum due t o r o u n d i n g
1989-90
1988-89
2,785
2,605
4,375
4,095
19,300
20,700
o v e r 19,300
o v e r 20,700
1989-90
£m
% p o i n t s
0.07
0.04 0.04 0.14
0.12 0.01 0.05
0.48 ( 1 )
## C Ready Reckoners; I L L U S T R A T I V E Tax Changes
| | INCOME | TAX |
|---------------------|---------------------|---------------------|
| Allowances | and | Thresholds |
| 1 % | above | i n d e x a t i o n |
| a l l o w a n c e s | | 180 |
| 1 % | above | i n d e x a t i o n |
| a l l o w a n c e s | and | b a s i c r a t e |
| Rates | | |
| Change | b a s i c r a t e | by l p |
| Change | h i g h e r | r a t e |
| CORPORATION | TAX | |
| Change | i n | |
| Change | i n | |
| 1 | p e r c e n t a g e | p o i n t |
| VALUE | ADDED | TAX |
| Change | i n | VAT |
| 1 | | |
| ^ | | |
| | 1,300 | 1,830 |
(
1^A 1 %
change i n t h e VAT r a t e would change t h e R P I
by 0.45%
| | £ | m i l l i o n |
|---------|-----|-------------------|
| 1989-90 | | 1990-91 |
## Taxation, Expenditure And Borrowing
S i n c e t h e Government f i r s t took o f f i c e , t o t a l t a x e s and NICs have r i s e n by
4 p e r c e n t a g e p o i n t s o f GDP, though t h e r a t i o has f a l l e n from i t s peak i n
1981-82.
T h i s has e n a b l e d us t o make n e t repayments o f government d e b t i n t h e l a s t two y e a r s .
p l u s NICs
| | Non-North | Sea |
|--------------------|-------------|---------|
| T a x e s | p l u s | NICs |
| ( a s | p e r | c e n t |
| non-North Sea GDP) | | |
| 34.2 | | |
| 35.1 | | |
| 36.2 | | |
| 38.7 | | |
| 38.1 | | |
| 37 .7 | | |
| 37.8 | | |
| 37.1 | | |
| 37.8 | | |
| 37.6 | | |
| 1978- | 79 | |
| 1979- 80 | | |
| 1980- | 81 | |
| 1981- | 82 | |
| 1982- | 83 | |
| 1983- | 84 | |
| 1984- | 85 | |
| 1985- | 86 | |
| 1986- | 87 | |
| 1987- 88 | | |
| 33 | | |
| 35, | | |
| 36. | | |
| 39, | | |
| 38, | | |
| 38, | | |
| 39. | | |
| 38. | | |
| 38. | | |
| 37. | | |
[ * T r e a s u r y e s t i m a t e s f o r 1986-87 and 1987-88]
## Personal Taxation
2.
D e s p i t e r e d u c t i o n s i n income t a x , t o t a l p e r s o n a l t a x e s
( d i r e c t and i n d i r e c t , i n c l u d i n g employees' NICs and d o m e s t i c r a t e s )
i n
1988-89
a r e o v e r
£30
b i l l i o n h i g h e r i n r e a l terms ( i e 1988-89
p r i c e s ) t h a n t h e y were i n 1978-79.
F o r income t a x and n a t i o n a l
Government
E x p e n d i t u r e
( e x c l u d i n g
p r i v a t i s a t i o n p r o c e e d s )
43.3 43.5
46.1
46.6 46.8 45.9
46.2
44.5 43.7
41.6
5
4. 5, 3, 3,
3, 3, 1.
0.
-0.
i n s u r a n c e c o n t r i b u t i o n s t h e f o l l o w i n g t a b l e shows how t h e p r o p o r t i o n of g r o s s pay t h e y r e p r e s e n t r o s e up t o 1981-82:
## T A B L E 2 Income Tax And Nics A S A P E R C E N T O F G R O S S E A R N I N Q S *
h
a v e r a g e
a v e r a g e
2
a v e r a g e
e a r n i n g s
e a r n i n g s
e a r n i n g s
1978-79
16.0
27.8
31.4
1981-82
20.8
29.3
32.2
1982-83
20.8
29.8
32.3
1983-84
20.1
29.6
31.7
1984-85
19.3
29.2
31.5
1985-86
18.9
29.0
31.5
1986-87
18.9
28.5
30.9
1987-88
19.1
27.6
29.9
1988-89 ( e s t i m a t e )
18.5
26.3
28.2
1989-90 ( i n d e x a t i o n )
18.6
26.3
28.3
* A d u l t male e a r n i n g s ( a l l o c c u p a t i o n s ) .
M a r r i e d c o u p l e , w i f e not w o r k i n g :
t h e c o u p l e a r e assumed t o have no c h i l d r e n , t o a v o i d d i s t o r t i o n o f t h e f i g u r e s from t h e a b o l i t i o n of c h i l d t a x a l l o w a n c e s . 3.
T h e s e f i g u r e s r e f l e c t t h e r i s e i n t h e s t a n d a r d **employees'**
NIC
r a t e from 6h p e r c e n t t o 9 p e r c e n t .
The l o w e r r a t e s i n t r o d u c e d i n t h e 1985 F i n a n c e A c t do not a f f e c t t h e c a s e s shown.
So f a r as income t a x i s c o n c e r n e d , p e r s o n a l a l l o w a n c e s have i n c r e a s e d by about
25 p e r c e n t i n r e a l terms s i n c e 1978-79, s l i g h t l y l e s s t h a n e a r n i n g s .
The b a s i c r a t e has been r e d u c e d from 33p t o
25p.
4.
Average e a r n i n g s have o f c o u r s e i n c r e a s e d by s u b s t a n t i a l l y more t h a n p r i c e s s i n c e
1978-79.
So a m a r r i e d man on a v e r a g e e a r n i n g s has s e e n h i s r e a l take-home pay r i s e by
£45 p e r week.
The i n c r e a s e f o r a m a r r i e d man on h a l f a v e r a g e e a r n i n g s has been
£22 p e r week, and on t w i c e a v e r a g e e a r n i n g s £94 p e r week.
5.
As t h e t a b l e shows, i n d e x a t i o n o f a l l o w a n c e s i n t h e Budget, w i t h no r e d u c t i o n i n t h e b a s i c r a t e , would l e a d t o a v e r y s l i g h t r i s e i n t h e p r o p o r t i o n o f incomes t a k e n i n t a x and N I C s .
T h i s i s b e c a u s e e a r n i n g s a r e assumed t o r i s e by more t h a n t h e i n c r e a s e i n t a x t h r e s h o l d s , w h i c h i s i n d e x e d t o changes i n p r i c e s .
B u s i n e s s T a x a t i o n
6.
F o l l o w i n g t h e s h a r p r i s e i n c o r p o r a t i o n t a x r e c e i p t s o v e r t h e p a s t t h r e e y e a r s , a s a r e s u l t o f t h e s u b s t a n t i a l r e c o v e r y i n company p r o f i t s , t o t a l t a x e s p a i d by b u s i n e s s e s ( o u t s i d e t h e N o r t h Sea)
a r e now h i g h e r a s a p e r c e n t a g e o f GDP t h a n i n 1978-79.
W i t h i n t h i s t o t a l , t h e major change has been a f a l l i n e m p l o y e r s '
NICs
( a n d N I S ) a s a " p e r c e n t a g e o f GDP, o f f s e t by i n c r e a s e s i n c o r p o r a t i o n t a x , b u s i n e s s r a t e s and 'other' t a x e s a s t h e f o l l o w i n g t a b l e shows:
T a b l e 3
Tax p a i d by B u s i n e s s e s £bn i n 1988-89 p r i c e s
( f i g u r e s i n b r a c k e t s a r e p e r c e n t o f GDP)
| | | T a x e s | on | | Employers |
|-----------------------|----|-------------|-------|------|--------------|
| C o r p o r a t i o n | | s e l f | | NICs | and |
| Tax | | employment | | NIS | |
| incomes | | | | | |
| 2.8 | | | | | |
| 8.3 | | | | | |
| 1978-79 | | | | | |
| ( 0 . 7 ) | | | | | |
| ( 2 . 2 ) | | | | | |
| 3.7 | | | | | |
| 15.9 | | | | | |
| 1988-89 | | | | | |
| ( e s t i m a t e ) | | | | | |
| ( 0 . 8 ) | | | | | |
| ( 3 . 4 ) | | | | | |
1 E x c l u d e s N o r t h S e a , b u t i n c l u d e s ACT
2VED, c a r t a x , r o a d f u e l duty, d u t y on r e b a t e d o i l s , c a p i t a l t a x e s
| R a t e s | | Other•* | | T o t a l |
|-------------|-----|---------------------|---------|--------------|
| 5.5 | | 4.3 | 34.4 | |
| 13.6 | | | | |
| ( 1 . 4 ) | | ( 1 . 1 ) ( 9 . 1 ) | | |
| ( 3 . 6 ) | | | | |
| 8.1 | | 7.4 | 4 8 . 1 | |
| 13.0 | | | | |
| ( 1 . 7 ) | | ( 1 . 6 ) | | ( 1 0 . 2 ) |
| ( 2 . 7 ) | | | | |
pruary
1989
CABINET
## Review Body Reports 1989
Note by.the S e c r e t a r y of the Cabinet i n i s t e r h a s now r e c e i v e d a l l t h e r e p o r t s from t h e They have recommended t h e f o l l o w i n g i n c r e a s e s from 1
The P r i i Review bodie! A p r i l 1989:
| | Review | Body |
|-----------------------|-----------------|-----------------|
| Pay | | b i l l |
| i n c r e a s e | | |
| % | | |
| Armed | F o r c e s | (AFPRB) |
| D o c t o r s | & | d e n t i s t s |
| (DDRΒ) | | |
| C l i n i c a l | | academics |
| (consequence | o f | |
| P r o f e s s i o n s | a l l i e d | t o |
| m e d i c i n e | (PAM) | |
| N u r s i n g | s t a f f , | |
| and | h e a l t h | |
| Top | s a l a r i e s | (TSRB) |
| (1 | ) | The |
| r e v i e w | b o d i e s ' | r e p o r t s . |
| w h i c h count | a s | |
(2)
I n c l u d e s £39m f o r p r a c t i c e
expenses of
(3)
These
m a i n l y
r e p r e s e n t a c r o s s t h e
board i n c ^
6.75%.
Three
C h i e f A r e a
Nurses
grade 4
i n
i n c r e a s e s o f 10-13.6%.
A l l o t h e r
n u r s e s anc
i n c r e a s e s w i t h i n t h e r a n g e s shown.
(4)
I n c l u d e s £5m
recommended f o r f l e x i b l e pay experimen
new g r a d i n g
s t r u c t u r e f o r
e d u c a t i o n a l g r a d e s ,
whic
Body
w i l l be a s k e d t o p r i c e
w i t h i n t h e n e x t fe (
| Range | | of |
|-----------------|-------------|-------|
| i n c r e a s e | | |
| % | | |
| UK | p u b l i c | |
| expenditure | | |
| Cost | | ( 1 ) |
| £m | | |
| 272 | | |
| 312 | | |
| 8.5 | | |
| 43 | | |
| 420 | | |
| (4) | | |
| (5) | | |
| 4.9-10.6 | | |
Eer from t h o s e i n t h e bt i n c l u d e some c o s t s p r a c t i t i o n e r s of 7.7% and nd w i l l g e t s w i l l g e t
( 5 ) Does not a l l o w f o r recommendation t o i n c r e a s e from 25%
t o 35% t h e quota of c i v i l s e r v a n t s i n Grades 2 and
3 e l i g i b l e f o r d i s c r e t i o n -
a r y i n c r e m e n t s .
The f i g u r e f o r * t h e pay b i l l i n c r e a s e does however a l l o w f o r t h i s .
The f i g u r e g i v e n f o r t h e range o f i n c r e a s e s a l s o e x c l u d e s r e s t r u c t u r i n g f o r 13 I m m i g r a t i o n A d j u d i c a t o r s who r e c e i v e i n c r e a s e s o f 27.1%, and f o r t h e C h i e f immigration A d j u d i c a t o r and t h e V i c e - P r e s i d e n t s o f t h e Immir a t i o n Appeal T r i b u n a l , who g e t 28.3%.
Β recommendations b r e a k down a s f o l l o w s :
5% i n c r e a s e f o r a l l groups;
u d i c i a r y , some minor r e s t r u c t u r i n g which would b r i n g
11 i n c r e a s e t o 5.2%;
i i i f o r sen>&or o f f i c e r s i n t h e armed f o r c e s , 2 - s t a r o f f i c e r s would be l i n k e d t o t h e Grade 3 f i r s t performance p o i n t r a t h e r than the t o p o f t h e Grade 3 s c a l e , a s a t p r e s e n t .
The pay b i l l i n c r e a s e f ׳׳^ע1א0
s t a r o f f i c e r s would be 10.5% and f o r s e n i o r o f f i c e r s a s ULwsiQie
8.6%.
c e , s t r u c t u r a l changes t o r e l a t e pay more e would be d e f e r r e d b u t t h e quota of s t a f f n a r y i n c r e m e n t s would r i s e from 25%
t o a t t h e whole of t h e proposed i n c r e a s e i n up i n t h e f i r s t y e a r , b u t i f i t were,
1989-90
would be about £75,000, and e a r which i s about 1/2% o f t h e pay t h e r w i s e , t h e o n l y e x c e p t i o n t o t h e e t h e r e s t o r a t i o n o f a London
,000, a p o s s i b i l i t y t o which t h e i v . f o r t h e c i v i l c l o s e l y t o p e r f e l i g i b l e f o r d i s
35%.
I t i s u n l i k the quota would be the a d d i t i o n a l c o s about £150,000 i n a b i l l f o r Grades 2
and
5%
b a s i c i n c r e a s e a l l o w a n c e f o r Grade 3 s , Government drew t h e TSRB י
b i l l f o r Grade 3s would be DDRB r e p o r t
3.
The DDRB have recommended a b a s i c ^ ^ i n c r e a s e d e n t i s t s i n t h e NHS, w i t h t h e f o l l o w i n g ^ a d d i t i o n s :
i .
an i n c r e a s e o f £1
,000 i n t h e t o p of J^he c o n s u l t a n t s '
s c a l e , t h u s r a i s i n g i t by 10.8%.
A l l d i s t i A+
awards - p a r a g r a p h 3 i i below)
i n c r e a s e by 10.8%, s i n c e t h e i r s i z e i a n t maximum.
T h i s recommendation woul pay b i l l
(£14.6m f o r t h e d i r e c t s a l a r y e f f e c t on d i s t i n c t i o n a w a r d s ) .
i i . an i n c r e a s e i n
t h e
A+ d i s t i n c t i o n award from 9
c o n s u l t a n t
s c a l e maximum.
C o n s u l t a n t s
e n j o y
w e l l a s t h e i n c r e a s e a t t h e
t o p
of t h e s c a l e
The c o s t would be £0.3m;
i i i a s m a l l
i n c r e a s e i n t h e number o f t h e h i g h e r d i i
m e r i t o r i o u s
s e r v i c e
a w a r d s .
The c o s t
would
n t i o n .
The i n c r e a s e i n t h e pay and f o r t h e whole group 8.2%.
>n awards
( e x c e p t t h e as a r e s u l t a l s o bed t o t h e c o n s u l t -
£17m t o t h e DDRB
£2.4m f o r t h e
ρ 100%
of t h e i s award a s get
13.6%.
on and
^ ^ £ 1 .7m;
i v . an a d d i t i o n a l p o i n t a t t h e t o p o f t h e S e n i o r House O f f i c e r S c a l e , recommended by both sides*, and c o s t i n g £0.8m.
Those c o v e r e d would g e t an i n c r e a s e o f 14.1%;
a r e d u c t i o n i n t h e number o f working hours a t which j u n i o r h o s p i t a l d o c t o r s q u a l i f y f o r i n c r e a s e d o n - c a l l a l l o w a n c e s .
S i n c e t h i s i s d e s i g n e d t o encourage a u t h o r i t i e s t o r e d u c e t h e p u r s worked, i t i s recommended t h a t i t be t r e a t e d a s a n i l t i t e m .
,ce movements e l s e w h e r e i W B o d i e s ' recommendations compare w i t h :
,-year i n c r e a s e i n u n d e r l y i n g •average e a r n i n g s f o r t h e
!
m y of 8.75%
i n November;
an averse l e v e l of s e t t l e m e n t s f o r t h e whole economy s i n c e t h e s t a r t or t h e pay round
( c o v e r i n g 30% o f employees) o f 6.25%.
I n t h e p r i v a t e s e c t o r t h e f i g u r e i s 6.5%;
y e a r - o n - y ^ ? ^ i n c r e a s <
i n t h e R P I of 6.8% i n December,
111 a
## Proposals
srned have d i s c u s s e d what t h e r e s p o n s e o f
^e Review Body r e p o r t s , t a k i n g account o f
:e f o r Wales i n a minute t o t h e Prime They h a v e r e a c h e d t h e f o l l o w i n g f o r c o n s i d e r a t i o n by t h e C a b i n e t .
5.
M i n i s t e r s d i r e c t l y t h e Government s h o u l d be v i e w s by t h e S e c r e t a r y ο M i n i s t e r d a t e d
13 F e b r u c o n c l u s i o n s and recommenda
6.
The recommendations of t P r o f e s s i o n s A l l i e d t o Medicine and H e a l t h V i s i t o r s s h o u l d be a c
7.
The recommendations o f t h e To be a c c e p t e d i n f u l l , s u b j e c t t o recommended t h a t t h e pay o f 2 - s t a r f i r s t performance p o i n t f o r Grade c o n s i d e r t h a t i t would be wrong i n p r i r i performance element t o a performance p o & t .
On t h e o t h e r hand, t h e y a l s o thought t h a t 2 - s t a r o f f i c e r s s h o u l d r e c e i v e a s a l a r y a t about t h e l e v e l recommended by t h e TSRB, and t h a t a between t h e pay o f s e n i o r o f f i c e r s and o f c i v i l s e r v a n t s must b t h e v i e w t h a t t h e pay o f 2 - s t a r o f f i c e r s sho n o r m a l l y a t t a i n a b l e maximum of Grade 2 c i v i l s t h e pay p o i n t f o r
3 - s t a r o f f i c e r s ) .
T h i s would s a l a r y a t t h e l e v e l recommended by TSRB.
8.
The recommendations by t h e D o c t o r s and Den s h o u l d a l s o be a c c e p t e d , e x c e p t f o r i n c r e a s e s , i n g e n e r a l 8% i n c r e a s e , a t t h e t o p o f t h e c o n s u l t a n t s '
s i z e o f c o n s u l t a n t s '
d i s t i n c t i o n awards (paragraphs 3 i M i n i s t e r s were o f t h e view t h a t t h e s e recommendations b i g i n c r e a s e s f o r c o n s u l t a n t s and t h a t t h e Review o b j e c t i v e o f improving t h e l o n g - t e r m c a r e e r s t r u c t u r e f d o c t o r s would be a c h i e v e d by t h e p r o p o s a l i n t h e White P a p e r V ^ f r k i n g f o r P a t i e n t s " , t o c r e a t e 100 a d d i t i o n a l , permanent c o n s u l t a # T 5 p s t s o v e r t h e n e x t 3 y e a r s .
The recommendation t o i n c r e a s e t h e n u ^^ | ׳p f d i s t i n c t i o n awards (paragraph
3 i i i above) s h o u l d however be a c < 5 e ^ d ^
!
C
O
N
F
I
D
E
N
T
I
A
L
!
iyiew Bodies on t h e Armed F o r c e s , l u r s e s and N u r s i n g S t a f f , Midwives i n f u l l .
r i e s Review Body s h o u l d a l s o p o i n t .
The Review Body e r s s h o u l d be l i n k e d t o t h e v i l s e r v a n t s .
M i n i s t e r s p i e t o l i n k pay which has no a i n e d .
They came t o around 85%
of t h e s
(which i s a l s o
β-star o f f i c e r s a Review Body i o n t o t h e and i n t h e a b o v e ) . produce s t a t e d p i t a l
9.
As t o f i n a n c i n g , t h e c o s t of t h e awards by t h e Top S a l a r i e s R e v i e w Body and t h e Armed F o r c e s Pay^
Review Body c a n be a f f o r d e d
} w i t h i n c u r r e n t p r o v i s i o n . The awards for t h e NHS groups would i n v o l v e c o s t of £248m i n e x c e s s o f c u r r e n t p r o v i s i o n , a f t e r a l l o w i n g f o r t h e itement f o r c o n s u l t a n t s d e s c r i b e d i n paragraph 8.
£62m of t h i s i s t t h e F a m i l y P r a c t i o n e r S e r v i c e , and f a l l s on t h e R e s e r v e .
Of t h e c o s t f a l l i n g on t h e H o s p i t a l and Community H e a l t h S e r v i c e s , £44m
1
be met from w i t h i n t h e NHS, w i t h t h e r e m a i n i n g £142m coming from
^erve.
L a s t y e a r t h e Government met t h e e x c e s s c o s t of t h e iody awards i n f u l l , and M i n i s t e r s thought i t important t o esta1$^2^l t h e p r i n c i p l e t h a t t h i s would not n e c e s s a r i l y happen every y e a r .
10. The groups but a l l o w i n g would be me1
f c l i n i c a l a c a d e m i c s i s kept i n l i n e w i t h t h a t of DDRB
s on t h e DES. The c o s t i n e x c e s s o f p r o v i s i o n , a f t e r abatement f o r c o n s u l t a n t s , would be £2.8m, which the R e s e r v e .
s a l a r y and t h e Lord C h i e f J u s t i c e ' s , i n r e d G o v e r n m e n t p o l i c y .
T h i s r e q u i r e s a n both Houses of P a r l i a m e n t and has i n t h e i t y f o r debate on t h e whole TSRB
r e p o r t .
Government should u s e t h e o p p o r t u n i t y o f amentary p e n s i o n s t o remove t h i s r e q u i r e -
1 1 . There i s Vio P a r l i a m e n t a r y p r o c e s s f o r t h e Review Body r e p o r t s , e x c e p t t h a t an Order i s n e c e s s a r y t o m a i n t a i n t h e d i f f e r e n t i a l between t h e L o r d C h a n c e l l a c c o r d a n c e w i t h A f f i r m a t i v e Resolu'
p a s t c r e a t e d an op M i n i s t e r s thought th'
n e x t S e s s i o n ' s B i l l on ment.
Teachers'
Pay
12. The S e c r e t a r y of S t a t e r e p o r t of t h e I n t e r i m A d v i s o C o n d i t i o n s
( I A C ) .
They reco:
E n g l a n d and Wales from 1 A p r i l b i l l .
The main recommendations i .
a 6% i n c r e a s e i n t h e Main Pr i i . a 7% i n c r e a s e i n t h e v a l u e **o f** U
1989.
i i i a 7.5% i n c r e a s e i n t h e s p o t s a l a r i e s of heads and d e p u t i e s from
1 A p r i l
1989.
i v . a 5.6% u p l i f t i n London Weighting from
1
v i . an a d d i t i o n a l 9,500 i n c e n t i v e a l l o w a n c e s M i n i s t e r s were of t h e v i e w t h a t t h e IAC recomm a c c e p t e d , b u t t h a t t h e Government s h o u l d not pa e x t r a g r a n t t o f i n a n c e them.
## Announcement
13. M i n i s t e r s c o n s i d e r t h a t t h e r e i s a s t r o n g c a s e f o r a^^n^uAcing t h e Government's d e c i s i o n s q u i c k l y .
D e c i s i o n s on Review Body r a j f e ^ t s have g e n e r a l l y been announced by way of a W r i t t e n Answer t o a w ^ u r a n g e d P a r l i a m e n t a r y Q u e s t i o n .
Arrangements have been made t o puCr^ptawn a W r i t t e n Q u e s t i o n f o r answer tomorrow, Thursday 16 F e b r u a r y . ^^£-vthe C a b i n e t approve t h e p r o p o s a l s d e s c r i b e d i n t h i s note, t h ^ ^ ^ f i i p e C
O
N
F
I
D
E
N
T
I
A
L
] ־CMO u n t i l 17 F e b r u a r y ^ 8 9
i o n and S c i e n c e has r e c e i v e d t h e i t t e e on S c h o o l T e a c h e r s יPay and i n c r e a s e s f o r s c h o o l t e a c h e r s i n t h a t would add 6.3% t o t h e pay p n a l Grade from 1 A p r i l 1989
i v e a l l o w a n c e s from 1 A p r i l ons should be
.
1
a u t h o r i t i e s M i n i s t e r w i l l announce t h e d e c i s i o n s i n an Answer on t h e l i n e s o f t h e d r a f t a t t a c h e d a t Annex A, which w i l l become p u b l i c a t 4pm tomorrow i f t e r n o o n .
At t h e same t i m e , t h e S e c r e t a r y of S t a t e f o r E d u c a t i o n
^ 1 1
announce t h e d e c i s i o n s on t h e IAC r e p o r t by way of a n o t h e r
1!±ten Answer, of which a d r a f t i s a t Annex B.
ROBIN BUTLER
C a b i n e t O f £ £ £ e ^
15 February<I^iW
## D R A F T Written Answer
The
1989
r e p o r t s of t h e Review B o d i e s on t h e pay of N u r s i n g S t a f f , Midwives and H e a l t h V i s i t o r s , and P r o f e s s i o n s A l l i e d t o M e d i c i n e , t h e Doctors and D e n t i s t s , and t h e Armed F o r c e s , and of t h e Top S a l a r i e s Review Body, have been p u b l i s h e d today.
C o p i e s a r e now a v a i l a b l e i n t h e Vote O f f i c e .
The Government a r e g r a t e f u l t o members of t h e r e v i e w b o d i e s f o r t h e s e r e p o r t s and t h e time and c a r e which t h e y have put i n t o t h e i r p r e p a r a t i o n .
The f o l l o w i n g t a b l e shows t h e i n c r e a s e s i n pay r a t e s recommended by t h e r e v i e w b o d i e s , and t h e i r c o s t :
Review Body reports Pay b i l l i n c r e a s e ,
| | per | cent. |
|-----------------------|-----------------|-----------------|
| Armed | | F o r c e s |
| 6.8 | 5-8 | 272 |
| D o c t o r s | and | d e n t i s t s |
| 8.8 | | |
| 8-14.1 | 312 | |
| P r o f e s s i o n s | | a l l i e d |
| t o | m e d i c i n e | |
| 7.7 | 7.6-7.8 | 43 |
| N u r s i n g | s t a f f , | midwives |
| and | h e a l t h | |
| 6.8 | | |
| (2) | | |
| 6.7-6.9 | | |
| 420 | | |
| Top | | s a l a r i e s |
| 6.5 | 4.9-10 | |
| (3) | | |
| 6 | | |
(1) The f i g u r e s f o r p u b l i c e x p e n d i t u r e c o s t d i f f e r from t h o s e i n t h e r e v i e w b o d i e s ' r e p o r t s .
T h e i r f i g u r e s do not i n c l u d e some c o s t s w h i c h count as p u b l i c e x p e n d i t u r e .
The f i g u r e f o r d o c t o r s and d e n t i s t s i n c l u d e s payments f o r GPs יe x p e n s e s , not counted a s pay.
The f i g u r e f o r n u r s e s i n c l u d e s £5m f o r t h e f l e x i b l e pay e x p e r i -
ment and an e s t i m a t e d £3 m i l l i o n f o r a new g r a d i n g s t r u c t u r e f o r e d u c a t i o n a l g r a d e s , w h i c h t h e Review Body has not y e t c o s t e d .
(2) T h r e e C h i e f Area Nurses grade 4 i n S c o t l a n d w i l l g e t i n c r e a s e s o f
10-13.6%.
(3) T h i s f i g u r e does not a l l o w f o r t h e recommendation t o i n c r e a s e from 25% t o 35% t h e quota o f c i v i l s e r v a n t s i n Grades 2 and 3
e l i g i b l e f o r d i s c r e t i o n a r y i n c r e m e n t s .
The f i g u r e f o r t h e pay b i l l i n c r e a s e does however a l l o w f o r t h i s .
The f i g u r e g i v e n f o r t h e r a n g e o f i n c r e a s e s a l s o e x c l u d e s r e s t r u c t u r i n g f o r 13
I m m i g r a t i o n A d j u d i c a t o r s who r e c e i v e i n c r e a s e s of 2 7 . 1 % , and f o r t h e C h i e f Immigration A d j u d i c a t o r and t h e V i c e - P r e s i d e n t s of t h e I m m i g r a t i o n Appeal T r i b u n a l , who g e t 28.3%.
Range of
i n c r e a s e ,
per cent.
UK
P u b l i c
Expenditure
Cost
(1)
£ M i l l i o n
The Government have d e c i d e d t o a c c e p t i n f u l l t h e Review b o d i e s '
recommendations on t h e armed f o r c e s , on p r o f e s s i o n s a l l i e d t o medic i n e , and on n u r s i n g s t a f f , midwives and h e a l t h v i s i t o r s .
The Government have a l s o d e c i d e d t o a c c e p t t h e recommendation o f t h e r e v i e w body on d o c t o r s and d e n t i s t s f o r a b a s i c i n c r e a s e o f 8%
f o r a l l t h e groups c o v e r e d .
I n t h e Government's v i e w t h e c r e a t i o n o f 100
a d d i t i o n a l permanent c o n s u l t a n t p o s t s o v e r t h e n e x t
3
y e a r s , a s proposed i n t h e White P a p e r , "Working f o r P a t i e n t s " , w i l l b e s t a c h i e v e t h e o b j e c t i v e of i m p r o v i n g t h e l o n g - t e r m c a r e e r s t r u c t u r e f o r h o s p i t a l d o c t o r s .
The c r e a t i o n o f t h e s e p o s t s w i l l t h e r e f o r e t a k e t h e p l a c e o f the i n c r e a s e s recommended, i n a d d i t i o n t o t h e 8% b a s i c i n c r e a s e , a t t h e t o p of t h e c o n s u l t a n t s '
s c a l e and i n t h e s i z e o f c o n s u l t a n t s '
d i s t i n c t i o n awards.
S u b j e c t t o t h i s , t h e Government a c c e p t s t h e Review Body's recommendations.
The Government have d e c i d e d t o a c c e p t t h e recommendations o f t h e Top S a l a r i e s Review Body i n f u l l , e x c e p t t h a t t h e y c o n s i d e r t h a t t h e pay o f 2 - s t a r o f f i c e r s s h o u l d be around 85% of t h e n o r m a l l y a t t a i n a b l e maximum of Grade 2 c i v i l s e r v a n t s
(which i s a l s o t h e pay p o i n t f o r
3 - s t a r o f f i c e r s ) r a t h e r t h a n l i n k e d t o a performance p o i n t f o r Grade 3
c i v i l s e r v a n t s .
T h i s would g i v e t h e 2 - s t a r o f f i c e r a s a l a r y a t t h e l e v e l recommended by t h e TSRB.
The f u l l c o s t o f t h e awards by t h e Armed F o r c e s Pay Review Body and Top S a l a r i e s Review Body groups w i l l be met from w i t h i n e x i s t i n g p u b l i c e x p e n d i t u r e programme t o t a l s f o r t h i s y e a r .
I n t h e c a s e of t h e h e a l t h s e r v i c e s however t h e Government r e c o g n i s e t h a t t h e f u l l c o s t s c o u l d n o t be accommodated w i t h o u t a d v e r s e l y a f f e c t i n g s e r v i c e s t o p a t i e n t s .
The Government have t h e r e f o r e d e c i d e d t o p r o v i d e an e x t r a
£142m f o r h e a l t h a u t h o r i t y c a s h l i m i t s from t h e R e s e r v e f o r n e x t y e a r .
Of t h e r e m a i n i n g c o s t ,
£417m i s a l r e a d y f u l l y c o v e r e d w i t h i n t h e a l l o c a t i o n s made f o r t h i s y e a r , l e a v i n g a b a l a n c e o f £44m t o be c o v e r e d from c o s t improvements.
The Government have s i m i l a r l y d e c i d e d t o p r o v i d e an a d d i t i o n a l £62m t o t h e F a m i l y P r a c t i t i o n e r S e r v i c e s from t h e R e s e r v e f o r t h i s y e a r .
T o g e t h e r w i t h t h e i n c r e a s e s i n a l l o c a t i o n a l r e a d y announced, t h e i n c r e a s e i n p r o v i s i o n f o r t h e N a t i o n a l H e a l t h S e r v i c e i n 1989-90 o v e r 1988-89 w i l l t h e r e f o r e be £1899m.
The pay r a t e s and s c a l e s r e s u l t i n g from t h e d e c i s i o n s w i l l be promulgated a s soon a s p o s s i b l e f o r a l l t h e groups c o n c e r n e d .
Q u e s t i o n :
To a s k t h e S e c r e t a r y of S t a t e f o r E d u c a t i o n and S c i e n c e , when t h e s e c o n d R e p o r t of t h e I n t e r i m A d v i s o r y Committee on S c h o o l T e a c h e r s ' Pay and C o n d i t i o n s w i l l be p u b l i s h e d .
Answer :
MR KENNETH BAKER
I t i s b e i n g p u b l i s h e d t o d a y .
I t s main recommendations a r e a 6% i n c r e a s e i n t h e main p a y s c a l e f o r t e a c h e r s from 1 A p r i l
1989
a 7% i n c r e a s e i n t h e v a l u e o f t h e f i v e r a t e s of i n c e n t i v e a l l o w a n c e s from 1 A p r i l
1989
a 7.5% i n c r e a s e i n t h e s a l a r i e s of t h e
55,000
Heads and D e p u t i e s from 1 A p r i l
1989
an e x t r a 9,500 i n c e n t i v e a l l o w a n c e s f o r t h e
1989-90 a c a d e m i c y e a r , on t o p o f t h e a d d i t i o n a l 18,000 a l r e a d y p l a n n e d a 5.6% i n c r e a s e i n London a l l o w a n c e s from 1
J u l y 1988.
I p r o p o s e t o a c c e p t t h e Committee's recommendations i n f u l l .
I
am t o d a y i n i t i a t i n g t h e c o n s u l t a t i o n r e q u i r e d by S e c t i o n 3 ( 1 ) of t h e T e a c h e r s ' Pay and C o n d i t i o n s A c t
1987
by w r i t i n g t o t h e r e l e v a n t l o c a l a u t h o r i t y a s s o c i a t i o n s , t e a c h e r u n i o n s and b o d i e s r e p r e s e n t i n g t h e i n t e r e s t s o f t h e g o v e r n o r s o f v o l u n t a r y s c h o o l s , s e t t i n g o u t my p r o p o s a l s .
The t e x t o f t h e l e t t e r i s a s f o l l o w s :
[ t e x t o f c o n s u l t a t i o n l e t t e r ]
LETTER FROM THE SECRETARY OF STATE FOR EDUCATION AND SCIENCE TO
THE RELEVANT LOCAL AUTHORITY ASSOCIATIONS, TEACHER UNIONS AND
BODIES REPRESENTING THE INTERESTS OF THE GOVERNORS OF VOLUNTARY
SCHOOLS
## Teachers Pay And Conditions Of Employment
1 .
On 14 September 1988 I a s k e d t h e I n t e r i m A d v i s o r y Committee on S c h o o l T e a c h e r s Pay and C o n d i t i o n s t o examine and r e p o r t t o me on c e r t a i n i s s u e s .
I e n c l o s e a copy o f t h e Committee's r e p o r t w h i c h i s b e i n g p u b l i s h e d today.
The Committee's recommendations a r e summarised i n C h a p t e r 9 of i t s r e p o r t .
I propose t o make an O r d e r g i v i n g e f f e c t t o t h e recommendations r e f e r r e d t o i n p a r a g r a p h s 2 - 3 below.
But b e f o r e I t a k e a d e c i s i o n on what p r o v i s i o n t h e o r d e r s h o u l d make, I i n v i t e your v i e w s .
T h i s l e t t e r t h e r e f o r e i n i t i a t e s t h e c o n s u l t a t i o n r e q u i r e d by S e c t i o n 3 ( 1 ) of t h e T e a c h e r s ' Pay and C o n d i t i o n s A c t 1987.
2.
I p r o p o s e t o a c c e p t t h e Committee's recommendations t h a t i .
t h e s a l a r i e s of a l l q u a l i f i e d t e a c h e r s s h o u l d be r a i s e d by a u n i f o r m 6% t o t h e f i g u r e s s e t out i n p a r a g r a p h 4.13 of t h e Committee's r e p o r t w i t h e f f e c t from 1 A p r i l 1989;
i i .
t h e s a l a r i e s of u n q u a l i f i e d t e a c h e r s s h o u l d be r a i s e d by t h e same p e r c e n t a g e ,
( p a r a g r a p h
4 . 1 3 ) .
The a l l o w a n c e f o r t e a c h e r s of t h e v i s u a l l y i m p a i r e d and h e a r i n g i m p a i r e d would a l s o be i n c r e a s e d by 6%;
i i i . t h e s p o t s a l a r i e s f o r Heads and D e p u t i e s s h o u l d be i n c r e a s e d by 7.5% w i t h e f f e c t from
1 A p r i l 1989, ( p a r a g r a p h 4 . 2 1 ) ;
i v .
t h e r a t e s of t h e London a r e a a l l o w a n c e s s h o u l d be i n c r e a s e d by 5.6% w i t h e f f e c t from
1 J u l y 1988, ( p a r a g r a p h 5 . 1 6 ) ;
t h e v a l u e o f e a c h o f t h e i n c e n t i v e a l l o w a n c e s s h o u l d be i n c r e a s e d by 7% w i t h e f f e c t from 1 A p r i l 1989, ( p a r a g r a p h
4 . 3 4 ) ;
t h e p l a n n e d number o f i n c e n t i v e a l l o w a n c e s s h o u l d be expanded from September 1989 by 9,500 (5,000 e x t r a A a l l o w a n c e s ; 2,500 Β
a l l o w a n c e s ; 1,500 C a l l o w a n c e s and 500 D
a l l o w a n c e s ) : ( p a r a g r a p h s 4.31 and 4 . 3 2 ) .
T h e r e w i l l need t o be some c o n s e q u e n t i a l r e v i s i o n s t o t h e l i m i t s r e l a t i n g t o i n c e n t i v e a l l o w a n c e s i n Annex A t o Appendix I of t h e S c h o o l T e a c h e r s Pay and C o n d i t i o n s Document 1988,
( p a r a g r a p h
4 . 3 3 ) .
3.
The Committee makes a number o f o t h e r recommendations w h i c h would r e q u i r e amendments t o t h e S c h o o l T e a c h e r s ' Pay and C o n d i t i o n s Document 1988 ( t h e
1988 Document):
a.
t h a t t e a c h e r s r e t u r n i n g t o r e g u l a r f u l l - t i m e
o r p a r t - t i m e t e a c h i n g s h o u l d be p a i d on r e - e n t r y a t no l o w e r p o i n t on t h e m a i n s c a l e
t h a n
when l a s t employed a s a r e g u l a r f u l l - t i m e o r
p a r t - t i m e t e a c h e r ( p a r a g r a p h 5.21)
b.
t h a t , c o n t i n g e n t upon t h e i n t r o d u c t i o n of t h e
proposed l i c e n s e d t e a c h e r a r r a n g e m e n t s , t h e r e
s h o u l d be d i s c r e t i o n f o r l o c a l a u t h o r i t i e s o r
g o v e r n o r s , a s . a p p r o p r i a t e , t o pay l i c e n s e d t e a c h e r s a t e i t h e r q u a l i f i e d o r u n q u a l i f i e d
r a t e s ( p a r a g r a p h 5.26)
c.
t h a t l o c a l a u t h o r i t i e s ( a n d , a t t h e
a p p r o p r i a t e p o i n t , g o v e r n o r s of s c h o o l s w i t h
d e l e g a t e d b u d g e t s ) s h o u l d be g i v e n d i s c r e t i o n
to a c c e l e r a t e a t e a c h e r ' s p r o g r e s s i o n t o t h e
top of t h e m a i n s c a l e ( p a r a g r a p h 5.29)
d.
t h a t once t h e n e c e s s a r y r e g u l a t i o n s under S e c t i o n 218 of t h e E d u c a t i o n Reform A c t have been made, a t e a c h e r who i s awarded Q u a l i f i e d T e a c h e r S t a t u s (QTS) r e t r o s p e c t i v e l y s h o u l d be e n t i t l e d t o r e c e i v e back pay from any a u t h o r i t y h e / s h e h a s worked f o r from t h e d a t e from w h i c h h i s / h e r q u a l i f i c a t i o n r u n s , t o make good any d i f f e r e n c e between what he/she was a c t u a l l y p a i d up t o t h e p o i n t when QTS
was awarded and what he/she would have been e n t i t l e d t o a s a q u a l i f i e d t e a c h e r
( p a r a g r a p h
5.41)
t h a t t h e d i s c r e t i o n s o v e r pay and c o n d i t i o n s c u r r e n t l y e x e r c i s e d by l o c a l e d u c a t i o n a u t h o r i t i e s s e t o u t i n Appendix I of t h e r e p o r t s h o u l d be t r a n s f e r r e d t o g o v e r n i n g b o d i e s of s c h o o l s w i t h budgets d e l e g a t e d under C h a p t e r I I I o f P a r t I o f t h e E d u c a t i o n Reform A c t 1988 ( p a r a g r a p h 7.24) and t h a t t h e d e c i s i o n on w h e t h e r i t i s " r e a s o n a b l y p r a c t i c a b l e t o p r o v i d e a s u p p l y t e a c h e r "
s h o u l d t r a n s f e r t o t h e g o v e r n o r s i n t h o s e s c h o o l s where t h e g o v e r n i n g body have been made r e s p o n s i b l e , under t h e r e l e v a n t LMS
scheme, f o r managing t h e arrangements f o r p r o v i d i n g s u p p l y t e a c h e r s ( p a r a g r a p h
7.26)
t h a t t h e f u n c t i o n s , b o t h mandatory and d i s c r e t i o n a r y , c u r r e n t l y a l l o c a t e d t o LEAs under t h e 1988 Document s h o u l d be a l l o c a t e d t o g o v e r n i n g b o d i e s of g r a n t m a i n t a i n e d
(GM)
s c h o o l s ( p a r a g r a p h
7.28)
t h a t where a GM s c h o o l was f o r m e r l y a v o l u n t a r y s c h o o l , a head t e a c h e r s h o u l d c a r r y out h i s / h e r p r o f e s s i o n a l d u t i e s i n a c c o r d a n c e w i t h any t r u s t deed a p p l y i n g t o t h e s c h o o l
( p a r a g r a p h
7.29)
t h a t s a l a r y s a f e g u a r d i n g on a d i s c r e t i o n a r y b a s i s and d i s c r e t i o n a r y s a f e g u a r d i n g on London a l l o w a n c e and s o c i a l p r i o r i t y a l l o w a n c e s h o u l d a p p l y i n both d i r e c t i o n s between a GM s c h o o l and i t s former m a i n t a i n i n g a u t h o r i t y ( p a r a g r a p h 7.31)
i .
t h a t t h e p r o v i s i o n i n r e l a t i o n t o c o v e r a t
sub p a r a g r a p h
3 5 ( 9 ) ( b ) ( i i ) of t h e
1988
Document s h o u l d be amended i n
t h e d i r e c t i o n
of w o r d i n g s u g g e s t e d by t h e P r o f e s s i o n a l
A s s o c i a t i o n of T e a c h e r s ( p a r a g r a p h 8.9)
j .
t h a t t h e r e f e r e n c e t o payment f o r
midday
s u p e r v i s i o n a t p a r a g r a p h 23 of t h e
1988
Document s h o u l d be d e l e t e d ( p a r a g r a p h 8.14)
k.
t h a t t h e r e f e r e n c e t o e d u c a t i o n
l e g i s l a t i o n
i n t h e " o v e r r i d i n g r e q u i r e m e n t s " s e c t i o n of
head t e a c h e r s c o n d i t i o n s of employment -
p a r a g r a p h 2 7 ( i ) of t h e 1988 Document - s h o u l d be updated t o i n c l u d e t h e E d u c a t i o n Reform A c t 1988 ( p a r a g r a p h 8.24)
1 .
t h a t s p e c i f i c r e f e r e n c e s h o u l d be made i n
b o t h head t e a c h e r s and s c h o o l t e a c h e r s
c o n d i t i o n s of s e r v i c e t o t h e B a s i c
( i n c l u d i n g
N a t i o n a l ) C u r r i c u l u m , and, i n
t h e c a s e of
head t e a c h e r s , t o t h e c o l l e c t i v e
w o r s h i p
r e q u i r e m e n t s of t h e E d u c a t i o n Reform A c t
( p a r a g r a p h 8.25)
I propose t o a c c e p t a l l t h e s e recommendations.
4.
The Order I p r o p o s e t o make t o g i v e e f f e c t t o a l l of t h e above would do s o by b r i n g i n g i n t o e f f e c t a new S c h o o l T e a c h e r s '
Pay and C o n d i t i o n s Document.
The Committee's r e m a i n i n g recommendations do n o t r e q u i r e changes t o t h e 1988 Document: I do n o t t h e r e f o r e p r o p o s e t o change t h e document i n r e s p o n s e t o t h o s e recommendations.
Nor i s i t i n t e n d e d t o r e v i s e t h e RSG
s e t t l e m e n t s f o r
1989-90 on a c c o u n t o f t h e p r o p o s a l s s e t out i n p a r a g r a p h s 2 and 3 above.
The c o s t w i l l be o f f s e t i n p a r t by t h e g r e a t e r t h a n e x p e c t e d r e d u c t i o n i n t h e employers' c o n t r i b u t i o n s t o t h e T e a c h e r s S u p e r a n n u a t i o n Scheme w h i c h I announced on
10
F e b r u a r y .
5.
Any comments on the p r o p o s a l s s e t out above and on any o t h e r m a t t e r s r a i s e d i n t h e r e p o r t a r e i n v i t e d by 10 March.
I f you would l i k e t o e x p r e s s y o u r v i e w s i n a m e e t i n g would you l e t my o f f i c e know of t h i s as soon a s p o s s i b l e so t h a t any m e e t i n g s c a n t a k e p l a c e b e f o r e E a s t e r .
6.
F o l l o w i n g t h e s e c o n s u l t a t i o n s a new S c h o o l T e a c h e r s ' Pay and C o n d i t i o n s Document w i l l be p r e p a r e d .
T h e r e w i l l t h e n be o p p o r t u n i t y t o comment on t h e p r e c i s e w o r d i n g of t h e amendments p r i o r t o t h e p u b l i c a t i o n of t h e new Document and t h e l a y i n g b e f o r e P a r l i a m e n t of an O r d e r w h i c h w i l l g i v e e f f e c t t o i t s p r o v i s i o n s .
7.
The I n t e r i m A d v i s o r y Committee s a y t h a t t h e y hope i t w i l l be p o s s i b l e f o r a copy of t h e r e p o r t t o be s e e n by t e a c h e r s i n e v e r y m a i n t a i n e d s c h o o l .
Enough c o p i e s of t h e r e p o r t a r e b e i n g s e n t t o e a c h l o c a l e d u c a t i o n a u t h o r i t y f o r a copy t o be c i r c u l a t e d i n e a c h s c h o o l .
THIS DOCUMENT I S
THE
PROPERTY OF HER BRITANNIC MAJESTY'S
GOVERNMENT
C ( 8 9 ) 5
March
1989
CABINET
THE L E G I S L A T I V E PROGRAMME 1989-90
Memorandum by t h e L o r d P r e s i d e n t
## Background And Proposed Programme
i s e d a y e a r ago ( C C ( 8 8 ) 9 t h M e e t i n g ) , the p r e s e n t
a t t h e
l i m i t s o f
what c a n
be
managed, and t h i s v e r y
to have a knock-on e f f e c t on the s t a r t i n g date
As t h e C a b i n e t
s e s s i o n ' s
progrAjjsame
heavy programme 1
i s e s s e n t i a l , however, t h a t we p l a n f o r
t h e
t h i s P a r l i a m e n t t o
b e g i n a t the c o n v e n t i o n a l
me must be c o n s t r u c t e d w i t h both these
so r e c o g n i s e t h a t t h e r e a r e some n e c e s s a r y
f o r
the n e x t
s e s s i
f o u r t h ( 1 9 9 0 - 9 1 )
s e s
t i m e .
Next s e s s i o n ' s
p r e s s u r e s i n mind. We
l e f o r a f o u r t h o r f i f t h s e s s i o n o f t h e
ave a s t r o n g c l a i m on next s e s s i o n ' s
B i l l s which would n o t be
P a r l i a m e n t and
w h i c h t h e r
programme.
E q u a l l y , t h e r e
s u i t a b l e f o r t h e l a t e r
s e s s i
c o u l d be d e f e r r e d w i t h t h a t i n mind.
2.
T a k i n g a l l t h e s e c o n s i d e r a
F u t u r e L e g i s l a t i o n Committee
(QL
c o n s u l t a t i o n w i t h c o l l e a g u e s and
η
Annex A. The
main elements of the p^
d i f f e r e n t c h a r a c t e r from those of r e c
d i t t e r e n t c n a r a c t e r irom
m
u
s
e
u
! i ^ w i y i c a t o ,
._ _״
״
t h e C o u r t s and
L e g a l S e r v i c e s B i l l ,
t h e ^ y j j ^ J r B i l l ,
t h e
E n v i r o n m e n t a l
P r o t e c t i o n
B i l l ,
the H e a l t h S e r v i c e s B i l W ^ a n d the Human F e r t i l i s a t i o n and
Embryology ( C o n t r o l ) B i l l .
The
programmeM:ontains s e v e r a l B i l l s which
would be c o n t r o v e r s i a l and w i l l consume a good d e a l o f time i n both
Houses. One p a r t i c u l a r d i f f i c u l t y i s t h a t amendm&jjts t o the a b o r t i o n
l a w
a r e l i k e l y t o
be w i t h i n the scope o f the Human / i i r t m l i s a t i o n
and
Embryology ( C o n t r o l ) B i l l , and t h i s i s bound t<vc£nJ|W:<cate the
B i l l ' s
passage.
3.
The
programme which QL recommend i s a g a i n a t t
be d e l i v e r e d i n
the s e s s i o n , and t h e r e i s no c o n t i n g e
u n f o r e s e e a b l e
e x t r a s .
Once a g a i n I must a s k c o l l e a g u e
s i g n i f i c a n t a d d i t i o n s to the programme would need t o
be
ο r e d u c t i o n s .
COPY NO
.er B i l l s t h a t would be p e r f e c t l y
a c c o u n t , The
Queen's Speech
and
een through the u s u a l p r o c e s s o f
oses the programme s e t out a t
programme, which has a v e r y
'ears, a r e the B r o a d c a s t i n g
B i l l ,
:s o f
what
can
^gin
f o r
~ept t h a t
any
yby matching
## ! C O N F I D E N T I A L !
B I L L S NOT RECOMMENDED FOR INCLUSION
4.
A l i s t o f the B i l l s which QL d e c i d e d not
t o i n c l u d e i n t h e
recommended programme i s a t
Annex B. As u s u a l , t h e l i s t c o n t a i n s a number
of a t t r a c t i v e b i d s , and
I p a r t i c u l a r l y draw the C a b i n e t ' s a t t e n t i o n t o the
guments which were put
t o
QL i n
f a v o u r o f
t h e f o l l o w i n g :
Town and
Country P l a n n i n g
B i l l
B i l l would p r o v i d e f o r changes t o l a n d compensation
ngements, which would be o f h e l p i n
c o n n e c t i o n w i t h major
t r u c t u r e p r o j e c t s such a s
t h e
c h a n n e l t u n n e l r a i l
l i n k ; changes
elopment p l a n s , which were t h e
s u b j e c t o f
a White Paper
d l a s t month; c h a r g i n g f o r a p p e a l s , which should h e l p t o
e the b a c k l o g o f p l a n n i n g a p p l i c a t i o n s
and
a p p e a l s ; and, s u b j e c t
l e a g u e s ' p o l i c y agreement, measures on p l a n n i n g enforcement,
which i s a s u b j e c t on which t h e r e i s widespread
p u b l i c concern.
T h e r e i s c l e g j r l y a s t r o n g c a s e f o r proceeding q u i c k l y w i t h t h i s
B i l l ,
but p l a n n i i i g ^ r e t o i s a p o l i t i c a l l y
l i v e l y i s s u e and, a l t h o u g h the
B i l l
would p r o t y t i l y j i h e no more than 30-40 c l a u s e s , i t would undoubtedly
t a k e up a goqy^^׳l o f P a r l i a m e n t a r y time.
( b )
Open
Mar
r T r a d e and
I n d u s t r y has i n d i c a t e d t h a t ,
i n
be p r e p a r e d to t r i m t h i s t o
a
B i l l
s t r i c t i v e t r a d e p r a c t i c e s and, i f t h e r e
uses on consumer c r e d i t .
Both
t h e
nd I n d u s t r y and the C h a n c e l l o r o f t h e
The S e c r e t a r y
o f
o r d e r t o a s s i s t QL,
c o n t a i n i n g 50 c l a u s e
was room, a f u r t h e r 3
S e c r e t a r y of S t a t e f o r
E x c h e q u e r emphasised
i s an i m p o r t a n t element o f
c o m p e t i t i o n and
promoting eripffr
out i n
a Green Paper p u b l i s h e
were i n t r o d u c e d n e x t s e s s i o n i t
background f o r the L o r d
C h a n c e l
s e r v i c e s , and the
c o r r e s p o n d i n g
consumer c r e d i t , which i s a l s o
o f
welcome i n v i e w o f c u r r e n t c o n c e r n s
( c )
Road T r a f f i c
B i l l
The S e c r e t a r y o f S t a t e f o r T r a n s p o r t has י1
p r e p a r e d t o t r i m t h i s
B i l l t o
a 70 c l a u s e me
North Review o f
Road T r a f f i c Law,
t o g e t h e r
amendments t o the Road T r a f f i c A c t . The White
Government's response t o the North Review, which
month, h a s
been e x t r e m e l y w e l l r e c e i v e d . The
r e f
law i s w i d e l y seen t o
be overdue and l e g i s l a t i o n woul
a l l
s i d e s .
The S e c r e t a r y o f S t a t e f o r T r a n s p o r t
i s
t h e Government would be c r i t i c i s e d f o r d e l a y and woul
i n i t i a t i v e i f l e g i s l a t i o n were not
brought i n a t
t h e f i r ,
o p p o r t u n i t y .
We might a l s o be f a c e d w i t h a number of P r
Members' B i l l s n e x t s e s s i o n , s e e k i n g t o l e g i s l a t e on eleme
own White Paper p r o p o s a l s .
l a t i o n on r e s t r i c t i v e t r a d e p r a c t i c e s
vernment's p o l i c y o f
i n c r e a s i n g
e. The p o l i c y p r o p o s a l s were s e t
y e a r .
P r o v i d e d t h a t the
B i l l
p r o v i d e a v e r y h e l p f u l
i l l on the r e f o r m o f l e g a l
measure.
L e g i s l a t i o n on
e r e g u l a t o r y n a t u r e , would be
out c r e d i t
p r a c t i c e s .
t h a t he would be
to implement
t h e
m i s c e l l a n e o u s
e t t i n g out the
b l i s h e d
l a s t
oad
t r a f f i c
lcomed on
ed t h a t
he
## ! C O N F I D E N T I A L !
I n each o f t h e s e c a s e s , QL r e c o g n i s e d t h a t t h e r e were p o w e r f u l arguments
f o r
proceeding i n
t h e
1989-90 S e s s i o n , but
were s i m p l y unable t o f i n d room
i n the programme. QL c o n s i d e r e d t h a t a l l t h r e e B i l l s would be s u i t a b l e
f o r a f o u r t h S e s s i o n .
## Aration And Handling Of B I L L S
u s u a l , I must i n v i t e c o l l e a g u e s t o t a k e a p a r t i c u l a r i n t e r e s t i n the t i m e l y p r e p a r a t i o n o f B i l l s f o r which they a r e r e s p o n s i b l e ,
a t e
the g r e a t e f f o r t s t h a t were made t o
have most o f
our
m a j o r
a t
the b e g i n n i n g o f the p r e s e n t s e s s i o n , and i t i s e s s e n t i a l
£t t h a t performance t h i s y e a r as i t p r o v i d e s t h e f o u n d a t i o n
the whole s e s s i o n ' s b u s i n e s s . The
management o f t h e
^ l s o
depends on
a r e a s o n a b l e number o f
w e i g h t y
B i l l s
b e i n g
programme
i n t r o d u c e
i n the House o f
L o r d s .
The
L o r d P r i v y S e a l and
I w i l l once
a g a i n be l o o k i n g t o c o l l e a g u e s t o cooperate w i t h us i n making
t h e
n e c e s s a r y
c h o i c e s
## Conclusion
I
i n v i t e t h e
( a )
t o approve
t o f B i l l s a t
Annex A a s t h e
rogramme f o r n e x t s e s s i o n ,
hould now
be put
i n hand;
p r o v i s i o n a l
l e g i s l '
on which p r e p a r a t o r y
( b )
t o
endorse the c
about the p r e p a r a t i o n
an'
P r i v y C o u n c i l O f f i c e
7 March
1989
i n paragraph 5 above
ing o f B i l l s .
## B I L L S Recommended For Inclusion I N Τ 989/90 Programme Essential
DTp C i v i l A v i a t i o n A u t h o r i t y v e r y s h o r t
(Borrowing L i m i t s )
To i n c r e a s e t h e c e i l i n g on a g g r e g a t e b o r r o w i n g by t h e C i v i l A v i a t i o n A u t h o r i t y .
## Contingent
DEn C o a l I n d u s t r y s h o r t To i n c r e a s e t h e s t a t u t o r y l i m i t on r e s t r u c t u r i n g g r a n t s p a y a b l e t o t h e B r i t i s h C o a l C o r p o r a t i o n (BCC)
and/or t o change BCC's c a p i t a l .
FCO
F i j i s h o r t To make p r o v i s i o n consequent upon F i j i ' s p o s s i b l e d e p a r t u r e from t h e Commonwealth. FCO
P a k i s t a n s h o r t To make p r o v i s i o n consequent upon P a k i s t a n ' s p o s s i b l e r e a d m i s s i o n t o t h e Commonwealth.
## Programme With Essential Elements
HO
B r o a d c a s t i n g l o n g
(150-200 c l a u s e s )
To implement t h e b r o a d c a s t i n g White Paper ( i n c l u d i n g r e o r g a n i z a t i o n o f independent t e l e v i s i o n
( e s s e n t i a l ) ) ; t o r e f o r m commercial r a d i o ;
to s t r e n g t h e n p r o v i s i o n s on b r o a d c a s t i n g s t a n d a r d s ; and m i s c e l l a n e o u s o t h e r measures. LCD
C o u r t s and L e g a l S e r v i c e s l o n g
( c 70 c l a u s e s )
To make r e f o r m s i n t h e o r g a n i s a t i o n o f t h e l e g a l p r o f e s s i o n s and i n the c i v i l j u s t i c e system; t o b r i n g j u d i c i a l p e n s i o n s i n t o l i n e w i t h t h e r e q u i r e m e n t s o f t h e S o c i a l S e c u r i t y A c t s 1985
and 1986
( e s s e n t i a l ) ; and m i s c e l l a n e o u s o t h e r measures.
HMT
P e n s i o n s ( M i s c e l l a n e o u s s h o r t P r o v i s i o n s )
To p r o v i d e f o r p e n s i o n s i n c r e a s e f o r widowers i n a c c o r d a n c e w i t h EC
r e q u i r e m e n t s
( e s s e n t i a l ) ; and t o s c o r e t h e c o s t o f p e n s i o n s i n c r e a s e i n t e a c h e r s יand NHS
1
n o t i o n a l f u n d s .
## Programme
MAFF
Food l o n g To r e p l a c e t h e Food A c t s f o r E n g l a n d and Wales and f o r S c o t l a n d w i t h a comprehensive and modernized GB
A c t .
DES
T e a c h e r s
1 Pay and C o n d i t i o n s s h o r t To e s t a b l i s h a permanent s t a t u t o r y framework f o r d e t e r m i n i n g t e a c h e r s ' pay.
DES
S t u d e n t Support s h o r t To e s t a b l i s h t h e S e c r e t a r y o f S t a t e ' s powers t o s e c u r e t h e p r o v i s i o n of l o a n s t o s t u d e n t s i n h i g h e r e d u c a t i o n i n England, Wales and S c o t l a n d .
DEmp Employment ( e x c l u d i n g t o u r i s m medium p r o v i s i o n s )
To make f u r t h e r r e f o r m s o f t r a d e u n i o n l a w ;
and t o a b o l i s h t h e Wages C o u n c i l s y s t e m .
DOE
E n v i r o n m e n t a l P r o t e c t i o n l o n g To p r o v i d e f o r v a r i o u s improvements i n e n v i r o n m e n t a l p r o t e c t i o n l e g i s l a t i o n i n c l u d i n g t h e i n t r o d u c t i o n o f an i n t e g r a t e d s y s t e m o f c o n t r o l o v e r i n d u s t r i a l p o l l u t i o n and r e f o r m o f t h e l a w on waste d i s p o s a l .
DOE
Crown S u p p l i e r s v e r y s h o r t To f a c i l i t a t e t h e p r i v a t i s a t i o n o f t h e Crown S u p p l i e r s .
DH
H e a l t h S e r v i c e s l o n g To implement t h e White Paper on t h e r e f o r m o f t h e N a t i o n a l H e a l t h S e r v i c e .
(c 100 c l a u s e s )
( c 100 c l a u s e s )
DH
Human F e r t i l i s a t i o n and Embryology s u b s t a n t i a l
( C o n t r o l )
(40-50
c l a u s e s )
To implement t h e White Paper on Human F e r t i l i s a t i o n and Embryology a r i s i n g i n p a r t from t h e Warnock R e p o r t .
HO
Mutual A s s i s t a n c e s u b s t a n t i a l To e n a b l e t h e UK t o j o i n i n i n t e r n a t i o n a l arrangements f o r mutual l e g a l a s s i s t a n c e .
HO
R e p r e s e n t a t i o n of t h e People s h o r t To r e f o r m t h e l a w on v o t i n g f o r B r i t i s h c i t i z e n s r e s i d e n t o v e r s e a s ;
and t o s i m p l i f y t h e l a w on a b s e n t v o t i n g f o r t h o s e who move house. SO
S c o t t i s h E n t e r p r i s e and New Towns l o n g
( S c o t l a n d )
To e s t a b l i s h S c o t t i s h E n t e r p r i s e t o r e p l a c e t h e S c o t t i s h Development Agency and t h e T r a i n i n g Agency i n S c o t l a n d ; t o p r o v i d e powers t o r e c o n s t r u c t development c o r p o r a t i o n s יl i a b i l i t i e s ; and t o e x t e n d powers f o r w i n d i n g up development c o r p o r a t i o n s .
SO
Law Reform ( M i s c e l l a n e o u s P r o v i s i o n s )
l o n g
( S c o t l a n d )
( c 50 c l a u s e s )
To r e f o r m r e s t r i c t i v e p r a c t i c e s i n t h e l e g a l p r o f e s s i o n s i n S c o t l a n d and t o make m i s c e l l a n e o u s improvements t o S c o t t i s h a d m i n i s t r a t i o n of j u s t i c e and c r i m i n a l law.
DSS
S o c i a l S e c u r i t y s u b s t a n t i a l To make f u r t h e r r e f o r m s t o s o c i a l s e c u r i t y l e g i s l a t i o n .
DTI
E x p o r t C r e d i t and I n v e s t m e n t medium G u a r a n t e e s
( c 15 c l a u s e s )
To e n a b l e t h e E x p o r t C r e d i t G u a r a n t e e s Department t o t a k e advantage of c a p i t a l market developments.
DTp Highways and T r a n s p o r t s u b s t a n t i a l
( P r i v a t e F i n a n c e ) ( e x c l u d i n g non-highways p r o v i s i o n s )
To e s t a b l i s h new p r o c e d u r e s f o r a u t h o r i s i n g p r i v a t e l y f i n a n c e d roads;
and t o amend t h e Highways A c t and t h e P u b l i c U t i l i t i e s S t r e e t Works A c t .
( c 30 c l a u s e s )
DTp A v i a t i o n and Marine S e c u r i t y s h o r t To p r o v i d e f o r p r o s e c u t i o n o r e x t r a d i t i o n i n r e s p e c t o f t e r r o r i s t a c t s a g a i n s t s h i p s , o f f s h o r e p l a t f o r m s and a t a i r p o r t s ; and t o t i g h t e n powers r e l a t i n g t o a i r p o r t , f e r r y and p o r t s e c u r i t y .
HMT
Government T r a d i n g Funds s h o r t To widen powers f o r Next S t e p s A g e n c i e s t o be t a k e n o u t o f t h e Vote a c c o u n t i n g s y s t e m .
HMT
P a r l i a m e n t a r y P e n s i o n s s h o r t To i n t r o d u c e new p e n s i o n s arrangements f o r t h e Prime M i n i s t e r , Speaker and L o r d C h a n c e l l o r ; and t o p r o v i d e f o r s e v e r a n c e pay f o r House o f Commons M i n i s t e r s .
UNCONTROVERSIAL .
MOD
Greenwich H o s p i t a l v e r y s h o r t To remove c o n s t r a i n t s on t h e a d m i s s i o n o f p u p i l s t o t h e R o y a l H o s p i t a l S c h o o l .
FCO
P r o t o c o l s A d d i t i o n a l t o t h e v e r y s h o r t Geneva C o n v e n t i o n s To e n a b l e t h e UK t o r a t i f y a d d i t i o n a l p r o t o c o l s t o t h e Geneva C o n v e n t i o n s .
LCD
C o n t r a c t s medium To e n a b l e t h e UK t o r a t i f y t h e
1980
Rome C o n v e n t i o n on t h e l a w on c o n t r a c t u a l r e l a t i o n s .
## B I L L S Not Recommended For Inclusion I N 1989/90 Programme Programme
MAFF
A g r i c u l t u r a l M a r k e t i n g s h o r t To a b o l i s h t h e p o t a t o and wool p r i c e s u p p o r t regimes and p o s s i b l y t o amend t h e p o t a t o m a r k e t i n g scheme.
.MAFF
S l a u g h t e r h o u s e s medium To extend t h e S l a u g h t e r h o u s e s A c t
1974
t o farmed d e e r and r a b b i t s ; t o s t r e n g t h e n w e l f a r e c o n t r o l s on s l a u g h t e r i n g ; and t o p r o v i d e f o r r e c o v e r y o f Government c o s t s f o r i n s p e c t i n g p i g s l a u g h t e r h o u s e s .
MAFF
A g r i c u l t u r e C a p i t a l G r a n t s v e r y s h o r t
( E x p e n d i t u r e Management)
To f a c i l i t a t e t r a n s f e r o f p r o v i s i o n f o r farm c a p i t a l g r a n t s t o a c a s h l i m i t e d V o t e .
MAFF
F o r e s t r y v e r y s h o r t To i n c r e a s e t h e maximum membership o f f o r e s t r y r e g i o n a l a d v i s o r y committees.
MOD
Defence R e s e a r c h Agency s h o r t To f a c i l i t a t e p o s s i b l e f o r m a t i o n o f MOD'S r e s e a r c h e s t a b l i s h m e n t s i n t o a Government owned p i c .
DE
Employment
( t o u r i s m p r o v i s i o n s v e r y s h o r t o n l y )
To r e o r g a n i z e arrangements f o r promoting t o u r i s m .
DES
R e s e a r c h C o u n c i l s R e o r g a n i s a t i o n s h o r t To merge v a r i o u s R e s e a r c h C o u n c i l s . DOE
Town and Country P l a n n i n g s u b s t a n t i a l
(30-40 c l a u s e s )
To p r o v i d e f o r changes t o l a n d compensation a r r a n g e m e n t s ; r e f o r m o f development p l a n system; c h a r g i n g f o r a p p e a l s ; and measures on p l a n n i n g enforcement.
DOE
Commons l o n g To p r o v i d e f o r more e f f e c t i v e management o f , and improved a c c e s s t o , common l a n d .
FCO
D i p l o m a t i c and C o n s u l a r P r e m i s e s v e r y s h o r t
( D i s t u r b a n c e s )
To c o n t r o l d e m o n s t r a t i o n s which d i s t u r b E m b a s s i e s and C o n s u l a t e s .
FCO
C h i n a I n d e m n i t y ( A p p l i c a t i o n )
s h o r t To wind up t h e a f f a i r s o f t h e C h i n e s e Government P u r c h a s i n g Commission and t o p r o v i d e f o r t h e a p p l i c a t i o n of i t s r e m a i n i n g f u n d s .
DH
R e g i s t r a t i o n S e r v i c e s s u b s t a n t i a l To modernise R e g i s t r a t i o n S e r v i c e p r o c e d u r e s .
HO
C r i m i n a l J u s t i c e ( e x c e p t mutual l o n g a s s i s t a n c e p r o v i s i o n s )
To make improved p r o v i s i o n f o r punishment i n t h e community; t o r e f o r m t h e l a w on p a r o l e ; t o w i t h d r a w t h e r i g h t t o j u r y t r i a l f o r minor t h e f t ; t o r e f o r m t h e l a w on t h e r i g h t o f s i l e n c e ; and t o make p r o v i s i o n f o r p r i v a t e s e c t o r i n v o l v e m e n t i n t h e remand system.
HO
Summer Time v e r y s h o r t To c o o r d i n a t e time w i t h o t h e r EC c o u n t r i e s and a l l o w more summer time i n t h e UK.
HO
Shops s h o r t To r e l a x r e s t r i c t i o n s on Sunday t r a d i n g .
LCD
Commonhold and Land O b l i g a t i o n s l o n g To f a c i l i t a t e t h e t r a n s f e r and management o f i n t e r d e p e n d e n t p r o p e r -
t i e s .
OAL
Museums and G a l l e r i e s medium To r e g u l a r i s e t h e f u n d i n g s t a t u s o f N a t i o n a l Museums and G a l l e r i e s ; to g r a n t c o r p o r a t e s t a t u s t o t h e t r u s t e e s o f c e r t a i n g a l l e r i e s and t o e n a b l e them t o d i s p o s e o f o b j e c t s i n t h e i r c o l l e c t i o n s .
(over 100 c l a u s e s )
( c 35 c l a u s e s )
(90-100 c l a u s e s )
(c 25 c l a u s e s )
DTI
Open Markets long
(c 110 c l a u s e s )
To r e f o r m t h e l a w on r e s t r i c t i v e p r a c t i c e s ; consumer c r e d i t ; w e i g h t s and measures; t h e s a l e and s u p p l y o f goods; and s t a t i s t i c s o f t r a d e .
DTI
P r i v a t i s a t i o n s u b s t a n t i a l
( M i s c e l l a n e o u s P r o v i s i o n s )
(30-40 c l a u s e s )
To f a c i l i t a t e t h e p r i v a t i s a t i o n of t h e N a t i o n a l E n g i n e e r i n g L a b o r a t o r y and t h e B r i t i s h Technology Group; and t o r e o r g a n i s e B r i t i s h S h i p b u i l d e r s i n t o a r e s i d u a r y body.
DTp Road T r a f f i c l o n g
( c 130 c l a u s e s )
To r e f o r m road t r a f f i c l e g i s l a t i o n i n t h e l i g h t o f t h e North Review;
t o make m i s c e l l a n e o u s o t h e r r e f o r m s t o t r a f f i c law; and t o e a s e s t a t u t o r y r e q u i r e m e n t s on o p e r a t o r s o f goods v e h i c l e s .
DTp Highways and T r a n s p o r t s u b s t a n t i a l P r i v a t e F i n a n c e (nonhighways p r o v i s i o n s )
To compel l o c a l a u t h o r i t i e s t o p r i v a t i s e t h e i r bus companies and t o complete t h e c o n v e r s i o n of t h e p o r t s t o a p r i v a t e s e c t o r i n d u s t r y .
## Oncontroversial
LCD
C i v i l J u r i s d i c t i o n and Judgements medium To g i v e e f f e c t t o t h e Lugano C o n v e n t i o n on c i v i l j u r i s d i c t i o n and t h e r e c o g n i t i o n and enforcement o f judgements. | en |
1929-pdf | England and Wales Ministry of Justice Statistics bulletin Published 16 May 2013
## Contents
| Executive Summary | 4 |
|---------------------------------------------------|-----|
| | |
| Introduction | 5 |
| | |
| Deaths reported | 9 |
| | |
| Post-mortem examinations held and inquests opened | 11 |
| | |
| Inquest verdicts returned | 15 |
| | |
| Treasure and Treasure Trove | 21 |
| | |
| Map 7 | |
| | |
| Coroner districts in England and Wales, 2012 | 23 |
| | |
| Annex A: Analysis of Unclassified verdicts | 25 |
| | |
| Explanatory notes | 34 |
| | |
| Glossary | 37 |
| | |
| Contacts | 40 |
| | |
| | |
## Executive Summary
This bulletin presents statistics of coroners' work during the calendar year
2012, including deaths reported, post-mortems, and inquests (including those for treasure and treasure trove). These figures are used to monitor coroners'
workload, throughput of cases, and percentages of post-mortems and inquests. In previous years this report was entitled "Statistics on deaths reported to coroners, England and Wales, (year)".
Some 227,721 deaths were reported to coroners in 2012, an increase of
5,350 (two per cent) from the 2011 figure.
The proportion of all registered deaths reported to coroners was an
estimated 46 per cent in 2012, the same as in 2011. Over the last five years this proportion has been relatively consistent, within the range 46 to 47 per cent.
The estimated average time taken to process an inquest in 2012 (defined
as being from the time the death was reported until the conclusion of the
inquest, where the death occurred in England and Wales) was 26 weeks, slightly less than the last three years' figure of 27 weeks. The maximum time taken to process an inquest in 2012 was 53 weeks, and the minimum time was eight weeks.
Verdicts of suicide rose by one per cent in 2012 compared to 2011, from
3,471 to 3,515.
Also rising were the number of unclassified verdicts, a category which
includes narrative verdicts, which are a factual record of how and in what circumstances the death occurred, often returned where the cause of
death does not easily fit any of the standard short-form verdicts.
As in recent years, the most common verdicts returned at inquests were
death from natural causes (in 29 per cent of cases) and death by accident
or misadventure (26 per cent).
## Introduction
This annual bulletin presents statistics of deaths reported to coroners in England and Wales in 2012 in accordance with section 28 of the Coroners Act
1988. Information is provided on deaths reported to coroners, post-mortem examinations and inquests held, and verdicts returned at inquests. The data are collected via statistical returns completed by coroners. In previous years this report was entitled "Statistics on deaths reported to coroners, England and Wales, (year)". For previous editions of this report please see:
www.gov.uk/government/publications/coroners-statistics-ns This publication should be read alongside the statistical tables which accompany it, also found via the link above.
## Background
In England and Wales, coroners are required by law to hold an inquest into violent, unnatural, sudden deaths of unknown cause, and those deaths which occur in prison or police custody. When investigating a death, it is the coroner's duty to establish who the deceased was, and how, when and where the death occurred. At the close of an inquest, coroners (or juries if they have been summoned) are required to return a verdict covering these questions and to certify the verdict in an inquisition (the written record of the inquest). In the majority (86 per cent) of deaths reported to them, however, coroners'
investigations are concluded without an inquest being held. The coroner will have satisfied themselves, by means of a post-mortem examination or other investigation, on the physical cause of death, and that the death was not one on which he or she is required by law to hold an inquest. Verdicts are returned in nearly all inquests (97 per cent). The exceptions are inquests adjourned by the coroner if, for example, criminal proceedings take place. The inquest is usually not resumed because the relevant evidence has been heard elsewhere. Nearly all inquests (98 per cent) are held by a coroner sitting alone, without a jury, but a jury must be summoned in some circumstances, for example where the death occurred in prison or police custody. A coroner may request that a post-mortem be conducted, whether or not an inquest is held, particularly if the cause of death is not clear. In many cases a post-mortem examination may take place in order to determine whether or not an inquest is necessary. Figure 1 shows the possible outcomes involved when a death is reported to a coroner.
Deaths registered in England and Wales Deaths abroad
(1,766)
Deaths reported to coroners
(227,721)
Post Mortem
(94,814)
In England and Wales a coroner also handles investigations regarding finds reported to them under the provisions of the Treasure Act 1996. The coroner will inquire into any treasure which is found in their districts and establish who the finders were. The Explanatory Notes section at the end of this report provides brief definitions for some of the terms used in this report, information about statistical revisions, and the symbols and conventions used. If you have any feedback, questions or requests for further information about this statistics bulletin, please direct them to the appropriate contact given at the end of this report.
## Related Statistics
All deaths in England and Wales must be registered with the Registrar of Births and Deaths. For those deaths where a coroner conducts an inquest, the death will be registered at the conclusion of the inquest, and the cause of death classified according to the verdict returned by the coroner. Statistics on
registered deaths in England and Wales are published by the Office for National Statistics (ONS) in their series on mortality statistics. These can be accessed from the ONS website at:
www.statistics.gov.uk/hub/population/deaths/mortality-rates/index.html For annual summary of monthly figures please see: www.ons.gov.uk/ons/rel/vsob2/monthly-figures-on-deaths-registered-by-areaof-usual-residence--england-and-wales/index.html The Ministry of Justice's coroner statistics differ from ONS figures because they count two different, albeit related, events. The Ministry of Justice's coroner statistics provide the number of deaths which are reported to coroners in England and Wales. These include deaths reported to coroners which occurred outside England and Wales. The ONS' mortality statistics, based on death registrations, report the number of deaths registered (irrespective of whether a coroner has investigated) in England and Wales in a particular year, and therefore do not include deaths that occurred outside England and Wales.
The proportion of deaths which are reported to coroners has been estimated2
using death registration figures published by ONS. Estimates for 2012 have been calculated using ONS' monthly provisional figures on death registrations, while percentages for 2011 and earlier years have been calculated using final annual death registration figures for the relevant year.
For the first time this publication includes figures for deaths which occurred in state custody. Statistics on deaths in prison custody are also published by NOMS, accessible via the following link:
www.gov.uk/government/publications/safety-in-custody The figures for deaths in custody in this publication relate only to those deaths which have been reported to a coroner, whereas the NOMS publication includes all deaths which have occurred in prison custody and those which occurred whilst the offender was released on temporary licence (ROTL) for medical reasons. The Youth Justice Board also include figures for deaths of young people
(under 18) in custody in the Youth Justice Statistics publication, accessible via the link below: www.gov.uk/government/publications/youth-justice-statistics
For further information on criminal convictions of homicide please refer to Volume 5 of the Ministry of Justice publication Criminal Justice Statistics, available at the following link: www.gov.uk/government/organisations/ministry-of-justice/series/criminaljustice-statistics The Criminal Justice Statistics publication includes figures on the number of prosecutions and convictions of homicide. The Coroner Statistics publication records the number of verdicts of homicide recorded by coroners at inquests so these numbers are not directly comparable as the Criminal Justice Statistics covers all prosecutions and convictions for homicide, while the coroner data only covers cases where a verdict of homicide has been given at an inquest.
## Deaths Reported
The number of deaths reported to coroners in 2012 rose by 5,350 (two per cent) from the previous year, from 222,371 in 2011 to 227,721 during 2012, reflecting the increase in the number of deaths registered in England and Wales. The proportion of registered deaths in the calendar year 2012 that were reported to coroners in 2012 was an estimated 46 per cent, the same as in 2011. This percentage has shown a slight downward trend over the last few years. Map 1 below shows deaths reported in each coroner jurisdiction in 2012 as a percentage of the population.
Over the last decade, the number of registered deaths has decreased from
535,356 in 2002 to 499,3263 in 2012; however the number has fluctuated in recent years. The number of deaths reported to coroners has stayed within the range of 222,371 and 234,784 over the last ten years, varying between 42 and 47 per cent of registered deaths (see Table 2 in the statistical tables).
## Post-Mortem Examinations Held And Inquests Opened
Post-mortem examinations were ordered by coroners in 42 per cent of all cases reported to them in 2012, a slight decrease compared to 2011, and continuing the existing downward trend (see Table 3). Over the last ten years the percentage of post-mortems ordered has decreased by ten percentage points from 117,684 to 94,814. The actual number of deaths reported to coroners in 2012 where a postmortem was held was 94,814, some 860 more than in the previous year, reflecting in part the increase in the total number of reported deaths.
Inquests were opened on 32,542 deaths reported to coroners in 2012, an increase of 1,561 on 2011. Inquest cases represented 14 per cent of all the deaths reported to coroners in 2012, a small increase, and continuing a longterm rising trend. Over the last ten years the percentage of inquest cases has increased by three percentage points.
## Post-Mortems In Inquest Cases
When an inquest is held a post-mortem examination has usually been conducted, and in 2012 post-mortems were conducted in 87 per cent of such cases. This is a lower proportion than in the previous year by one percentage point, and continues a shallow declining trend over the past decade. Prior to the late 1990s, the holding of an inquest without a post-mortem examination was comparatively rare, accounting for around two per cent or less of inquest cases every year. In 2012 there were 4,263 inquests without a post-mortem representing 13 per cent of inquests, this is over three times the number reported ten years ago.
## Post-Mortems In Non-Inquest Cases
In the majority (86 per cent) of cases referred to coroners there is no inquest. In 2012, there were 66,535 non-inquest cases where a post-mortem was held, and the percentage of non-inquest cases that required a post-mortem fell to 34 per cent. This proportion has fallen steadily in recent years; in 2002 it was 47 per cent of all non-inquest cases.
## Cases Requiring Neither An Inquest Nor A Post-Mortem
There were also 128,578 cases reported to coroners where there was neither an inquest nor a post-mortem. This particular category of case has generally been increasing in number in recent years (in 2002 there were 106,248 such cases). In addition, the percentage of cases where there was neither an inquest nor a post-mortem examination has increased, as a proportion of all deaths reported to coroners, from around 47 per cent in 2002, to 56 per cent in 2012.
## Post-Mortem Rates, Histology4 And Toxicology5
Post-mortems can be classed as either standard or non-standard, depending on the cost of the examination. A non-standard post-mortem is charged at a higher rate than a standard post-mortem and is defined as a post-mortem which requires special skills. A non-standard post-mortem could, for example, require a paediatric or specialist pathologist. In 2012, 95 per cent of postmortems were ordered at a standard rate, a slight decrease compared to 96 per cent in 2011 (see Table 4). In 2012, 18,700 post-mortems included histology (20 per cent of postmortems held), which was 750 more than in 2011, an increase of one percentage point. 12,613 post-mortems held in 2012 included toxicology (13
per cent of post-mortems held), the same percentage as in 2011.
## Out Of England Orders
Every person who wishes to remove a body of a deceased person out of England and Wales must give notice of such intention to the coroner within whose jurisdiction the body is lying. When the coroner gives permission for the removal of the body an Out of England order is issued. Coroners issued 5,030 Out of England orders in 2012, compared with 5,008
issued in 2011. In both years the number of orders issued represented just over two per cent of the total number of deaths reported to coroners (see Table 5). Of the 227,721 deaths reported to coroners in 2012, some 1,766 (less than one per cent) were reports of deaths that had occurred outside England and Wales, the same percentage reported in 2011.
## Deaths In Custody
In 2012 a total of 281 deaths were reported to coroners which occurred in state custody6; less than one per cent of the total number of deaths reported.
The highest number (152 or 54 per cent of the total) occurred in Prison custody, followed by 93 (33 per cent) in Mental Health Act detention centres (see Table 6).
## Inquest Verdicts Returned
Verdicts were returned at 30,123 inquests in 2012, which was 265 more than in 2011. As in previous years the most common verdicts in 2012 were death from natural causes (8,849, or 29 per cent), and death by accident or misadventure (7,705, or 26 per cent). Unclassified verdicts, which include narrative verdicts, represented 15 per cent of the total, and verdicts of suicide comprised 12 per cent in 2012 (see Tables 7 and 9). Map 4 shows the percentage of suicide verdicts in each coroner district.
In 2010, verdicts of death from natural causes for the first time became the most frequently recorded. This category was again the most frequent in 2011 and 2012. Unclassified verdicts saw the largest rise in terms of numbers; an increase of 234 (five per cent) from 4,400 in 2011 to 4,634 in 2012. Because of the overall rise in the number of verdicts returned, there were rises in several categories. There were decreases in the numbers of verdicts in a few categories over the past year, which included a 34 per cent drop in verdicts of homicide (Killed lawfully or Killed unlawfully), from 237 to 1587. The number of verdicts of
death from non-dependent abuse of drugs dropped by 27 per cent (down from
188 to 138), however this is effectively cancelled out by the 23 per cent increase in verdicts of death from dependence on drugs (up from 215 to 265).
The rise in unclassified verdicts is due to the increasing use of what are known as 'narrative verdicts' by some coroners (see the paragraph on trends, below). A narrative verdict is where, instead of a conventional verdict, at the end of the inquest the coroner records a factual record of how and in what circumstances the death occurred. As well as narrative verdicts, this category also includes short non-standard verdicts which a coroner or jury might return when the circumstances do not easily fit any of the standard verdicts. Please see Annex A for further analysis of narrative verdicts. Verdicts of death from natural causes are tending to rise steadily, and there is also a steady and steeper rise in the number of unclassified, including narrative, verdicts. There is a long-term slight downward trend in the numbers of verdicts of suicide, though there are fluctuations within that trend, and a more definite downward trend in the number of verdicts of accidental death. As a proportion of verdicts delivered by coroners during a calendar year, there are four main trends, two rising, and two falling:
verdicts of death from natural causes have risen steadily from 19 per cent
in 2002 to more than 29 per cent in 2012;
unclassified verdicts (which include narrative verdicts, as explained above)
formed two per cent of the total in 2002, but have since risen steadily to account for over 15 per cent of verdicts in 2012;
verdicts of death by accident or misadventure have been declining
steadily, from 40 per cent of verdicts in 2002 to 26 per cent in 2012;
open verdicts have been declining over the same period, particularly over
the last few years, they accounted for just under seven per cent of the total in 2012 compared with ten per cent in 2002.
*Killed unlawfully, Killed lawfully, Attempted or self-induced abortion, Cause of death aggravated by lack of care, or self-neglect, Want of attention at birth, Stillborn, Disasters, Dependence on drugs, Non-dependent abuse of drugs, Open verdicts
## Differences In Verdicts By Sex
The pattern of verdicts differs between males and females. Male deaths accounted for about 67 per cent of all verdicts returned in 2012, however they accounted for 53 per cent of deaths reported; suggesting males are more likely to die in circumstances that lead to an inquest. Female deaths accounted for about 33 per cent of all verdicts returned in 2012 (and 47 per cent of deaths reported).
Of the 3,515 verdicts of suicide, 79 per cent were for males and 21 per
cent for females
Of the 2,059 open verdicts, 71 per cent were for males and 29 per cent for
females, and
36 per cent of the 8,849 verdicts of death from natural causes were for
females, the remaining 64 per cent were for males.
## Age Of Deceased In Inquests Where A Verdict Was Returned
Since 2008, coroners have been asked to provide information (in summary form) on the ages of persons whose deaths proceeded to inquest and a verdict returned during the year. Of the inquests completed in 2012, 48 per cent were on persons who were aged 65 years or over at death. Less than eight per cent of inquests concluded were into deaths of persons aged under 25 (see Table 8).
## Inquests With Juries, And Adjourned Inquests
Nearly all inquests concluded in 2012, as in other years, were held without juries. The number of inquests held with juries in 2012 was 472 (representing just two per cent of all inquests), and a decrease of 10 compared to 2011.
Both the number and proportion of inquests held with juries showed a downward trend until recent years but the trend appears now to have halted, with the proportion remaining around two per cent for the last five years. Nevertheless, the proportion of inquests held with juries has fallen from three per cent of inquests concluded in 2002, to two per cent in 2012 (see Table 10). Some 943 inquests (representing three per cent of all inquests concluded)
were adjourned by the coroner under Section 168 of the Coroners Act 1988
because criminal proceedings took place, and subsequently were not resumed. This level is comparable to that generally prevailing in recent years.
8 Section 16 of the Coroners Act 1988 states that the coroner should adjourn an inquest in the event of criminal proceedings.
## Time Taken To Process An Inquest
The estimated9 average time taken to process an inquest in 2012 (defined as being from the time the death was reported until the conclusion of the inquest)
was 26 weeks to the nearest whole week (see Table 10).
The average time taken has slightly increased since the present system of estimating this average was introduced in 2004, when it was 22 weeks, although it has decreased slightly from the 2011 average of 27 weeks. Only deaths occurring within England and Wales are included in this estimation.
More information about how the average time has been estimated can be found in the Explanatory Notes section. The maximum time taken to process an inquest in 2012 was 53 weeks, and the minimum time was eight weeks. The time taken has a relatively large range of 45 weeks, which could be due to the fact that coroners' caseloads can vary greatly and a direct comparison is therefore not advised.
## Treasure And Treasure Trove
On 24 September 1997, the Treasure Act 1996 came into force and replaced the common law of Treasure Trove in England and Wales. The 1996 Act introduced new requirements for reporting and dealing with finds. Not all finds need be the subject of an inquest. For more information please see; www.legislation.gov.uk/ukpga/1996/24/contents In 2012, 750 finds were reported and 355 inquests were concluded, from which a verdict declaring a find to be treasure was returned in 337 cases (see Table 11). There were two inquests held into Treasure Trove in 2012 (relating to finds made before the current Act came into force), and it is likely that a few such inquests will continue to be held from time to time. The number of finds reported has been steadily increasing over the last ten years, although in 2012 there was a slight decrease of six per cent compared to 2011. The number of verdicts of treasure in 2012 was exactly the same as the number recorded in 2011 (337), however the proportion of treasure inquests which resulted in a verdict of treasure increased slightly, from 93 per cent in
2011 to 95 per cent in 2012. An annual report on the operation of the Treasure Act 1996 is published by the Department for Culture, Media and Sport. For more information please see:
www.gov.uk/government/organisations/department-for-culture-mediasport/series/treasure-and-portable-antiquities-statistics
## Map 7 Coroner Districts In England And Wales, 2012 Key To Jurisdictions North East 109 - North Tyneside
101 - Darlington and South Durham
110 - Sunderland
102 - North Durham
North West
103 - Hartlepool 104 - North Northumberland
201 - Cheshire
105 - South Northumberland
203 - South and East Cumbria
106 - Teesside
204 - North and West Cumbria
107 - Gateshead and South Tyneside
205 - Manchester (city)
108 - Newcastle upon Tyne
206 - Manchester North North West (continued)
207 - Manchester South 208 - Manchester West 209 - Blackburn, Hyndburn and Ribble Valley
210 - Blackpool and Fylde 211 - East Lancashire 212 - Preston and West Lancashire 213 - Sefton, Knowsley and St Helens 214 - Liverpool 215 - Wirral Yorkshire and the Humber
301 - East Riding and Hull 302 - North Lincolnshire and Grimsby 303 - York City
304 - North Yorkshire - East
305 - North Yorkshire - West 306 - South Yorkshire - East 307 - South Yorkshire - West 308 - West Yorkshire - East 309 - West Yorkshire - West East Midlands
401 - Derby and South Derbyshire 402 - North Derbyshire 403 - Leicester and South Leicestershire 404 - North Leicestershire and Rutland 406 - Central Lincolnshire 408 - South Lincolnshire 409 - Northamptonshire 410 - Nottinghamshire West Midlands
501 - Herefordshire 502 - North Shropshire 503 - South Shropshire 504 - Staffordshire South
505 - Stoke-on-Trent and North Staffordshire 506 - Telford and Wrekin 507 - Warwickshire 508 - Birmingham and Solihull 509 - Black Country 510 - Coventry 512 - Worcestershire East of England
601 - Bedfordshire and Luton 602 - North and East Cambridgeshire 603 - South and West Cambridgeshire 604 - Essex and Thurrock 605 - Hertfordshire 607 - Norfolk 609 - Peterborough 610 - Southend on Sea 611 - Suffolk
London
701 - City of London [not visible] 702 - East London 703 - Inner London North
704 - Inner London South 705 - Inner London West 706 - North London 707 - South London 708 - West London
South East
801 - Berkshire
802 - Brighton and Hove
803 - Buckinghamshire 804 - East Sussex
805 - Central Hampshire
806 - North East Hampshire 807 - Portsmouth and South East Hampshire 808 - Southampton and New Forest 809 - Isle of Wight 810 - Central and South East Kent 811 - Mid Kent and Medway 812 - North East Kent 813 - North West Kent 814 - Milton Keynes 815 - Oxfordshire 816 - Surrey 817 - West Sussex
South West
901 - Avon 902 - Cornwall 903 - Exeter and Greater Devon 904 - Plymouth and South West Devon 905 - Torbay and South Devon 906 - Bournemouth and Eastern Dorset 907 - Western Dorset
908 - Gloucestershire 909 - Isles of Scilly 910 - Eastern Somerset 911 - Western Somerset 912 - Wiltshire and Swindon
Wales 1001 - Bridgend and Glamorgan Valleys 1002 - Cardiff and Vale of Glamorgan 1003 - Carmarthenshire 1004 - Central North Wales 1005 - Ceredigion 1006 - Gwent 1007 - Neath and Port Talbot 1008 - North East Wales 1009 - North West Wales 1010 - Pembrokeshire 1011 - Powys 1012 - City and County of Swansea
## Annex A: Analysis Of Unclassified Verdicts Summary
This research aims at unpacking the reasons behind the rise of 1,477 in the "Unclassified verdicts" category over the last five years. To investigate this increase we asked two independent assessors to analyse a random sample of 2,196 "Unclassified verdicts" recorded between 2007 and 2011. The analysis shows that there is scope for introducing a new short-form category: "Medical or surgical intervention unsuccessful". This category accounts for around 25 per cent of the total (varying between 17 and 33 per cent). The analysis also shows a substantial agreement between the two independent assessors (Kappa coefficient of 0.61). However, there could be tighter guidance on the definition of which verdicts belong to each short-form category - there was some disagreement on whether some verdicts were correctly classified. The paper also explored the hypothesis that suicide verdicts are 'hidden' within the "Unclassified verdicts" category. The analysis showed that the overall percentage of "Could indicate suicide" verdicts within the "Unclassified verdicts" category is around six per cent.
## Introduction
Coroners in England and Wales are required to submit at the end of each calendar year a statistical return to the MoJ, which includes the number of inquest verdicts returned, broken down by category of verdict. In addition to the fourteen short-form categories10 there is a category for "Unclassified verdicts", which includes narrative verdicts. Narrative verdicts are where, at the end of the inquest instead of a conventional short-form verdict the coroner records a factual description of how and in what circumstances the death occurred. Coroners are requested to provide details of all "Unclassified verdicts" they have recorded on a supplementary sheet as part of their annual return; however this is not always provided, or is sometimes not provided in sufficient detail to explain the cause of death.
Since 2000, the number and percentage of "Unclassified verdicts" returned at inquests has been steadily increasing (see Figure A1). In the last five years the number has increased from 2,923 in 2007 (11 per cent of total verdicts) to 4,400 in 2011 (15 per cent of total verdicts).
Recent case law could be responsible for this increase in narrative verdicts, in particular the House of Lords judgement in R v HM Coroner for West Somerset ex parte Middleton in 2004, which encouraged their use.11
Coroners are unable to record a short-form verdict of suicide unless they are convinced beyond any reasonable doubt that the deceased intended to take his/her own life. This has caused concerns regarding the number of suicides which could potentially be 'hidden' in the "Unclassified verdicts" category. In 2011 the Office for National Statistics published a study entitled 'Narrative verdicts and their impact on mortality statistics in England and Wales'. The study was conducted as the ONS was 'concerned about the impact of narrative verdicts on the quality of statistics on cause of death'12. They concluded that:
The increase in the use of narrative verdicts by coroners has not had a statistically significant impact on published suicide rates in England and Wales… A recommendation has been made to coroners to consider ways of recording narrative verdicts to allow more accurate coding of cause of death.13
Following on from the Office for National Statistics' study, we conducted this analysis for the period 2007 - 2011 in order to examine what verdicts are actually included in the "Unclassified verdicts" category, and whether, based on the findings, there is any scope for new guidance or changing the shortform categories.
## Methodology
We asked two independent assessors (in this case two retired coroners) to analyse a sample taken from the "Unclassified verdicts" category, for the years 2007 - 2011. The sample was determined using stratified sampling across all coroner districts. The size was determined to be around ten per cent of all "Unclassified verdicts" and it aimed at providing 95 per cent confidence intervals of around six percentage points width. This means that the size was around 450 verdicts each year. To obtain our sample we randomly selected verdicts from the "Unclassified verdicts" list provided by each coroner district14. The sample verdicts were then categorised independently by the assessors into one of six groups:
1. Could indicate suicide - i.e. a verdict which implies the deceased took
his/her own life
2. Indicates alcohol abuse (with or without other factors)
3. Medical or surgical intervention unsuccessful
4. Error - verdict should be in one of the existing short-form categories (in
this case the assessor was asked to provide a description of which category the verdict should, in his opinion, be placed in)
5. Correct - verdict could not be in any other category 6. Unknown - insufficient data is provided to determine cause of death
The first category was chosen due to the existing hypothesis that suicide verdicts are 'hidden' within the "Unclassified verdicts" category.
14 Samples were taken from each coroner district which had a total number of "Unclassified verdicts" greater than or equal to five The second and third categories were chosen as these are recurring themes within the "Unclassified verdicts" category for which no relevant short-form verdict currently exists. The "Error" category was used to capture any verdicts which were incorrectly placed in the "Unclassified verdicts" category, while the "Correct" and "Unknown" groups captured the remainder; respectively those which could not be placed elsewhere and those where the data was missing or incomplete. The categorisation of verdicts completed by the independent assessors was based on their own individual opinions; it is therefore important to note the subjectivity of this analysis.
Once the data had been analysed by the assessors we collated the data for each year and calculated 95 per cent confidence intervals for each category (see Tables A2a and A2b). The 95 per cent confidence intervals were based on the exact binomial distribution and, therefore, are not symmetric.
To measure the agreement between the two assessors the Kappa coefficient was used. This coefficient is a measure of inter-rater agreement particularly suited for categorical items such as the six groups. It is commonly understood that Kappa coefficient values less than zero indicate no agreement, between zero and 0.2 as slight agreement, between 0.21 and 0.40 as fair agreement, between 0.41 and 0.60 as moderate agreement, between 0.61 and 0.80 as substantial agreement, and between 0.81 and 1 as almost perfect agreement15.
## Results
Overall, across the 2,196 verdicts, the results showed an agreement between the two assessors using the Kappa Statistic Test (see Table A1), indicated by a Kappa coefficient value of 0.61 (95 per cent confidence interval between
0.59 and 0.63).
Category
Correct
Could
indicate
suicide
Error
Indicates
alcohol
abuse
Medical or surgical
intervention
unsuccessful
Unknown
4
Correct
2
0
36
0
2
Could indicate suicide
5
96
39
0
1
2
Error
291
12
50
6
117
87
Indicates alcohol abuse
2
2
0
113
0
1
Medical or surgical intervention unsuccessful
16
1
0
7
463
10
Unknown
8
0
1
0
3
819
15 Landis, J.R.; & Koch, G.G. (1977). "The measurement of observer agreement for categorical data". Biometrics 33 (1): 159–174.
In 2011, the category containing the highest number of sample verdicts was "Unknown" (40 per cent according to Coroner 1, 48 per cent according to Coroner 2). This category has consistently had the highest number of sample verdicts since 2007 (see Tables A2a and A2b).
The percentage of verdicts in "Could indicate suicide" in 2011 was between five per cent (Coroner 1) and six per cent (Coroner 2). This percentage has been fairly stable since 2007, fluctuating between five and eight per cent of the total. The percentage is relatively low, which corresponds with the findings from the ONS study on narrative verdicts. Between 2007 and 2009 the number of verdicts in the "Indicates alcohol abuse" category decreased, however since 2009 this number has been increasing. The "Medical or surgical intervention unsuccessful" category represented between 22 per cent of sample verdicts in 2011 (Coroner 1) and 23 per cent (Coroner 2). The number in this category has fluctuated since 2007, although there was an increase of between three (Coroner 2) and five (Coroner 1)
percentage points from 2010 to 2011.
There was a large difference between the number of verdicts classified as
"Error" by the two assessors. Coroner 1 recorded 25 per cent of verdicts in this category in 2011, compared to only seven per cent recorded by Coroner
2. This highlights the subjective nature of the analysis. The analysis performed by Coroner 1 showed 66 per cent of verdicts within the "Error" category were classed as 'Accident/ Misadventure', looking at the period 2007 - 2011 as a whole (see Table A4a). The next most common error was 'Natural Causes', which accounted for 16 per cent of error verdicts across the period. The analysis completed by Coroner 2 placed 31 per cent of "Error" verdicts within the 'Suicide' category, followed by 17 per cent allocated to
'Accident/Misadventure' (see Table A4b).
| 2010 | 2009 |
|-----------------------------------------------|-----------------|
| Unclassified verdicts | |
| 2011 | 2008 |
| Mean | |
| C.I. | |
| Mean | |
| C.I. | |
| Mean | |
| C.I. | |
| Mean | |
| C.I. | |
| Mean | |
| C.I. | |
| Correct | 2% |
| Could indicate suicide | 5% |
| Error | 25% (21% - 30%) |
| Indicates alcohol abuse | 6% |
| Medical or surgical intervention unsuccessful | |
| 22% (18% - 26%) | 17% (14% - 21%) |
| Unknown | 40% (35% - 45%) |
| n | 444 |
| | |
| 2010 | 2009 |
|-----------------------------------------------|-----------------|
| Unclassified verdicts | |
| 2011 | 2008 |
| Mean | |
| C.I. | |
| Mean | |
| C.I. | |
| Mean | |
| C.I. | |
| Mean | |
| C.I. | |
| Mean | |
| C.I. | |
| Correct | 12% |
| Could indicate suicide | 6% |
| Error | 7% |
| Indicates alcohol abuse | 6% |
| Medical or surgical intervention unsuccessful | |
| 23% (19% - 27%) | 20% (17% - 24%) |
| Unknown | 48% (43% - 53%) |
| n | 444 |
| | |
Category
Average for
Coroner 1
Average for
Coroner 2
Overall average
Correct
2%
15%
8%
Could indicate suicide
7%
5%
6%
Error
26%
6%
16%
Indicates alcohol abuse
5%
6%
6%
Medical or surgical intervention unsuccessful
23%
27%
25%
Unknown
38%
42%
40%
Notes The average for "Medical or surgical intervention unsuccessful" for Coroner 1, for example, is calculated by averaging the five percentages recorded in this category for the years 2007 - 2011 (see Table A2a). The Overall average in the third column of this table is calculated by averaging the averages for Coroner 1 and Coroner 2
## Table A4A: Error Breakdown For Coroner 1, 2007-2011
Type of error
2011
2010
2009
2008
2007
Totals
Number Percentage
Number
Percentage
Number
Percentage
Number
Percentage
Number
Percentage
Number
Percentage
Death aggravated by neglect or self neglect
1
1%
0
0%
0
0%
1
1%
0
0%
2
0%
Deaths by accident (including misadventure)
71
63%
70
58%
58
57%
83
78%
88
73%
370
66%
Deaths from industrial diseases
11
10%
15
12%
15
15%
10
9%
8
7%
59
10%
Deaths from natural causes
20
18%
25
21%
19
19%
7
7%
20
17%
91
16%
Dependence on drugs
1
1%
0
0%
0
0%
0
0%
0
0%
1
0%
Drug abuse
0
0%
0
0%
0
0%
0
0%
0
0%
0
0%
Inquest adjourned
0
0%
0
0%
0
0%
0
0%
0
0%
0
0%
Killed lawfully/ unlawfully
2
2%
2
2%
6
6%
3
3%
1
1%
14
2%
Non-dependent abuse of drugs
0
0%
0
0%
0
0%
0
0%
0
0%
0
0%
Not classified
1
1%
1
1%
0
0%
1
1%
0
0%
3
1%
Open verdicts
6
5%
8
7%
4
4%
2
2%
3
3%
23
4%
Suicide
0
0%
0
0%
0
0%
0
0%
0
0%
0
0%
Total
113
100%
121
100%
102
100%
107
100%
120
100%
563
100%
## Table A4B: Error Breakdown For Coroner 2, 2007-2011
Type of error
2011
2010
2009
2008
2007
Totals
Number Percentage
Number
Percentage
Number
Percentage
Number
Percentage
Number
Percentage
Number
Percentage
Death aggravated by neglect or self neglect
0
0%
0
0%
0
0%
0
0%
1
5%
1
1%
Deaths by accident (including misadventure)
12
41%
7
25%
1
5%
1
4%
0
0%
21
17%
Deaths from industrial diseases
4
14%
3
11%
7
32%
2
7%
1
5%
17
13%
Deaths from natural causes
4
14%
2
7%
2
9%
1
4%
4
20%
13
10%
Dependence on drugs
0
0%
3
11%
0
0%
1
4%
3
15%
7
6%
Drug abuse
2
7%
0
0%
0
0%
0
0%
0
0%
2
2%
Inquest adjourned
0
0%
0
0%
0
0%
1
4%
1
5%
2
2%
Killed lawfully/ unlawfully
1
3%
1
4%
1
5%
2
7%
0
0%
5
4%
Non-dependent abuse of drugs
2
7%
0
0%
0
0%
5
19%
0
0%
7
6%
Not classified
0
0%
1
4%
0
0%
0
0%
3
15%
4
3%
Open verdicts
2
7%
2
7%
1
5%
3
11%
0
0%
8
6%
Suicide
2
7%
9
32%
10
45%
11
41%
7
35%
39
31%
Total
29
100%
28
100%
22
100%
27
100%
20
100%
126
100%
## Explanatory Notes
The United Kingdom Statistics Authority has designated these statistics as National Statistics, in accordance with the Statistics and Registration Service Act 2007 and signifying compliance with the Code of Practice for Official Statistics. Designation can be broadly interpreted to mean that the statistics:
meet identified user needs;
are well explained and readily accessible; are produced according to sound methods, and are managed impartially and objectively in the public interest.
Once statistics have been designated as National Statistics it is a statutory requirement that the Code of Practice shall continue to be observed. The data analysed in this publication are based on annual returns from H.M. Coroners. Coroners are required under the provisions of Section 28 of the Coroners Act 1988 to furnish to the Secretary of State returns in relation to inquests held and deaths inquired into by him (or her) in such form and containing such particulars as the Secretary of State may direct. Thanks are due to coroners and their staff for their work in preparing these returns.
## Quality And Consistency Of The Statistics
The figures presented in this report are collected via statistical returns completed by coroners. For the calendar year 2012, returns were received from all 111 coroner districts. The process by which coroners provide their returns can vary according to the case management system they use. Many coroners (90 per cent) use a system provided by an external contractor, while other coroners use alternative computer systems or a paper-based system. Although care is taken in completing, analysing and quality-assuring the data provided on the statistical returns, the figures are, of necessity, subject to possible inaccuracies inherent in any large-scale collection of this type. For this reason, figures may not be accurate to the final digit. Every effort is made, however, to ensure that the figures presented in this publication are accurate and complete. Returns are individually quality-assured and validated in a process that highlights inconsistencies between years, and other areas. Checks are made to ensure that each return is arithmetically correct, including with subtotals and grand totals correctly summed. Unusual values encountered in a return are queried with the data supplier, to confirm whether these are correct, or an error in the information provided which requires amendment. Coroners are independent office-holders, and there is considerable variation in the way each coroner's district is structured and managed, and in the mechanisms they have in place for discharging their duties under the Coroners Act. From a statistical perspective one of these differences relates to the way they approach the handling of "NFA" cases. Many deaths referred to coroners require no further action being taken by them - these are known as "NFA" cases. These are deaths reported to coroners where there was no inquest, no post-mortem, and no certificate was issued by the coroner for registration or any other purpose. The statistics for 1995 onwards include all NFA cases within the figures for deaths reported that required neither an inquest nor a post-mortem. Prior to 1995, however, some coroners did not report some or all of their NFA cases in their annual statistics (figures for some earlier years are shown in Table
2), and the inclusion of all NFA cases in the statistics addressed this inconsistency in reporting.
Despite the inclusion of all NFA cases in the statistics since 1995 however, there may still be some differences between coroners as to which cases they consider constitute a substantive "reported death" (and are therefore reported in their statistics) where little or no action is required on their part and no post-mortem or inquest is held. As such, the statistics reflect those cases which each individual coroner considers to be a death reported to them, and the figures for different coroner districts can be compared on this basis.
## Users Of The Statistics
The main users of these statistics are coroners themselves, and Ministers and officials in central government responsible for developing policy with regard to coroners. Other users include the Chief Coroner's Office, local authorities (who are responsible for the appointment and remuneration of coroners), other central government departments, and those nongovernmental bodies, including various voluntary organisations, with an interest in coroners and inquests. The statistics are used to monitor the volume and types of cases dealt with by coroners in England and Wales each year.
## Revisions To Statistics For Previous Years
The estimated figure for the number of registered deaths in 2011 which was derived for the purposes of Table 2 in last year's edition of this bulletin has now been replaced by an actual figure subsequently published by the Office for National Statistics.
## Symbols And Conventions
The following symbols have been used throughout the tables in this bulletin: n/a = Not applicable -
= Nil
..
= Not available
*
= Number or percentage not shown due to being based on small numbers of cases (R)
= Revised data
## Maps
The maps used in this publication are experimental and any feedback would be welcomed. The categories used in each map have been created using appropriate bandwidths.
## Further Notes
Prior to 1 June 2005, policy responsibility for H.M. Coroners lay with the Home Office, but on that date it passed to the Department for Constitutional Affairs as part of machinery of government changes following the 2005 general election. Responsibility now lies with the Ministry of Justice, which was created on 9 May 2007. Prior to the transfer of responsibility, the Home Office published statistical bulletins based on coroners' annual returns, from 1980. The last four bulletins published in the Home Office Statistical Bulletin series were as follows: for year 2003, bulletin 9/04; for 2002, bulletin 6/03; for 2001, bulletin 3/02; and for year 2000, bulletin 7/01. These may be found at: webarchive.nationalarchives.gov.uk/20110218135832/http://rds.homeoffice.
gov.uk/rds/hosbarchive.html Editions of this bulletin for years up to and including 2009, published by the Ministry of Justice, the Department for Constitutional Affairs, and the Home Office, were entitled "Statistics on deaths reported to coroners, England and Wales, (year)".
Further information on deaths occurring annually in England and Wales is published by the Office for National Statistics in their Mortality Statistics series; these may be downloaded from their website at www.statistics.gov.uk
## Glossary
The following brief definitions are intended as a guide to the meaning of terms in this bulletin concerning coroners and their work; more detailed definitions will be found in the Coroners Act 1988 and the Treasure Act
1996.
## Coroner; Deaths Reported
In England and Wales, all violent, unnatural or accidental deaths, deaths of unknown cause, deaths that might have been due to an industrial disease or related to the deceased's employment, and all deaths of persons in prison or police custody, are reported to coroners. Coroners are appointed by local authorities; they must be barristers, solicitors or registered medical practitioners and must have at least five years' standing in the relevant profession. The relevant legislation and guidance is contained within the Coroners Act 1988 and the Coroners Rules 1984 (S.I 1984/552 and subsequent amendments). A link to the Act is here:
www.legislation.gov.uk/ukpga/1988/13/contents
The more recent amendments to the Coroners Rules may be found at:
www.legislation.gov.uk/uksi?title=coroners%20rules
## Non-Inquest Cases
The coroner's investigation is concluded most often without an inquest being held. The coroner will have satisfied himself or herself, by means of a postmortem examination or other investigation, on the physical cause of death, and that the death was not one on which he or she is required by law to hold an inquest.
## Post Mortem Examinations
A coroner may request that a post-mortem examination be conducted, whether or not an inquest is held, particularly if the cause of death is not clear. In many cases a post-mortem examination is conducted in order to determine whether or not an inquest is necessary. Other post-mortem examinations are held which are not ordered by the coroner. Details of these are collected by the Office for National Statistics (ONS). See the further information section below for details of how to obtain statistics on this and other related topics.
## Out Of England Orders
Every person wanting to remove a body of a deceased person out of England and Wales must give notice of such intention to the coroner within whose jurisdiction the body is lying. This notice allows the coroner to consider whether an inquest or post-mortem is necessary before the coroner gives permission for the removal of the body.
## Inquests
A coroner must hold an inquest if the body of a person ('the deceased') lies within his or her district and if he or she has reasonable cause to suspect that the deceased:
(a) died a violent or unnatural death; (b) died a sudden death the cause of which is unknown; or
(c) died in prison or in such place or in such circumstances as to require an inquest under any other Act. The holding of an inquest requires the coroner to determine: (a) who the deceased was; (b) how, when and where the deceased came by his or her death, and any further particulars necessary to enable the death to be registered. Verdicts are returned in nearly all coroners' inquests. The exceptions are those inquests adjourned by the coroner which he or she later decides not to resume, and are mainly inquests into deaths by unlawful killing and deaths by dangerous driving or careless driving when under the influence of alcohol or drugs, in which court proceedings have been instituted. This avoids the need for two tribunals to consider the same evidence. A
"narrative verdict" is where the coroner makes a brief and factual statement at the conclusion of the inquest but does not return one of the suggested short-form verdicts.
## Timeliness Of Inquests
For the purpose of determining the timeliness of inquests, the time taken to conduct an inquest is deemed to be from the day the death was reported to the coroner until either (a) the day the inquest is concluded by the delivery of a verdict or (b) the day the coroner certifies that an adjourned inquest will not be resumed. The average time for an inquest to be conducted is estimated in the following way: Coroners are asked in their annual return to state how many inquests were concluded within certain time periods. There are five time bands, which are: within one month; 1-3 months; 3-6 months; 6-12 months; and over 12 months. All the inquests falling within a time-band are then assumed to have been completed at or near the mid-point of the various time-bands for the purposes of calculating the average, although inquests within the "under one month" band are assumed to have taken 3 weeks for this purpose of this estimation, and those inquests taking over a year to conclude were deemed to have taken 18 months, although the time-band itself is open-ended. Numbers are then aggregated and the average figure
(in weeks) calculated in the normal way.
Only deaths occurring within England and Wales are included in the calculation. Statistics are not collected on the time taken for inquests where the death occurred outside England and Wales. Deaths occurring abroad are often significantly delayed because of the difficulty, for example, of obtaining reports from other countries.
## Juries
Nearly all inquests are held by a coroner sitting alone, without a jury. A jury must be summoned where the death occurred: (a) in prison, or in such a place or such circumstances as to require an inquest under another Act;
(b) in police custody, or resulted from an injury caused by a police officer in the purported execution of his or her duty; (c) where there are certain statutory reporting obligations under the Health and Safety Act 1974 or any other Act, and in certain other circumstances, especially where there may be a continuing or recurring danger to the public.
## Treasure And Treasure Trove
In addition to inquiring into certain deaths, coroners also have jurisdiction to inquire into any treasure which is found in their districts and to establish who the finders were. With the commencement of the Treasure Act 1996 on 24 September 1997 inquests into finds which previously might have been declared treasure trove are supplemented by those now conducted to determine whether finds made on or after that date are treasure.
## Registered Deaths
All deaths in England and Wales must be registered with the Registrar of Births and Deaths. The term 'registered deaths' in this bulletin refers to deaths registered within a specific time period (in this case, calendar years). Statistics on registered deaths in England and Wales are published by the ONS in their series on mortality statistics. At the time of going to press, final figures had not been published for the number of registered deaths in 2012, but a provisional figure has been derived from the monthly registration figures which are published by ONS at regular intervals.
## Contacts
Current and previous editions of this publication are available for download at www.gov.uk/government/organisations/ministry-ofjustice/series/coroners-and-burials-statistics
The spreadsheet file of the statistical tables referred to in this bulletin is also available for download from this address. Press enquiries should be directed to the Ministry of Justice press office:
Tel: 020 3334 3535
Email: [email protected]
Other enquiries about these statistics should be directed to:
## Caroline Nauth-Misir
Ministry of Justice 7th Floor (7.20) 102 Petty France London SW1H 9AJ Tel: 020 3334 3111
Email: [email protected] A copy of the data collection form which was sent to coroners may be obtained via the contact details above. General enquiries about the statistical work of the Ministry of Justice can be e-mailed to: [email protected]
Other National Statistics publications, and general information about the official statistics system of the UK, are available from www.statistics.gov.uk. © Crown copyright Produced by the Ministry of Justice Alternative formats are available on request from [email protected] | en |
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## Redaction Considerations
First published: May 2016 Reviewed: June 2019
© Crown copyright 2019
You may re-use this publication (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence v3.0. To view this licence visit nationalarchives.gov.uk/doc/open-government-licence; or write to the Information Policy Team, The National Archives, Kew, Richmond, Surrey, TW9 4DU; or email: [email protected]. Any enquiries regarding this publication should be sent to us at [email protected]
Contents
Introduction ....................................................................................................................................
3
Loss of meaning
.........................................................................................................................
3
Likely level of public interest
.......................................................................................................
4
Effort required to redact
..............................................................................................................
4
Risk of error
................................................................................................................................
4
## Introduction
Redaction is the separation of disclosable from non-disclosable information by the blanking out individual words, sentences or paragraphs or the removal of whole pages or documents prior to the release of the record. In the paper environment some organisations will know redaction as extracts, when whole pages are removed, or deletions, where only a section of text is affected. Information that is redacted but transferred to The National Archives closed forms an extract that is entered onto Discovery, The National Archives' catalogue, and so may be the subject of an Freedom of Information (FOI) request to review its 'closed' status.
Part 2 of the code of practice on the management of records under section 46 of the Freedom of Information (FOIA) advises departments to consider the redaction of public records on transfer if this means parts of records can be released. Separate guidance on redacting records (the 'redaction toolkit') is available. Time spent on the redaction of a record should be proportionate to its historical value and the resources available for transfer preparation as a whole. When considering redaction for transfer to archives (as opposed to in response to FOI requests) there is no definitive policy on when redaction is necessary. Departments should be aware that devoting large amounts of resource to heavy redaction in one series of records may significantly delay the transfer of other open records for public use and compliance with the Public Records Act 1958 (PRA).
When redaction is being considered several factors should be taken into account. The department must consider at what point the level of redaction required and the nature of the information justify individual word deletions, whole-page extraction, or closure of the whole record. Departments may need to reconsider the balance if redaction of individual records takes more than two hours. Factors include:
## Loss Of Meaning
The ultimate test is whether or not redaction will result in a record that still has meaning. It is difficult to quantify this in terms of percentages as it will depend on the nature of the information. If more than a third of information needs removing from a document then the department should check that the releasable information is likely to make sense to a researcher.
## Likely Level Of Public Interest
When a high-profile subject appears on Discovery, The National Archives' catalogue, whole record closure or retention is likely to prompt FOI requests from the public, leading to possible redaction soon after transfer if the whole record is not exempt. It would be more manageable to do such extractions/redactions before transfer, without the statutory deadlines of processing an FOI request, so a record on a major historical event might justify considerably more than 2 hours' effort on redaction before transfer if the content is of high public interest, whereas it may be difficult to justify spending considerable time redacting files if they are likely hardly ever to be consulted.
## Effort Required To Redact
What is the quantity of information that requires redaction? If it is a significant proportion then the whole record can be closed. This must to some extent be considered proportionately to the size of the piece - one hour spent on a slim report may be excessive, whereas on a 400-page file it may not. Removing pages as extracts would be quicker than making individual deletions on pages. Departments should also consider how much meaning would be left in a file after the deletions have been made.
## Risk Of Error
Redaction always carries the risk of something sensitive being overlooked, and therefore inadvertently released. High volumes of redaction within a single piece increase the risk of a slip in concentration, especially where it is repetitive, for example, the deletion of all references to a list of people or places. A high volume of scattered but repetitive sensitivities should be considered a high risk. It may be safer to extract whole pages. Departments should consider how experienced staff are at carrying out redaction and what the possible consequences of human error will be if mistakes are made. | en |
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## Childhood Neglect: Improving Outcomes For Children Learning Outcomes
To maintain the momentum of change.
## Audience Time 30 Minutes Groups 1-8 (Working Together 2010)
Preparation The trainer may need to set up video to show Best Practice example 4 that focuses on two versions of a supervision session. This may help prompt discussion with in the groups of participants.
## Key Reading
Davys, A. and Beddoe, L. (2010) Best Practice in professional supervision: A guide to the helping professions. London: Jessica Kingsley Publishers. HM Government (2010) Working Together to Safeguard Children: A guide to inter-agency working to safeguard and promote the welfare of children. London: Department for Children, Schools and Families. Hughes, L. and Pengelly, P. (2002) Staff Supervision in a Turbulent Environment. London: Jessica Kingsley Publishers. Kadushin, A. and Harkness, D. (2002) Supervision in Social Work (4th edition). Columbia, NY: Columbia University Press. Morrison, T. (2005) Staff Supervision in Social Care (3rd edition). Brighton: Pavilion. Pritchard, J. (2000) Good Practice in Supervision. London: Jessica Kingsley Publishers.
## Links To Common Core
Common Core 5 Multi-agency working (skills: communication and teamwork). Communicate effectively with other practitioners and professionals by listening and ensuring that you are being listened to. Common Core 5 Multi-agency working (skills: communication and teamwork). Share experience through formal and informal exchanges and work with adults who are parents/carers.
This introductory slide highlights the title of the power point.
1
Over the course of this presentation will focus on the role supervision can play, paying attention to the following themes:
"
" the impact of working with and on behalf of children
and young people experiencing neglect
2
"
" effective supervision: what it includes
"
" the role of supervision in keeping the child at the centre.
It is important to note at the very beginning that not all professions have a model of supervision which is familiar to social workers. Of course, the social worker participants may also not be experiencing optimal supervision. At the outset, it will be helpful to explore with participants of different disciplines where, and how, they obtain support and to note that the bulk of the presentation draws on material in relation to social work because that is the area that is most developed, but that they should consider how the principles can be transferred.
## Child Neglect And
3
Working with children and young people, who may be experiencing neglect, is a difficult task and one in which practitioners from different areas will require support if they are not to feel overwhelmed. The need for practitioners to have someone, often one step removed from practice to help them make sense of what they are seeing, hearing, thinking and feeling, and to use this to inform their assessment of what a child needs and their intervention is recognised in literature, inquiry reports, practice wisdom and evaluations. The next few slides look at that context.
Gordon and Hendry in Howarth (2009) consider the role front-line managers have in supporting social work practitioners and this is a good chapter to recommend to social work participants who want to do more reading. Discussion point: Show the group a video clip Scenario A and then divide them into small groups, asking them to consider the questions below and then feedback to the group. Play Scenario B and do the same - approximately 40 mins needed
## Scenario A
1. Does the response from the professional giving the advice support the practitioner to
effectively safeguard this child or young person from neglect?
2. If not, why not?
## Scenario B
1. Does the response from the professional giving the advice support the practitioner to
effectively protect this child or young person from neglect?
2. What approaches were helpful for the worker? For example:
"
" Asked relevant questions
"
" Allocated sufficient time for discussion
"
" Acknowledged serious concern of worker
"
" Summarised workers concerns
"
" Made time to review again in the future
"
" Made written record
"
" Focused on child rather than procedure/protocol
"
" Prompted worker to find out more information
Child neglect and supervision This slide identifies three areas where supervision/mentoring/ management can facilitate good practice.
1) Support practitioners There is some evidence that practitioners working with children and young people who are experiencing neglect can feel disheartened and de-skilled and will need support and guidance in their role. You might want to refer them to Stevenson (2007).
Anderson (2000) conducted research with 151 child protection workers in US. She found the following factors:
"
" emotional exhaustion
"
" de-personalisation of clients
"
" reduced sense of personal accomplishment.
2) Help maintain focus on the needs of the child There is also some evidence that the focus can shift from the child - either on to the parents, or to the practitioner's anxieties or fears. Stanley and Goddard (2002) describe their research with practitioners in Australia and the UK. They found that when practitioners were anxious or fearful, in order to minimise the threat to themselves they also minimised threats to the child from their family (of acts of commission and omission). 3) Analysis One of the findings of a number of inquiry reports is that practitioners have sometimes not analysed the meaning of the information they have gathered in terms of what it means for the child's lived, day-to-day experience and that analysis has been lacking from some assessments and intervention. To read more about analysis trainers might want to recommend Helm (2010). We know that anxiety has an impact on our capacity to think, feel and act and supervision/support can play a key role in helping the worker to contain anxiety and analyse the meaning for the child. The concept that supervision can help analysis by containing anxiety is explored by a number of writers including Morrison (2005). Wilmot (2008) argues that:
'One of the primary tasks of supervision is the containment of anxiety, our own, the clients'
, the supervisees' and all those in the wider system' (p95).
Ruch (2007) notes that practitioners need a secure relationship (with team, manager, organisations which will 'afford practitioners a space where unthinkable experiences can be processed and made thinkable and manageable'
.
Trainers may also want to make a link to the Children's Workforce Development Council document 'Inspiring Practice: A guide to developing an integrated approach to supervision in children's services' (2010). This is available on www.cwdcouncil.org.uk/assets.
5
Following the death of Peter Connelly in Haringey, Lord Laming's (2009) report made recommendations in relation to supervision that have been incorporated in to the most recent statutory guidance (HM Government
2010). Lord Laming's recommendations were that:
6
"
" The Social Work Task Force should establish guidelines
on guaranteed supervision time for social workers that may vary depending on expertise.
"
" Working Together should be revised to set out the elements
of high quality supervision focused on case planning, constructive challenge and professional development.
Munro (2010) highlights the importance of good quality supervision stating that 'to work with families with compassion but retain an open and questioning mindset requires regular challenging supervision' (p18). The first part of this slide is self-explanatory, depending on where they are working, and their role. Some professionals in universal or specialist services who come into contact with children who are experiencing neglect may not have a formal system of supervision.
7
However, even where there is a culture or an expectation of supervision, for example, in social work, the experience of practitioners as to the amount and quality of supervision varies. Baginsky et al. (2010) conducted a survey of practitioners and front line managers as part of the Social Work Task Force. They found that practitioners reported supervision that focused on the managerial aspects of the task.
8
There are a number of definitions of supervision in the literature, and this one is taken from Tony Morrison. Morrison was committed to the role of supervision in practice, and this text is a key one for supervisors. It contains a good mix of theory and research and exercises that can be used by supervisors. He also worked with the Children's Workforce Development Council to provide a guide for supervision (Right from the Start) which some of the participants may well have seen. However, there are other definitions (Coulshed and Mullender 2006) to help participants focus on outcomes for children, young people and their parents. They argued that 'The overall purpose of supervision must be to enhance the standard of work undertaken so that, in turn, vulnerable members of the public will have an improved quality of life' (p163).
This is taken from Working Together (HM Government 2010), and it looks at how good supervision can improve practice with children, young people and their parents. The Trainers might want to draw specific attention to the role supervision can play in avoiding drift for children and young people who are 'bumping along the bottom' experiencing chronic, ongoing neglect (Stevenson, 2007).
9
One of the critiques in some previous inquiries (for example, Lord Laming's 2003 report in to the death of Victoria Climbié) is that workers have not been clear about their roles, and part of this is about good induction. Trainers might want to draw out the role of induction in helping workers to be clear about their roles, responsibilities and accountabilities.
10
They may also want to make a link back to the earlier slides on anxiety, at a time of change (i.e. new job, change in role, organisational change) practitioners are likely to be more anxious, and consequently need to be clear about their role (and its limits). The trainer might also want to refer to Kadushin and Harkness (2002) who mention the need for supervision to ensure a degree of predictability noting that 'unless there is predictability, it is difficult to coordinate individual workers decisions, and ensure children and families get a consistent service' (p83).
11
As with the previous slide this is taken from Morrison (2005). Here, trainers may want to highlight the role supervisors have in workers' development, by encouraging ongoing continuing professional development, and through enabling them to reflect in, and on, action
(Schon 1987) during formal and informal supervision. Hughes and Pengelly (2002) use a developmental model to think about workers' development from newly qualified worker to an experienced one, and consider the role supervisors have in enabling being professional development.
The developmental model has been critiqued by some writers as being overly deterministic, and not recognising fully that workers development will vary in different areas of practice depending on their skills, knowledge and values, as well as the opportunities they are provided with.
This is taken from the final report of the Social Work Task Force (2010). It stresses the significance of supervision, and the need for it to be seen as integral to practice, not an optional extra.
12
Brandon and colleagues (2008) summarise some of the findings from the analysis of Serious Care Reviews and highlight the role of supervision. The review team examined 161 case files, looking at 47 in depth.
13
The supervision triangle is taken from Hughes and Pengelly (2002). It is a way of thinking about the participants in supervision, and can be used by the trainer in small or large group to ask practitioners think about what might deflect attention from the child, and how they can 'bring' the child into the supervision session (metaphorically rather than literally - one suggestion would be to have an empty chair).
14
Discussion point: Ask participants to name the factors that might influence supervision and deflect attention from the child. Hughes and Pengelly (2002) look at 6 factors which can influence supervisor/supervisee and deflect attention from the child and the trainer may want to ask the participants consider the relevance of these factors in their current supervisory relationships.
1. Current or recent life events. 2. Certain types of work/specific cases can reverberate with past or
present personal or professional difficulties.
3. Professional backgrounds and histories of supervisor and supervisee. 4. Recent events and history in the team or agency. 5. Clarity of work policies and availability of good relevant professional
advice.
6. Interface between agencies (p.32).
The message which needs to be stressed is that one of the key themes to emerge was that in the majority of instances professionals failed to see things from a child's perspective, and think about what that child's day to day experiences are like, and what it feels like to be him or her (Ofsted 2008).
15
The trainer might want to refer back to the supervision triangle, and ask them to think how they can, or do, use supervision to focus on what it might feel like to be a child or young person who is experiencing neglect.
In the Western Isles of Scotland, children from a family experienced chronic neglect and multiple abuses. There was a range of professionals involved - health, education, social work, housing, and police. One of the key critiques was that although professionals shared information, they did not fully analyse what the information meant for that child or act upon the information.
16
Another critique was that as practitioners got to know parents they lost their focus on the children and found it hard to maintain what Lord Laming (2003) referred to in the Victoria Climbié Inquiry report as 'respectful uncertainty' about parents.
During the past decade, legislative and policy drivers - including the UN Convention - have placed children at the centre of assessment and intervention, and emphasised the importance of listening to the views of children in matters concerning them.
17
However, much of the research with children and young people, who have been in contact with the systems designed to protect them, indicates that children have often felt marginalised (Aubrey and Dahl 2006).
The research also indicates that while practitioners believe that they have listened to children, unless they then take action, children do not feel that they have actually been heard (McLeod
2008). There is also a suggestion that the practitioner's willingness to engage with children and young children is not just dependant on their knowledge and skills, but is also influenced by their views on children and childhood and whether they see children as active participants (Shemmings 2000). Trainers can refer to this research to help participants think about the role of supervision in helping professionals identify their values, and consider how they are involving children and young people who have experienced neglect, recognising that some children may need additional help to express their views and talk based interventions may always be the most appropriate method. The trainer should check with the group to identify what their key areas of learning have been and the key themes before flagging up these 3 areas:
"
" Working with, and on, behalf children and young people who are experiencing
neglect has an impact on practitioners, and good supervision and support is necessary to enable effective, child focused assessment and intervention.
"
" All too often the child has been ' lost' in assessment and intervention
and so supervisors need to think how they metaphorically bring the child in to supervision and focus on their needs,
"
" Research findings indicate that children feel marginalised. Given that
children and young people who have experienced neglect may not have good sense of self, and a positive ' internal working model' practitioners need to bear this in mind when thinking about meaningful ways to engage and involve children and young people who have experienced neglect. | en |
1201-pdf | © Crown copyright 2017
ARCHIVES
UNLOCKED
RELEASING
THE POTENTIAL
This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3
or write to the Policy Team, The National Archives, Kew, London
TW9 4DU, or email: [email protected] Where we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned. This publication is also available on our website at
www.nationalarchives.gov.uk/archives-sector Any enquiries regarding this publication should be sent to us at
[email protected] Developed with the support of Activist Group.
Cover images: Southbank Centre Archive Studio © Dirk Lindner | ©John Sear, Museum Games Ltd | The National Archives, cat ref: BT 52/143 (22174)
## Releasing The Potential Of Archives Ministerial Foreword
Archives sit at the heart of our collective understanding:
who we are, where we came from, and, indeed, where we are going.
make this ambition a reality, and rise to the challenges we face.
## T
It is time to unlock the potential.
its heart: the democratisation of information and knowledge, the boundless creativity and innovation made possible by archival material, and the confidence we can all share in exploring and using the record, supported by world-class archival practice.
The materials that archives hold challenge, inspire and transform what we think we know of times, events and people, past and present. In this digital age, with so much focus on the management and security of data, archives and their collections make the national local and the local global.
## The Rt Hon Matt Hancock Mp Minister Of State For Digital And Culture
In part, thanks to the opportunities of new technology, this is an exciting time for archives. For the people that experience and use them, and for those who are dedicated to developing and preserving their uniqueness.
Embracing these opportunities will allow archives to thrive and contribute fully to the wellbeing of our nation, culturally, economically, and intellectually. Archives Unlocked sees a future in which businesses, creative industries, arts organisations, academia, and communities can fully exploit archives. The National Archives, as sector leader, will work with archives, partners and users to So *Archives Unlocked* is an ambitious vision. It recognises and celebrates the value of archives within the wider cultural sector and across society. Digital transformation is at
## Introduction
Imagine a world without archives. Without records, we could not prove where and when we were born, or who owns the property we live in.
## W
bytes. Once revealed, they can tell us our stories, bringing alive the people, events and decisions that got us here today. Archives have the power to change people's lives.
Without this collective memory - the evidence store for our histories - we could not hold governments and organisations to account.
e could not trace our ancestry, explore our collective and individual identities, or challenge established views of the past. Without this collective memory - the evidence store for our histories - we could not hold governments and organisations to account. The impact of archives is felt across society: inspiring art and literature; influencing product design
and branding; enabling insightful and pioneering research; and informing decision-making in organisations of all types.
The public's interest in archives and what they have to offer is growing, and digital technologies are opening up our archives like never before - to local, national and global audiences keen to learn and be inspired.
We need an archives sector that can evolve and adapt to change. Working together, we can ensure that the benefits of archives are realised and enjoyed by future generations.
IN SHORT: ARCHIVES MATTER.
Our collections need to be used to be useful. Until they are unlocked, archive records are just papers, images, or sequences of
## The Vision
Archives will strengthen society through the trust they inspire, the enrichment they offer and their openness to all. We will be the home of worldleading archives, both digital and physical. People will be able to find and navigate collections, and have confidence that reliable archival evidence exists to support their research. Our collections will reflect all of society, so that, whether an individual, community or organisation, archives can tell us who we are and how we got here.
## Trust People And Institutions Trust In The Authenticity Of Archive Records, And How They Are Preserved And Presented. Archives Unlocked The Ambitions At The Heart Of The Vision Are Openness Archives Cultivate An Open Approach To Knowledge And Are Accessible To All. About This Document What'S Driving The Need For Change?
Discussions with stakeholders have highlighted these key drivers of change:
This vision is the result of extensive consultation and development work within the archives sector, with our partners and beyond. Further details of those involved can be found at the end of the document.
CONFIDENCE IN DATA AND INFORMATION
People need to have confidence in the integrity of institutions. Organisations need to be open and transparent, and high profile enquiries into the history and culture of public, corporate and charitable bodies have highlighted the evidential value of records.
TECHNOLOGICAL CHANGE
Digital technology has fundamentally changed what it means to be an archive. Archivists can help the IT and knowledge management communities by bringing professional archival practice to this digital world.
The vision articulates three **ambitions** for the benefits which archives will deliver. Emerging from each of these is a set of outcomes which underpin our action plan. We have set out to keep the core of the vision very simple and concise, bringing its ambitions to life with **case studies** and **think-pieces**. The case studies showcase existing good practice and innovation in the archives sector. The think-pieces are from contributors both within and beyond the archives sector and seek to challenge existing practice and provoke new ideas about the future.
USER EXPECTATIONS
Society is changing, opening up new uses for data and records, and posing new questions about what is collected now and in the future, in both paper-based documents and digital formats.
The document ends with a high-level overview of the action plan which articulates how our partnership of archive institutions and external partners, with support from The National Archives, will help the sector deliver the outcomes we have expressed.
ENRICHMENT
archives enhance and enrich our society intellectually, culturally and economically.
## Think-Piece Collecting And The Archive Ecology
because they are not preserved or not visible to potential users.
## O
a deep understanding, and supported by long-term, comprehensive and detailed information. We have seen the response of zoos, which have developed from being selfcontained sub-sections of the natural world to multi-faceted participants in wildlife conservation. In short, ecologies can and should be nurtured.
Archivists now share stewardship of archives, but retain a key collective responsibility in ensuring their survival and sustainability. To do that effectively, they need the support of policymakers, employers and funders. Together we need to know a lot more about the archive ecology and to be prepared to act on that knowledge.
ver the past few decades, both the archival landscape and the role of archivists have changed fundamentally. There is now a wider definition of archives, which are being created in ways that are more varied, complex and (especially in the digital realm) less visible and tangible. There is also greater diversity in the ways in which archives are preserved and used. Archivists are no longer the sole focus of collecting, but are helping others to do the same. They have become participants in an archive ecology, rather than gatekeepers to it.
JUDY BURG
HEAD OF ARCHIVES AND SPECIAL
COLLECTIONS
DURHAM UNIVERSITY
The term ecology suggests interdependence and organic development, with no single director or predetermined end point. We know that ecologies can be harmed in unpredictable ways by external factors and can benefit from interventions, if based on We need an equally collective response for an archive ecology - a new vision, in several senses. This starts with an aspiration that it encompasses the entirety of potential archives now being created - as diverse and complex as the society they record. It also requires oversight and foresight: a comprehensive understanding of archives, now and in the future. We need to extend our field of vision and action to those records still at risk of being lost - either
## Trust
> **Democracy and society are strengthened** by scrutiny of the
archival record, holding institutions and individuals to account.
> Archive users have confidence in the integrity and authenticity
of records, and in the professionals who support their research.
> Services **embrace the opportunities of technological change**,
ensuring confidence in both digital and physical records.
## People And Institutions Trust In The Authenticity Of Archive Records, And How They Are Preserved And Presented. Case Study Protecting Our Digital Memory: E-Ark E
National Archives developed an open source tool that connects to live databases and migrates data to the appropriate preservation format. This vastly reduces the cost of getting material into archives, and opens up competition in the commercial sector to provide the best solutions.
## Key Learning Point
The project partnership of national archives from across Europe, Chile and the United States of America is supported by experts at the University of Brighton and the Digital Preservation Coalition. Discussing the biblical significance of the project name, project leader Professor Janet Delve points out that 'never before in human history have we been at risk of losing so much knowledge in one go. If you're careless with digital information, it's gone forever.'
-ARK is a pioneering global research project, aimed at improving the technologies of digital archiving to ensure that records and databases remain authentic and usable over time. It has brought together international practice to develop the first ever end-to-end digital archive system. This single, scalable, robust system can be used by all memory institutions—public and private, large and small—to meet the challenge of born digital records. It has the potential to be truly transformative.
Janet concludes that the strong network of partners means the project is greater than the sum of its parts: 'instead of each archive having a bit of expertise, every archive can have a whole system to share. That means a massive improvement in terms of cost and skills.'
The partnership approach makes best use of the existing expertise of each participating archive, and also supports them in learning new skills from others. This provides a better service to users in the long term, and fosters consistent approaches on an international scale. In one example of the project's work, The Danish The partnership approach makes best use of the existing expertise of each participating archive, and also supports them to learn new skills from each other.
## Think-Piece Trust In The Digital Future I
about what we do in digital archives. Just like showing your workings in a school maths exam, trust in digital archives should mean demonstrating what we are doing in ways that others can see and verify. The digital archivist, equipped with hashing algorithms and cryptography as their tools of the trade, can remain trusted custodians in this digital future.
t's exhilarating - perhaps the most exciting time to be an archivist that there's ever been. The digital challenge for archives today is one of pace. The days of digitally simulating long-established archival practices devised for physical records are behind us. Snapchat, Google Docs, microservices, blockchains, neural networks - all disrupt how information is created, encoded and used. All disrupt archiving, requiring fundamentally new capabilities and approaches.
Today's digital archivists must rapidly develop new archival practices, with and for each new generation of technology. The rub is that the digital challenge for archives can never be completely solved. This is not about moving from one relatively steady state of archival practice to a new steady state for digital. We are moving from relative stability to continual change. This raises an important question: as archives move more quickly, how do we retain the legitimacy we confer on the digital evidence we preserve?
Ultimately, even in this digital age, it falls to archivists to create and sustain archives. Until now, how we do that—archival theory and practice—has tended to evolve quite gradually over the last 120 years (albeit with the occasional leap, thanks to archive theorists like Jenkinson or Schellenberg).
Archival practice is key for rapidly evolving digital archives. The opportunity is to shift the basis of trust, from the authority of the archive as an institution to transparency of archival practice. This trust must be founded on the evidence we make available
## Case Study Finding The Evidence: Independent Police Complaints Commission/Hillsborough Investigation
I
The investigation's work with the archive has underlined the importance of maintaining documents which could become vital in future investigations.
n a devastating tragedy, 96 Liverpool supporters died due to overcrowding at Hillsborough football stadium on 15 April 1989. 27 years later, a jury found the victims had been unlawfully killed. This conclusion was the result of decades of campaigning by families of the deceased, and highlighted that records are a powerful tool for accountability.
original records and keeping order in archives are vital. The power and importance of these records for holding individuals and organisations to account for their actions continues to be their lasting legacy.
## Key Learning Point
The Independent Police Complaints Commission (IPCC) is now carrying out its first historic inquiry into the role of the police, both during and in the aftermath of the disaster. A significant amount of the evidence for the IPCC's investigation comes directly from the historical material, with managed access to the vast collection of records provided by a professional archivist. The archivist supports the needs of the investigative teams, and has introduced robust processes to support collection, collation, cataloguing and access. Managing the archive material in this way ensures its integrity and authenticity.
The ruling was made possible by the release in 2012 of all the material relating to the incident - 450,000 documents from 85
sources. The Hillsborough Independent Panel had recommended that a 'Permanent Archive' be established. While physical records are largely split between Sheffield Archives, Liverpool Archives and The National Archives, digital copies of the material are all available on the panel's website.
The investigation's work with the archive has underlined the importance of maintaining documents which could become vital in future investigations. It demonstrates the value of robust practice: both preserving Archive Manager Rebekah Taylor says: 'Being able to demonstrate that an organisation like the IPCC is committed to preserving the quality and integrity of these important documents, is key to accountability and public confidence.'
Archives aren't just about things already past; they will capture the histories of the present and the future. People need to trust that the record will be preserved, whether paper or digital, and made available to future generations.
## Think-Piece Telling Stories W
add metadata will embody the beliefs of the archivists as much as the choice of items to preserve, and we must remember this and expose it, as we tell stories on the backs of these new collections. We have told ourselves stories in order to live: we can use a greater understanding of the choices that shape an archive to build ourselves catalogues that will help us thrive.
a century, giving it cohesiveness even in its incompleteness. There is an ideology that permeates it—its contents were largely decided upon by the sort of people who work for the BBC—which researchers and users should at least note as they pass among the shelves and search the catalogues. While perhaps not always so apparent, we know that every collection was shaped in some way, and the story of that shaping must be part of our understanding and assessment of the authority of the finished product.
## Bill Thompson Head Of Partnership Development Bbc Archive
hen the journalist Joan Didion wrote 'we tell ourselves stories in order to live' (in *The White Album*, 1979), she was expressing a deep truth about how we construct meaning in our lives. Many of our stories come from those relics of the past that live in our archives, libraries and galleries. Some are newly minted; others retell and reframe the past to better understand the present. And the archive too is a story: whether creative fiction, careful scholarship or news journalism, any exploration of an archive must grapple with questions surrounding the collection itself - why and how was this material preserved? Is this all - or is there missing work that will change my perspective? How can this selection of past material have authority? Part of the BBC Archive's value is that it is the creation of one institution over almost The ways we use archives to tell our stories has shifted with electronic collections as the sheer volume of available data increases exponentially, along with the capacity of our drives and tapes. Nothing is accessible without indexes and catalogues, and in the future we will value them as much as the archived object. The choices made as we
## Enrichment
> Our culture of knowledge and learning expands
through new ways to discover and use archive material.
> **Value in businesses grows** through the use of archive
material to support change, innovation and efficiency.
> **People's lives are enhanced** through their
engagement with archive collections.
## Archives Enhance And Enrich Our Society Intellectually, Economically And Culturally. Case Study Recovering Our Past: Barnardo'S Archive
Furthermore, the retention policy has now been changed to preserve more case files, recognising the enormous value of these files to the individuals involved and to their families.
E
stablished in 1867, Barnardo's works to transform the lives of the most vulnerable children across the UK. Once famous for its care homes, the charity now supports over 900 services, including fostering and adoption. Barnardo's Archive has changed the way in which former residents and their relatives access their personal records, recognising what it means for people to understand their past.
The way the archive works is now very user-focused. Archive Manager, Martine King, says: 'It is a massive decision for people to contact us, as there is no assurance about what they might find and how it matches what they've previously been told.' The service gives people choice about how to research, either in the privacy of their home, or in the supportive environment of the charity.
KEY LEARNING POINT
Martine concludes, 'We're helping lots of people to understand all variations of experience of being in care, and how important it is to learn from our past, question and improve the way we support and protect children today. Our ongoing legacy of duty to those who were in our care, our long experience of working with our former children, and of course the archive itself, are all powerful tools for informing that debate and recovering precious fragments from the past.'
Open access to records began in 1995, predating the Data Protection Act, after a BBC documentary fuelled a spike in enquiries. The archive now meets the needs of former residents and their families by enabling access to records, and providing support through the difficult process of receiving what might be painful or confusing information.
Among developments to support users, the archive has invested £120,000 to digitise
500,000 photographs. In the absence of a family home, these photographs may be the only images people have of their own childhoods. Ease of use is paramount, so Barnardo's Archive is working with the Wellcome Trust to develop an archive catalogue and improve their finding aids.
## Think-Piece Are Archives Good For Our Wellbeing? A
more strongly than positive ones. A social environment that supports ease and choice in opportunities for interaction is also a magic formula for wellbeing.
larger than ourselves, giving us a sense of belonging. Perhaps surprisingly, governance and the trust in our collective institutions is a factor in our happiness, and archives are at the heart of this national accountability.
rchives give me a sense of joy, as they do for many others; the question, then, is 'why?'. At the What Works Centre for Wellbeing, we are looking at evidence of what can be done to improve wellbeing in the UK. There are clear benefits to this goal; we get ill less and recover more quickly, we are more creative, collaborative, and giving. We perform better at work; and have stronger social networks. So what evidence is there on wellbeing that is relevant to archives?
Understanding the connection between things we value and our happiness will help us see how spending decisions can improve wellbeing in the UK. The challenge is for the archives sector to develop its understanding of these and other connections, and harness them to increase our happiness.
* an evidence-based set of practical actions people can undertake in their everyday lives and that decisionmakers can build into policy, along with 'give', 'connect', 'take notice' and 'be active'.
## Nancy Hey Director What Works Centre For Wellbeing
Archives make us think, and learning is one of the 'five ways to wellbeing'.* Of these five ways, learning drops off most dramatically with age in the UK, which suggests a potential role for archives in an ageing population. An understanding of our personal and shared histories, and constructing an 'intergenerational sense of self', connects us with something much There are social benefits of archives too, providing another of the 'five ways'; the connections, trust and the sense of community that come from everyday interactions are vital for our wellbeing. Studies have suggested that the impact of unwanted social isolation—loneliness—
may be as bad for health as smoking, and increases the risk of conditions including dementia. Sharing positive emotions, including the things we experience in an archive, such as feeling interested, engaged or having a sense of accomplishment, makes their effect on us stronger. This is important as we tend to notice negative feelings
## Case Study The Dna Of A Business: John Lewis Partnership Archive
store designs, and supporting staff training and development.
## T
In addition to the regular work undertaken by the archive team, the building is now open to the public one day a week. A programme of talks, team days, events and craft activities ensure that the archive is now the cultural heart of an international business.
## Key Learning Point
he 150th anniversary of retailer John Lewis, in 2014, provided the archive with an opportunity to demonstrate its value, and contribute to innovation. The archive was used to reinforce the brand's history and values, and to celebrate its unique partnership model. From the principle of 'never knowingly undersold', to its famous customer service, the company today remains closely connected to its past and actively uses this knowledge to inspire those working in business now and in the future.
Using John Lewis's comprehensive design archive, teams from across the business worked with long-standing suppliers to bring back fresh reinterpretations of iconic designs. Limited edition items were launched, such as a Smeg fridge, Le Creuset ovenware and an updated version of a classic Silver Cross pram. One such product was the revival of a 'DaisyChain' design created by Pat Albeck in the 1960s, which was itself a homage to the work of British designer William Morris, emphasising the importance of heritage to the organisation.
Judy Faraday, John Lewis Partnership Archivist, says: 'The investment in the archive has undoubtedly released greater productivity and value through an ability to offer a great service to the business. The archive is genuinely at the heart of the company, actively influencing its future.'
Using John Lewis's comprehensive design archive, teams from across the business worked with long-standing suppliers to bring back fresh reinterpretations of iconic designs.
The archive helped boost sales during the anniversary period. Furthermore, the work also reinforced the value which teams across the business derive from working with the archive. It highlights the corporate memory which is in the DNA of the John Lewis Partnership culture, as well as inspiring new Images left to right: 1960 Renault advert, courtesy of History of Advertising Trust | courtesy of Clonbrock Photographic Collection, National Library of Ireland | courtesy of Shrewsbury School The power of archives is in both their evidential and emotional impact. Whether revisiting national history or telling the story of your own family, they turn names into personalities, give us the arguments behind decisions and reveal the complexity of individuals, communities and societies.
## Think-Piece Archives And Economic Growth W
hat do archives contribute towards economic growth or economic development? It's not a question that is very often considered, let alone the technicalities of how this would be measured. While it's undoubtedly a challenge, I'm sure that this is a missed opportunity.
interesting examples of firms benefitting from the use of their historic records. They can be used to develop new product lines based on heritage designs, or packaging might be given a retro theme. Similarly, advertising campaigns can draw upon archive material to help emphasise the history of a firm or to reinforce well-known brands.
world there is the opportunity to unlock even more data and information, and in ways that were not possible, or even imaginable, before. This offers even greater potential to promote growth. The challenge is not just to think about how this can be done, but demonstrate the impact. We know that, but we must convince others, and that means advocacy and evidence. Meanwhile, I look forward to a day when I read the headline 'Archives Make Us Richer'.
MIKE ANSON
ARCHIVIST
BANK OF ENGLAND ARCHIVE
Sales of new products, advertising, the attachment to a trusted brand - this all translates into consumer expenditure, into profits, into jobs and ultimately into growth.
Whether that is a retailer selling clothes or cosmetics, or a financial institution's television advert resulting in more customers, it all contributes to the total value of goods and services produced.
Economic growth is typically discussed in terms of gross national product. That means increases in the total value of goods and services produced by a country in any one year, making it richer. But there are alternative measures, for example wellbeing or happiness. Experiences, feelings and values—such as discovery, education, justice and truth—all have worth to individuals and to society. All are different forms of richness that archives help deliver.
Of course, archives have always been able to create these impacts. However, in the digital Returning to economic growth, as Chair of the Business Archives Council, I see many
## Openness
> Archives **deliver an excellent user experience**, enabling
people to find, access and interpret archive records, whether digital or physical.
> The **rich diversity of society is reflected** in our archives'
collections, users and workers.
## Archives Cultivate An Open Approach To Knowledge, And Are Accessible To All.
> Archives are networked globally to maintain excellent
practice and open new possibilities for institutions and users.
## Case Study Reaching New Audiences: Archives+, Manchester A
The development of collections now comes from proper engagement with communities who can work with many different archives.
rchives + is a partnership of archive collections from across the region, and the home of Manchester's history and heritage services. The documents, photographs and films at the heart of the collection connect people with the story of the city: its industry, its communities, and its history of radical politics.
The city's reputation for radical thought is reflected in the council's engagement agenda. Through the Activation programme, the public themselves decide where the gaps in collections are, and use the archives to design and deliver their own heritage activities. Participants have included the Coalition of Disabled People, and black and minority ethnic (BAME) communities, giving them a unique opportunity to curate a digital exhibition that appears in a library that has 1.4 million visitors a year, in addition to online access.
KEY LEARNING POINT
Kevin Bolton, the archivist who designed and delivered the project, says: 'It's no longer always about us continuing to deliver projects, however worthy. It's a big culture change for staff and partners to be willing to cede control to the community. But the rewards are worth the effort.'
The redevelopment of Manchester Central Library provided the opportunity for Archives+ to transform its relationship with local communities. The centre handed the power to its partners, who jointly curated the striking new exhibition in the building's entrance, using their own collections. The goal was to reach new audiences, people who may never have used archives before, including young people and people from marginalised groups.
The development of collections now comes from proper engagement with communities who can work with many different archives. By working more effectively together, the archives also have a louder voice and bigger influence on the city's cultural programme.
© The Board of Trustees of the Science Museum
## Think-Piece Archiving 'Journeys To Belonging' F
or newish migrant-settler communities, there is an accelerated interest in archiving their 'journeys to belonging' as full and valued citizens. For these communities, archives have become a site of struggle against social and political marginalisation and exclusion. There are implications for the professional archivist establishment. Archivists have a vital role in reparative history-making.
are groups from these same communities energetically discussing and devising new strategies to challenge that tired, debilitating narrative of inconsistent funding. Recognising that errors of omission in dominant heritage narratives result as much from ignorance as disregard, cultural activists from these communities aim to assist in, as well as demand, the plugging of the gaps.
archival materials accessible and available to educators and cultural animators. Central to all this will be the acquisition of new archival skills by non-professionals, assisted by established professionals. Providing this assistance will bring new kinds of challenge to existing professional practice. These demands and difficulties coming from marginalised constituencies can be viewed as daunting, or, they can be grasped as exciting professional challenges for archivists.
## Colin Prescod Chair Institute Of Race Relations
Among Caribbean, South Asian, and African migrant-settler communities, for example, from the last century until now, funding initiatives in support of heritage projects have often been piecemeal, with a tendency to flavour-of-the-moment tokenism. Notwithstanding the arrival on the scene of the Black Cultural Archives, currently, up and down the country, there Beyond the bold ambitions and demands coming out of these and other newer migrant-settler communities is the matter of obtaining the active and proactive assistance of established archives and archivists. This assistance will be needed to address major archival challenges in collecting, evaluating, conserving, interpreting and making records and
## Case Study Seeing Archives Differently: Know Your Place, Bristol K
informed by evidence from the historic record. The archive has seen use of its collections greatly increase, and its success means the project is now expanding to the South West region with support from the Heritage Lottery Fund.
mapping software, overlaid with digital surrogates from a wide range of collections. This can lead to bespoke interpretations; for the centenary of the First World War, new layers were added, plotting sites of significance for the conflict, such as munitions factories, military hospitals and memorials.
now Your Place is a digital mapping project which allows users to explore their local area online, placing local history and heritage at their fingertips. It is more intuitive and flexible than a traditional archival catalogue, recognising that when it comes to our streets, our towns and our countryside, it is often easiest to find things on a map. Know Your Place is a collaboration between Bristol Archives and the city's planning team. The website uses historic maps and street views alongside the council's pin-point KEY LEARNING POINT
City Archivist Julian Warren says, 'the mapping tool gives you so much data in one place, with such rich context, that would have normally taken ages to assemble in the search room. It's a win-win for users, staff and the council.'
The website can be freely used by individuals and groups, leading to exciting projects that build a sense of place. It has been used by Bristol's LGBT+ community to map the shifting spaces important to their history. Through the map, you can listen to people's stories, view photographs, posters and flyers and explore places important to histories of both toleration and oppression. A key project aim was to improve planning applications; by using screengrabs and prints from Know Your Place, users are now better The website can be freely used by individuals and groups, leading to exciting projects that build a sense of place.
Images left to right: © Trustees of the Natural History Museum, London | Stoke Mandeville Games, 1948, ©Centre for Buckinghamshire Studies |
courtesy of Barnsley Archives and Discovery Centre Archives are for everyone. Just as our language, our culture and our high streets reflect changes in society, our records should too. When future generations look back at today, they need to see the vibrancy of our society and the diversity of our experience.
## Think-Piece The Archivist Of The Future
the materials but also disseminating the collection to wider audiences.
## I
on digitisation, we will need to curate content and engage new audiences, as the NT has started to do using the opportunities afforded by new technologies such as the Google Cultural Institute, virtual reality and apps.
n periods of organisational change, archives remain constant. This is true for governments, companies, or, as we have recently experienced at the National Theatre (NT), a new artistic director. Since it was founded in 1963, the NT has had six artistic directors. Each brings their own leadership and vision, shaping the company in different ways; the archive has an important role in recording those shifts, demonstrating its integral part to play in business continuity and as the authoritative source on performance history.
Just as the NT strives to represent the 'nation' it serves, our sector must focus on diversifying our workforce across all areas of the population to ensure that we are truly representative of our country. Fairer and more accessible routes into the profession are needed to enrich our sector with diverse skills and knowledge. The sector increasingly needs skills beyond the traditional, ensuring that we can meet the challenges of fundraising, outreach, increasing demand for content and growing enthusiasm for engagement with users.
## Erin Lee Archivist National Theatre
In the future, digital expertise will become engrained in the traditional archive skillset; approaches to paper, born digital and collections of other media will need to merge. With the increasing levels of digitised archive content available online, the role of archivists will change. Instead of focusing Preservation, conservation and access have always been the backbone of our sector, and so they will continue to be across different formats of materials. This broader outlook on collections should also encourage widespread and more sustained collaborations with libraries, museums, and the education sector to ensure crosspollination of ideas and projects. The NT's involvement with students has allowed us to open up one of our collections to a much wider researcher base than we would have otherwise thought, not only improving our understanding and appreciation of
## Action Plan
The National Archives is committed to realising this vision
and we have developed an action plan to support it. The plan will be delivered in partnership with the whole archives sector, and partners from the wider cultural, digital, heritage and education spheres. We will revise the action plan on an annual basis.
T
o achieve our ambitions of trust, enrichment and openness, we must tackle the barriers to success. To do so, we need to meet the key challenges facing the sector, but also advocate for archives and ensure their value is understood. The action plan will address three vital themes: digital capacity, resilience and impact. The plan will:
> Develop the **digital capacity** of the archives sector, to preserve digital
records and increase discoverability of the paper and digital archive.
CONSULTATION PROCESS AND WHO WE WORKED WITH
To make the plan happen, The National Archives will be supported by a challenge panel comprising leading organisations within the sector, and partners from the wider cultural, digital and education spheres.
> Build the sector's **resilience** to ensure more archives can meet and
sustain the Archive Service Accreditation standard, open the sector to new skills and a more diverse workforce, increase income generation capacities, and support innovative service models.
> Demonstrate the **impact** of archives by developing and expanding
audiences, piloting approaches to using data and evidence, and
influencing thinking in the IT, commercial and knowledge sectors.
The Turing Digital Archive ©Kings College Cambridge responses. A public consultation and survey on the draft vision ran October 2016-January 2017 and we received a further 130 responses to this. We also held six expert panels with our key strategic partners to explore the draft vision in detail.
The National Archives leads and supports the sector of over 2,500 archives in England, and has statutory responsibilities for public records held by archive services in Wales, where we work in collaboration with the Welsh Government. While *Archives Unlocked* is focused on archives in England, we will continue to work with partners in the home nations and internationally, to address the challenges and opportunities of using archives in a digital world within a UK context, and to support research and innovation.
## How This Document Was Produced
Government Group, CILIP, CIPFA, Community Archives & Heritage Group, Creative and Cultural Skills, Digital Preservation Coalition, FARMER, Find My Past, Gale Cengage, Heritage Lottery Fund, Historic Houses Archivists Group, Imperial War Museum, Innovate UK, JISC, Local Government Association, London Metropolitan Archives, National Media Museum, National Theatre, Polonsky Digital Preservation Programme, Pilgrim Trust, Rambert Archive, Religious Archives Group, Research Libraries UK, Tate, University of London Computer Centre, Wellcome Trust and Zooniverse, in addition to academics and representatives from local archive services.
Throughout our consultation, we were supported by a **reference group** from across the archives sector. Reference group members were: Mike Anson (Bank of England), Rob Baker (Blind Veterans Association), Kevin Bolton (then at Archives +), Judy Burg (Durham University), Sam Johnston (Dorset History Centre), Alex Miller (Wigan Council), Chris Mumby (The National Archives), Arike Oke (Rambert Archive), Geoff Pick (London Metropolitan Archives), Gary Tuson (Norfolk County Council), Chris Webb (York University), and Simon Wilson (Hull History Centre).
Archives Unlocked and the accompanying action plan were developed with the support of Activist Group.
Archives Unlocked is the result of a process of co-creation. We consulted widely, listening to a very broad range of voices from across the archives sector: a range of funders and partners from the wider culture, heritage and information worlds, and archive users. We ran four roundtables across England, attended by 179 people from across the archives sector, and conducted an online survey which received 235
Expert Panel members came from: Ancestry.
com, Archives and Records Association, Arts and Humanities Research Council, Arts Council England, BBC, Borthwick Institute, British Library, Business Archives Council, Chief Archivists in Local | en |
1697-pdf |
## Forestry Statistics 2020 Chapter 8: Finance & Prices
Release date:
24 September 2020
Coverage:
United Kingdom Geographical breakdown:
Country
Issued by:
Forest Research 231 Corstorphine Road, Edinburgh, EH12 7AT
Enquiries:
Robert Stagg 0300 067 5238 [email protected]
Statistician:
Sheila Ward 0300 067 5236
Website:
www.forestresearch.gov.uk/statistics/
## Contents
Introduction ........................................................................................ 3 Key findings ........................................................................................ 4 8.1 Timber prices ................................................................................. 5 8.2 Gross value added .......................................................................... 8
8.3 Government expenditure on public forests ........................................
10
8.4 Other government expenditure on forestry........................................
12
8.5 Grant schemes ..............................................................................
14
## Introduction
This chapter contains statistics on:
- timber prices; - gross value added (GVA); - Government expenditure on forestry; and - grant schemes.
Estimates for England, Wales, Scotland and Northern Ireland are included, where possible, in addition to UK or GB totals. Further information on the data sources and methodology used to compile the figures is provided in the Sources chapter. Most of the statistics presented in this chapter have been previously released. Some of the figures for earlier years have been revised since Forestry Statistics 2019. For further details on revisions, see the Finance & Prices section of the Sources chapter. A copy of all Finance & Prices tables can be accessed in spreadsheet format from the Data Downloads web page at www.forestresearch.gov.uk/tools-andresources/statistics/data-downloads/.
## Key Findings
The main findings are:
- The Coniferous Standing Sales Price Index for Great Britain was 14.8%
lower in real terms in the year to March 2020, compared with the previous year.
- The Softwood Sawlog Price Index for Great Britain was 18.6% lower in
real terms in the 6 months to March 2020, compared with the corresponding period of the previous year.
- Gross value added (GVA) in primary wood processing (sawmilling, panels
and pulp & paper) was £1.88 billion in the UK in 2018. GVA in forestry was £0.67 billion.
- Net expenditure on public forests by Forestry England and by Forestry
and Land Scotland totalled £26.2 million in 2019-20. A further £89.9 million was spent by the Forestry Commission and Scottish Forestry on other activities.
- A total of £80.6 million was paid in grants by the Forestry Commission,
Scottish Forestry and the Welsh Government in 2019-20.
## 8.1 Timber Prices
Timber Price Indices are based on sales of softwood (conifers) by Forestry England, Forestry and Land Scotland and Natural Resources Wales and are released every 6 months. The Coniferous Standing Sales Price Index monitors changes in the average price received per cubic metre for timber that Forestry England/ Forestry and Land Scotland/ Natural Resources Wales sold standing, where the purchaser is responsible for harvesting. The Softwood Sawlog Price Index monitors changes in the average price received per cubic metre of sawlogs (roundwood with a top diameter of 14 cm or more, destined to be sawn into planks or boards) sold at roadside by Forestry England/ Forestry and Land Scotland/ Natural Resources Wales. Standing timber and sawlogs are distinct markets and may show different price movements. The data are averages for historic periods, so may be slow to show any turning points. These indices are used to monitor trends in timber prices and to provide information on the state of the UK timber industry. They are also used by the UK timber industry, alongside other economic indicators, in contract reviews. There is little other information currently available on wood prices before primary processing and no price index is available for broadleaves. Prices for outputs of primary wood processing are collected by the Office for National Statistics (ONS) in the Producer Price Indices (PPIs), and these are available in the MM22 dataset which gives detailed PPIs monthly. Table 8.1 presents the coniferous standing sales and sawlog price indices for Great Britain to March 2020. The coniferous standing sales price index for Great Britain was 14.8% lower in real terms in the year to March 2020, compared with the previous year (Table 8.1). The softwood sawlog price index was 18.6% lower in real terms in the 6 months to March 2020, compared with the corresponding period in the previous year. These decreases follow a generally increasing trend in both indices in recent years.
index (period to September 2016 = 100)
Standing sales2
Standing
Sawlog index
Sawlog
Year
in nominal
sales2 index in
in nominal
index in real
terms3
real terms4
terms3
terms4
2012
83.9
90.2
88.2
95.0
2013
78.6
82.8
97.9
103.4
2014
90.9
93.9
109.5
113.4
2015
108.8
110.9
103.2
106.1
2016
98.5
99.5
97.1
98.7
2017
110.0
108.5
110.8
109.6
2018
143.5
139.2
133.9
130.1
2019
185.5
176.2
180.6
172.3
2020
161.0
150.1
149.7
140.2
Source: Timber Price Indices: data to March 2020 Notes:
1. The price indices are constructed from information on sales by Forestry England/ Forestry
and Land Scotland/ Natural Resources Wales only.
2. The standing sales index uses the Fisher method with 5 year chain linking to take account
of changes in the size mix over time.
3. Nominal prices are the actual prices at that point in time.
4. Real terms values are obtained by using the GDP deflator to convert to "constant prices"
(in this case prices in 2016). This allows trends in timber prices to be tracked without the influence of inflation.
5. The standing sales index excludes sales by Natural Resources Wales from April 2017. 6. Sawlog prices in Wales in the year to March 2018 include long term contract rates for the
clearance of infected larch.
Source: Timber Price Indices: data to March 2020 Notes:
1. The price indices are constructed from information on sales by Forestry England/ Forestry
and Land Scotland/ Natural Resources Wales only.
2. The standing sales index uses the Fisher method with 5 year chain linking to take account
of changes in the size mix over time.
3. Real terms values are obtained by using the GDP deflator to convert to "constant prices"
(in this case prices in 2016). This allows trends in timber prices to be tracked without the influence of inflation.
4. The standing sales index excludes sales by Natural Resources Wales from April 2017. 5. Sawlog prices in Wales in the year to March 2018 include long term contract rates for the
clearance of infected larch.
## 8.2 Gross Value Added
Gross value added (GVA) measures the contribution to the economy of each individual producer, industry or sector in the United Kingdom. It is the difference between the value of outputs and the value of intermediate consumption, so mainly comprises employment costs and profits. The Annual Business Survey (ABS) carried out by the Office for National Statistics (ONS) includes statistics on gross value added for different industries, classified using the UK Standard Industrial Classification (SIC 2007). Further information on the ABS is available from the ONS website. Table 8.2 shows that, in 2018, GVA in primary wood processing (sawmilling, panels and pulp & paper) was reported to be £1.88 billion and GVA in forestry was £0.67 billion.
##
£ million
Standard Industrial
Classification (SIC)1
2014
2015
2016
2017
2018
Forestry
540
658
596
698
673
Wood products
Sawmilling
356
474
413
420
579
Panels2
436
323
316
363
453
Secondary products
1,955
2,478
2,850
2,532
2,666
Total
2,747 3,275 3,579 3,315 3,698
Pulp, paper & paper products
Pulp & paper
596
738
610
707
845
Articles of paper & paperboard
3,197
2,749
2,786
2,607
2,528
Total
3,793 3,487 3,396 3,314 3,373
Total wood processing
6,540 6,762 6,975 6,629 7,071
Total primary wood processing
1,388 1,535 1,339 1,490 1,877
Source: Annual Business Survey (Office for National Statistics, May 2020) Notes:
1. Categories are based on the UK Standard Industrial Classification (SIC 2007) categories.
Further details on the SIC codes used are provided in the Sources: Employment and businesses page.
2. The 2014 to 2016 and 2018 figures for panels have been suppressed in the figures
released by ONS, so the figures here cover both panels and the manufacture of assembled parquet floors (SIC 16.22) for those years. Panels accounted for 99% of the total of SIC codes 16.21 (panels) and 16.22 in 2017.
3. Excludes other wood-using industries.
## 8.3 Government Expenditure On Public Forests
Table 8.3 provides information on net expenditure on public forests by Forestry England and by Forestry and Land Scotland. This covers expenditure less income for land that is owned or managed by Forestry England/ Forestry and Land Scotland. Other expenditure by the Forestry Commission and Scottish Forestry is covered in Table 8.5. Figures for Wales on a comparable basis are currently unavailable. Net expenditure on public forests by Forestry England/ Forestry and Land Scotland in 2019-20 totalled £26.2 million. This comprised £22.4 million in England and £3.8 million in Scotland. Recreation, conservation & heritage accounted for £78.7 million of the total expenditure in 2019-20, harvesting & haulage for £40.8 million and other expenditure on public forests for £107.0 million. Timber sales generated a total income of £136.2 million in 2019-20. Recreation, conservation & heritage accounted for a further £32.0 million and other income from public forests for an additional £32.1 million.
£ million
2016-
2017-
2018-
2019-
2015-
16
17
18
19
20
GB
Harvesting & haulage
37.9
35.9
36.8
36.4
40.8
Recreation, etc.4
67.8
70.9
72.7
70.2
78.7
Other
89.2
89.0
96.4
110.4
107.0
Timber
-99.1
-104.3
-111.3
-131.2
-136.2
Recreation, etc.4
-24.8
-29.6
-31.4
-31.5
-32.0
Other
-26.8
-27.7
-24.8
-27.5
-32.1
Net expenditure
44.2
34.2
38.4
26.8
26.2
England
Harvesting & haulage
10.6
10.6
11.3
14.0
16.2
Recreation, etc.4
45.0
49.7
49.4
49.4
57.8
Other
29.2
31.3
32.9
38.3
36.6
Timber
-36.7
-38.9
-43.4
-53.2
-50.8
Recreation, etc.4
-21.1
-26.2
-28.3
-27.8
-27.9
Other
-9.3
-8.6
-5.8
-8.8
-9.5
Net expenditure
17.7
17.9
16.1
11.9
22.4
Scotland
Harvesting & haulage
27.3
25.3
25.5
22.4
24.6
Recreation, etc.4
22.8
21.2
23.3
20.8
20.9
Other
60.0
57.7
63.5
72.1
70.4
Timber
-62.4
-65.4
-67.9
-78.0
-85.4
Recreation, etc.4
-3.7
-3.4
-3.1
-3.7
-4.1
Other
-17.5
-19.1
-19.0
-18.7
-22.6
**Net expenditure**
26.5
16.3
22.3
14.9
3.8
Source: Forestry England, Forestry and Land Scotland Notes:
1. Expenditure by Forestry England and by Forestry and Land Scotland only. Excludes expenditure incurred by other departments.
2. Excludes notional cost of capital and any surplus/deficit on sale of properties. 3. Excludes gain on revaluation of biological assets and value of timber felled.
4. Recreation, etc. includes conservation and heritage.
## 8.4 Other Government Expenditure On Forestry
Table 8.4 provides information on other expenditure (excluding public forests) by the Forestry Commission and Scottish Forestry. It includes expenditure by National Offices in England and Scotland as well as expenditure on GB level functions. Figures for Wales on a comparable basis are not currently available. Expenditure on land that is owned or managed by Forestry England/ Forestry and Land Scotland is covered in Table 8.3. In addition to expenditure on public forests, the Forestry Commission/ Scottish Forestry spent a total of £89.8 million on other activities in 2019-20 (Table 8.4). Together, the Forestry Commission and Scottish Forestry used £65.4 million for grants and partnership funding and £12.8 million for policy, regulation & administration in 2019-20. A further £11.6 million of funding was provided to Forest Research by Defra, the Forestry Commission and the Devolved Administrations.
£ million
2016-
2017-
2018-
2019-
2015-
16
17
18
19
20
GB
Grants and partnership funding3
57.2
61.6
57.6
62.9
65.4
Policy, regulation & administration
13.1
12.2
11.9
12.1
12.8
Research - GB funded4
8.4
9.6
10.5
11.8
11.6
International & GB support services4,6
32.1
28.4
25.4
21.6
0.0
Less recovery of support service costs from countries6
-20.7
-16.1
-13.1
-11.3
0.0
Total
90.1
95.7
92.3
97.1
89.8
England
Grants and partnership funding3
24.8
24.0
13.8
8.3
5.8
Policy, regulation & administration5
1.8
2.2
1.9
0.7
0.7
Total
26.6
26.2
15.7
9.0
6.5
Scotland
Grants and partnership funding3
32.4
37.6
43.8
54.6
59.6
Policy, regulation &
administration5
11.3
10.0
10.0
11.4
12.1
Total
43.7
47.6
53.8
66.0
71.7
Source: Forestry Commission, Scottish Forestry, Forest Research Notes:
1. Forestry Commission/ Scottish Forestry expenditure only. Excludes expenditure incurred
by other departments.
2. Excludes miscellaneous income. 3. EU co-financing not subtracted from grant expenditure. In England authority for the Rural
Development Programme for England (RDPE) grant scheme rests with Defra. Grant expenditure funded by Defra that is managed by the Forestry Commission is excluded from this table.
4. The estimates for GB funded research relate to Forest Research income from Defra, the
Forestry Commission and Devolved Administrations. The increase in "Research - GB funded" and corresponding decrease in "International & GB support services" from 2015-16
to 2016-17 largely reflect organisational change within the Forestry Commission, with the transfer of some functions into Forest Research in April 2016.
5. Country costs for "policy, regulation & administration" include shares of GB support service
costs.
6. Central services were disbanded following reorganisation of the Forestry Commission in
April 2019.
## 8.5 Grant Schemes
Private sector woodland in Great Britain is supported by a range of grants for creating new woodland and managing existing woodland. The Woodland Grant Scheme (WGS) was introduced in 1988, at the same time as tax relief was phased out. In Scotland, WGS was replaced by the Scottish Forestry Grant Scheme (SFGS) in 2003, by Rural Development Contracts in 2006 and has now been replaced by the Forestry Grant Scheme. The English Woodland Grant Scheme (EWGS) was launched in July 2005 and has now been replaced by Countryside Stewardship and other grants (e.g. the Woodland Carbon Fund and the HS2 Woodland Fund). Better Woodlands for Wales (BWW) was launched in December 2005 and has now been replaced by Glastir (administered by the Welsh Government). Because of the differences between these schemes, it is increasingly difficult to provide comparable statistics across the three countries. The following tables provide information relating to planting and grants:
- Table 1.13a and 1.13b for total areas of new planting; - Table 1.14a and 1.14b for total areas of grant-funded restocking; - Table 8.4 for expenditure by the Forestry Commission/ Scottish Forestry
on grants and partnership funding;
- Table 8.5 (below) for grant expenditure by the Forestry Commission
(including grant expenditure managed by the Forestry Commission on behalf of Defra), by Scottish Forestry and by the Welsh Government.
##
Table 8.5 presents information on grant money paid in 2010-11 to 2019-20. A total of £80.6 million was paid in grants in 2019-20, a 5% increase from the total for the previous year. At a country level, £52.2 million was paid in grants in Scotland in 2019-20 (an increase of 4% from the previous year), £22.4 million was paid in England (a 9% increase) and £6.0 million in Wales (an increase of 1%).
£ million
England1
Wales2
Scotland3
GB
2010-11
28.7
3.8
18.9
51.4
2011-12
32.5
5.4
34.2
72.1
2012-13
32.8
5.0
32.3
70.1
2013-14
33.9
4.1
35.5
73.5
2014-15
32.4
1.8
39.2
73.4
2015-16
23.0
3.6
27.5
54.1
2016-17
23.8
3.3
30.5
57.5
2017-18
13.5
4.7
37.9
56.1
2018-19
20.5
5.9
50.2
76.6
2019-20
22.4
6.0
52.2
80.6
Source: Forestry Commission, Scottish Forestry, Welsh Government Notes:
1. England includes grant scheme expenditure managed by the Forestry Commission on
behalf of Defra.
2. Wales relates to grant paid by the Welsh Government. 3. Scotland includes grants paid under the Forestry Grant Scheme and legacy schemes
(including Rural Development Contracts).
##
The total grant money paid in Great Britain has fluctuated over recent years, with levels often dipping around the times that new grant schemes are introduced, followed by a sharp recovery.
Source: Forestry Commission, Scottish Forestry, Welsh Government Notes:
1. England includes grant scheme expenditure managed by the Forestry Commission on
behalf of Defra.
2. Wales relates to grant paid by the Welsh Government.
3. Scotland includes grants paid under the Forestry Grant Scheme and legacy schemes
(including Rural Development Contracts). | en |
1329-pdf | Apprenticeship Opportunities and Procedures for Young People in Bexley The London Borough of Bexley supports a 2-tier (work-based learning)
apprenticeship programme (level 2 and 3). Every year between 30-40 young people gain valuable work experience plus a formal NVQ qualification. Bexley want to encourage departments to think about vacancies becoming a training opportunity for the right candidate. This gives departments an opportunity to train and grow their future workforce. Learners spend 4 days in a placement and one day at college. Level 2 learners are non-employed; they receive a training allowance (currently £80) and are on the scheme for 12 months. The scheme has many objectives and benefits for both Bexley and the young people of the Borough.
Objectives and Benefits:
- Helps young people bridge the gap between full time education and
employment.
- Raises awareness of recruitment channels and career opportunities in Local
Authorities
- Can be used as a recruitment tool to the level 3 programme and/or future
employment
- A development opportunity for both the young person and the department - Can be used as a succession planning tool - An opportunity for the young person to work and study
- A cheap source of labour to the Council
- To develop students' confidence, maturity, flexibility, self-reliance and the ability
to work with others
- The LSC (Learning Skills Council) fully fund the qualification for learners up to
19 years of age
- Bexley Council use a training provider to deliver the NVQ qualification
- The NVQ framework includes key skills, citizenship and a technical certificate
(*some learners are exempt from certain parts of the framework).*
- Learners are required to sign and adhere to a code of conduct.
## Bexley Council Procedures For Offering A Level 2 Apprenticeship Placement Vacancies Are Advertised On The Internet. Full Details Of The Scheme And How To Apply For A Placement Appear On The Web Site.
http://www.bexley.gov.uk/about/vacancies/apprenticeship/index.html. The majority of recruits start late summer once they have completed their exams. However the programme can be recruited to throughout the year. Every applicant is required to complete a detailed application form; sit assessment target skills tests and attend at least one interview. The scheme looks for dedicated young people who demonstrate commitment and reliability. Bexley staff can develop and train the right applicant with the skills required to competently achieve the qualification and demonstrate best practice in the workplace.
Bexley currently offers placements in the following vocational areas:
Administration
Information Technology
Childcare, Learning and Development
Customer Focus
Please notify Cheryl Jones (Apprenticeship Consultant), [email protected] if you or anyone in your department can offer an apprenticeship placement. Successful learners are monitored at least once a term by the Apprenticeship Consultant and assessors from the training provider. Their progress is constantly reviewed and measures are put in place to ensure all learners complete the programme within the timed deadlines. Line Managers are responsible for:
- Involving the apprentice learner in a varied workload - Developing and equipping the learner with as many skills as possible - Conducting a mini-induction on the first morning (to include Health & Safety) - Making time for feedback sessions to monitor and discuss learner progress - Keeping records of attendance, punctuality and annual leave
- Working in partnership with the Apprenticeship Consultant and the training
provider.
- Organising a suitable log-on profile
## The Level 3 Apprenticeship Programme Level 3 Learners Are Employed. Placements Are Matched Against Vacant Positions. Learners Are On The Level 3 Programme For 18-24 Months And Spend Approximately 52 Full Days At College. Learners Are Promoted Onto The Level 3 Programme From Level 2. Level 3 Learners Have All The Rights And Responsibilities Of Any Other Employee. The Work Experience Placement Scheme
Planning and Organisational Considerations
Dates: Recruitment to the schemes is on-going and according to demand. Most learners commence their apprenticeship during August or September.
Hours of Work: Learners should work a standard eight-hour day with the usual breaks and should not be asked to work more than five consecutive days out of seven.
Duties and Responsibilities: Will vary according to the work of the department, Health and Safety considerations and the aptitude and ability of the learner. Duties must be varied and meet the needs of the qualification criteria.
Dress and Conduct: All learners would have signed the code of conduct form prior to commencing in placement. Students should be required to conform to the department's dress code and any breach of this code should be corrected. The vast majority of learners perform their duties in a completely satisfactory manner but any misdemeanours will be dealt with in the usual way with a verbal corrections and warnings. If this fails to correct the situation the learner may be asked to leave the scheme.
Health and Safety Issues: It is essential that learners are fully briefed on the hazards of the workplace and the control measures to reduce or eliminate risk or injury at the start of their placement. Equal Opportunities: The Council's Valuing Diversity Policy will apply to apprentice learners.
Pupil Supervision and Monitoring: It is expected that while learners are in their placement they will be adequately supervised by a responsible person and their progress monitored. Regular feedback sessions will occur. | en |
0320-pdf | In 2018, UK emissions of the basket of seven greenhouse gases covered by the Kyoto Protocol were estimated to be 451.5 million tonnes carbon dioxide equivalent (MtCO2e), a decrease of 2.1% compared to the 2017 figure of 461.0 million tonnes. Greenhouse gas emissions in 2018 are estimated to be 43.1% lower than they were in 1990.
- The decrease in greenhouse gas emissions from 2017 was mainly caused by reductions in
emissions in the energy supply sector, down 6.6% (7.4 MtCO2e). This was driven by the
continued decrease in power station emissions due to the change in the fuel mix for electricity generation, in particular a reduction in the use of coal and gas. Emissions from
energy supply are now 62.3% lower than they were in 1990.
- Emissions from transport fell by 1.4% (1.8 MtCO2e) in 2018, their first fall since 2013.
Despite this transport remains the largest emitting sector, responsible for 28% of all
greenhouse gas emissions in the UK. Transport emissions are only 3.0% lower than in
1990, as increased road traffic has largely offset improvements in vehicle fuel efficiency.
- Between 2017 and 2018 emissions from the business sector decreased by 2.5% (2.1
MtCO2e) caused by falls from industrial combustion and from refrigeration and air
conditioning. Emissions from industrial processes decreased by 7.3% (0.8 MtCO2e),
caused by reduced emissions from the production of ammonia, halocarbons, iron and steel.
- There was an increase of 3.8% (2.5 MtCO2e) in residential sector emissions, driven by an
increase in the use of natural gas for heating due to colder weather in the first half of 2018.
Similarly, there was a 3.7% increase in public sector emissions. Emissions from both of these sectors tend to vary from year to year depending on the temperature.
Carbon dioxide (CO2) is the most dominant greenhouse gas from the Kyoto "basket" of greenhouse gases, accounting for 81% of total UK greenhouse gas emissions in 2018. The latest figures show:
- UK net CO2 emissions were estimated to be 365.7 million tonnes (Mt) in 2018, which was
2.2% lower than the 2017 figure of 373.8 Mt. This decrease in CO2 emissions was mainly
due to the decrease in the use of coal and gas for electricity generation (as described above). Between 1990 and 2018 UK net CO2 emissions have decreased by 38.6%.
What you need to know about these statistics: This publication provides the latest estimates of 1990-2018 UK territorial greenhouse gas emissions, which are presented in carbon dioxide equivalent units (CO2e) throughout this statistical release. They show greenhouse gas emissions occurring within the UK's borders and cover the Kyoto "basket" of seven greenhouse gases: carbon dioxide (CO2), methane (CH4), nitrous oxide (N2O), hydrofluorocarbons (HFC), perfluorocarbons (PFC), sulphur hexafluoride (SF6) and nitrogen trifluoride (NF3).
## Contents
Introduction _______________________________________________________________ 3
2018 total greenhouse gas emissions ___________________________________________ 5 UK performance against emissions reduction targets _______________________________ 7
The Climate Change Act 2008 _______________________________________________ 7 Kyoto Protocol target ______________________________________________________ 8 EU Effort Sharing Decision __________________________________________________ 9 Emissions Trading _______________________________________________________ 10
European Union Emissions Trading System (EU ETS) _________________________ 10
Emissions by sector ________________________________________________________ 12
Transport ______________________________________________________________ 14
Energy supply
___________________________________________________________ 16
Business _______________________________________________________________ 18 Residential _____________________________________________________________ 19 Agriculture _____________________________________________________________ 20 Waste management ______________________________________________________ 20 Industrial processes ______________________________________________________ 21 Public _________________________________________________________________ 22 Land use, land use change and forestry (LULUCF) ______________________________ 23
Emissions from UK-based international aviation and shipping bunkers _________________ 25 Revisions from provisional estimates of greenhouse gas emissions ___________________ 26 Revisions to the UK's Greenhouse Gas Inventory _________________________________ 27 Accompanying tables _______________________________________________________ 34 Technical information _______________________________________________________ 35
Methodology for producing greenhouse gas emissions estimates ___________________ 35 Estimating emissions on a temperature adjusted basis ___________________________ 36
Uncertainties
____________________________________________________________ 37
Further information
_________________________________________________________ 37
Future updates to these statistics ____________________________________________ 37 Related publications ______________________________________________________ 38 Revisions policy _________________________________________________________ 39
Uses of these statistics
____________________________________________________ 39
User engagement ________________________________________________________ 39 National Statistics designation ______________________________________________ 40 Pre-release access to statistics _____________________________________________ 40
Contact ________________________________________________________________ 40
## Introduction
This publication provides the latest annual estimates of UK territorial greenhouse gas emissions from 1990-2018. The geographic coverage of this report is UK only unless stated otherwise. The figures in this statistical release are used as the basis for reporting against UK greenhouse gas emissions reduction targets and provide information for users on the drivers of emissions trends since 1990. Emissions are estimated following the guidance set out by the Intergovernmental Panel on Climate Change (IPCC1), as required for the UK's submissions to the United Nations Framework Convention on Climate Change (UNFCCC) each year. The estimates present emissions on a "territorial" basis, so only include emissions which occur within the UK's borders. They therefore exclude emissions from UK businesses and residents that occur abroad, including from international aviation and shipping, and any emissions embedded within the supply chain of manufactured goods and services imported into the UK (while including emissions that occur in the UK resulting from exported goods and services).
Two additional approaches to estimating UK emissions are also published and the Office for National Statistics (ONS) has published an article that compares these different measures of the UK's greenhouse gas emissions in more detail. The alternative measures are:
- ONS publishes emissions on a "residential" basis in the UK Environmental Accounts. The
figures represent emissions caused by UK residents and businesses whether in the UK or
abroad, but exclude emissions within the UK which can be attributed to overseas residents and businesses.
- The Department for Environment, Food and Rural Affairs (Defra) publishes the UK's carbon
footprint. This estimates emissions on a "consumption" basis, meaning it covers emissions associated with the consumption of goods and services by households in the UK. It
includes estimates of emissions associated with each stage of the supply chain for those goods and services, regardless of where they occur, while excluding emissions occurring in
the UK that are associated with the consumption of goods and services by households
outside the UK.
The estimates in this publication are based on the source of the emissions rather than where the end-user activity occurred, so for example emissions related to electricity generation are attributed to power stations, where the emissions occur, rather than homes and businesses where the electricity is used. A breakdown of 1990-2018 UK territorial emissions by end-user sector will be published as an annex to this publication on Thursday 26 March 20202.
These estimates cover the Kyoto "basket" of seven gases: carbon dioxide (CO2), methane (CH4), nitrous oxide (N2O), hydrofluorocarbons (HFC), perfluorocarbons (PFC), sulphur hexafluoride (SF6) and nitrogen trifluoride (NF3). The last four gases are collectively referred to as fluorinated gases or F gases. In accordance with international reporting and carbon trading protocols, emissions from each of the gases is weighted by its global warming potential
(GWP)3, so that total greenhouse gas emissions can be reported on a consistent basis. The GWP for each gas is defined as its warming influence relation to that of carbon dioxide over a
100 year period. Greenhouse gas emissions are then presented in carbon dioxide equivalent units (CO2e).
Carbon dioxide is reported in terms of net emissions, which means total emissions minus total removals of carbon dioxide from the atmosphere by carbon sinks. Carbon sinks are defined by the UNFCCC as "any process, activity or mechanism which removes a greenhouse gas, an aerosol or a precursor of a greenhouse gas from the atmosphere". For the purposes of reporting, greenhouse gas emissions are allocated into sectors as follows:
| Energy Supply | Emissions from electricity generation and other energy production activities |
|--------------------------------------------------------------------------------|----------------------------------------------------------------------------------|
| such as mining, refining and manufacturing fuels. In the end-user estimates | |
| these emissions are instead assigned between the other sectors based on | |
| where the electricity/fuel is used, or to the | Exports |
| abroad. | |
| Business | Emissions from fuel combustion and product use in industrial and commercial |
| sectors, and F gas emissions from refrigeration and air conditioning in all | |
| sectors. Includes industrial off-road machinery but not business-related | |
| transport emissions, which are included in the | Transport |
| Transport | Emissions from road transport, domestic aviation, railways and domestic |
| shipping. Only includes emissions from vehicles and not from transport | |
| related infrastructure or from air conditioning. International aviation and | |
| shipping emissions are not included in national totals. | |
| Public | Emissions from the combustion of fuel in public sector buildings, e.g. hospitals |
| and schools. Emissions from public transport are included in the | Transport |
| sector. | |
| Residential | Emissions from residential properties, including from consumer product use. |
| Primarily consists of fuel combustion for heating/cooking, garden machinery, | |
| and fluorinated gases released from aerosols and metered dose inhalers. | |
| Agriculture | Emissions of greenhouse gases from livestock, agricultural soils (excluding |
| carbon stock changes which are included in the | LULUCF |
| agricultural machinery. | |
| Industrial processes | Emissions resulting from industrial processes, except for those associated |
| with fuel combustion which are included in the | Business |
| Land use, land use | |
| change and forestry | |
| (LULUCF) | |
| Emissions/removals of CO | |
| 2 | |
| from changes in the carbon stock in forestland, | |
| cropland, grassland, wetlands, settlements and harvested wood products, and | |
| | |
| of other greenhouse gases from drainage (excl. croplands and intensive | |
| grasslands) and rewetting of soils, nitrogen mineralisation associated with | |
| loss and gain of soil organic matter, and fires. Because the impact of biomass | |
| harvest on carbon stocks in ecosystems is included in this sector, any | |
| emissions of CO | |
| 2 | |
| from burning biomass (regardless of the country of origin) | |
| are excluded from other sectors to avoid double counting them. | |
| Waste management | Emissions resulting from the treatment and disposal of solid and liquid waste, |
| for example from landfill, incineration and composting. Emissions from | |
| incineration with energy recovery are instead reported in the | Energy Supply |
| sector and emissions from residential composting are included in the | |
| Residential | sector. |
References to the 'UK Greenhouse Gas Inventory' refer to the consistent time series of emissions from 1990 to the most recent year which is updated annually and reported to the UN and the EU. The figures in these statistics are consistent with the UK's Greenhouse Gas Inventory for 1990-2018, although the inventory reported to the UN includes emissions from the UK's Crown Dependencies and certain Overseas Territories which are excluded from these statistics except where specifically stated.
Note that as part of this release the 1990-2017 emissions figures have been revised since the previous publication in February 2019, to incorporate methodological improvements and new data, and the 2018 figures have been revised from the provisional estimates published in March 2019. Details of these revisions can be found later in this statistical release.
When emissions are measured on this basis, UK emissions account for around 1% of the global total, based on a range of estimates produced by the UN, the International Energy Agency and the World Resources Institute amongst others.
2018 total greenhouse gas emissions In the data tables accompanying this publication, table 1 shows UK greenhouse gas emissions since 1990 by gas.
In 2018, UK emissions of the basket of seven greenhouse gases covered by the Kyoto Protocol were estimated to be 451.5 million tonnes carbon dioxide equivalent (MtCO2e), a decrease of 2.1% compared to the 2017 figure of 461.0 million tonnes. Greenhouse gas emissions in 2018 are estimated to be 43.1% lower than they were in 1990.
When broken down by gas, UK emissions are dominated by carbon dioxide, which is estimated to have accounted for about 81% of the UK's greenhouse gas emissions in 2018. Weighted by global warming potential, methane accounted for about 11% of UK emissions and nitrous oxide for about 5% of emissions in 2018. Fluorinated gases accounted for the remainder, around 3%. Carbon dioxide has always been the dominant greenhouse gas emitted in the UK. Emissions of CO2 have reduced by 38.6% (around 230 MtCO2) since 1990 to 365.7 MtCO2 in 2018, mainly due to decreases in emissions from power stations. There have been much larger proportional falls in emissions from methane (61.1% since 1990) and nitrous oxide (57.6%).
Fluorinated gas (F gas) emissions are estimated to be 20.3% lower now than they were in 1990, with hydrofluorocarbons (HFCs) being the dominant F gas.
## Uk Performance Against Emissions Reduction Targets
In the data tables accompanying this publication, table 9 shows the UK's progress against its domestic and international targets.
Note: The carbon accounting regulations for 2018 have not yet been laid in Parliament, and so the UK's progress against the first year of the third carbon budget is not yet available. Progress will be updated in an annex to this publication on 26 March 2020.
## The Climate Change Act 2008
The UK has domestic targets for reducing greenhouse gas emissions under the Climate Change Act 2008 (CCA)4. The CCA established a long-term legally binding framework to reduce emissions, initially committing the UK to reducing emissions by at least 80% below 1990/95 baselines by 2050. In June 2019, following the IPCC's Special Report on Global Warming of 1.5°C and advice from the independent Committee on Climate Change, the CCA was amended to commit the UK to achieving a 100% reduction in emissions (to net zero) by
2050.
The CCA also introduced carbon budgets, which set legally binding limits on the total amount of greenhouse gas emissions the UK can emit for a given five-year period5. The first carbon budget ran from 2008-12. In 2014, the UK confirmed that it had met the budget, with emissions
36 MtCO2e below the cap of 3,018 MtCO2e6. The second carbon budget ran from 2013-17. In
2019, the UK confirmed that it had met the budget, with emissions 384 MtCO2e below the cap of 2,782 MtCO2e7. A final statement for the third carbon budget, covering the period 2018-22, will be published in May 2024. Compliance with carbon budgets is not assessed by directly comparing the budget level against UK greenhouse gas emissions. Instead, the budget level is compared to the UK's 'net carbon account'. The net carbon account is currently defined as the sum of three components:
- Emissions allowances allocated to the UK under the EU Emissions Trading System (EU
ETS)8
- Emissions not covered by the EU ETS ('non-traded')
- Credits/debits from other international trading systems
Projected performance against future carbon budgets can be found in the latest UK energy and emissions projections publication9.
4 Climate Change Act 2008: http://www.legislation.gov.uk/ukpga/2008/27/contents
## Kyoto Protocol Target
The Kyoto Protocol to the United Nations Framework Convention on Climate Change (UNFCCC) is an international agreement. First Commitment Period (2008-2012)
The UK met its emissions reductions target for the first commitment period of the Kyoto Protocol. Under the first commitment period of the Kyoto Protocol (2008-12), the EU and its Member States, Iceland and Norway collectively made a commitment to reduce greenhouse gas emissions across the EU by 8% on 1990 levels by 2012. As part of this, the UK undertook to reduce total greenhouse gas emissions by 12.5% below base year levels over the five-year period 2008-1210.
UK emissions of the basket of greenhouse gases covered by the Kyoto Protocol were an average 600.6 MtCO2e per year (exclusive of emissions trading) over the first commitment period (2008-12), 23% lower than base year emissions11.
Second Commitment Period (2013-2020) Under the second commitment period of the Kyoto Protocol (2013-2020) the EU and the Member States have a target to reduce emissions by 20% relative to the reference year (1990) over the period. The commitments of the EU and the Member States, and those of Iceland, are being fulfilled jointly in accordance with Article 4 of the Kyoto Protocol. In line with this target, EU emissions are split into (i) 'traded sector' emissions, covered by the EU Emissions Trading System which gives an overall EU-wide 'cap' on emissions from participating sectors; and (ii)
'non traded sector' emissions, which are covered by Member State-level targets under the Effort Sharing Decision (ESD). The Kyoto Protocol second commitment period also covers emissions from the land use, land use change and forestry (LULUCF) sector which are not covered by the ESD.
The UK has now ratified the Doha Amendment, but it has not yet come into force. These statistics therefore do not include information on the UK's progress against its second commitment period target.
Beyond 2020 Following the 21st Conference of the Parties (COP21) of the UNFCCC in Paris in December 2015, 195 countries committed to adopt a global climate change Agreement. The Paris Agreement entered into force on 4 November 2016 and was ratified by the UK on 18 November 2016. Parties to the Paris Agreement are required to prepare, communicate and maintain successive Nationally Determined Contributions (NDCs). In 2015, the EU and its Member States (including the UK) submitted their NDC for the period 2021 to 2030. This established a target of at least a 40% reduction in domestic greenhouse gas emissions by 2030 compared to 1990 levels. Now that the UK has left the EU, the UK will come forward with its own NDC. This will be without prejudice to future relationship negotiations with the EU on climate.
## Eu Effort Sharing Decision
The UK has annual greenhouse gas emissions limits under the EU Effort Sharing Decision (ESD) for the period 2013-2020. The ESD was agreed as part of the 2008 EU Climate and Energy package and came into force from January 2013. It sets out targets for EU Member States to either reduce or limit emissions by a certain percentage in the non-traded sector (i.e. covering most sectors not included in the EU Emissions Trading System), by 2020 from a 2005 baseline. The UK's 2020 target, based on relative GDP per capita, is to reduce emissions by 16% from 2005 levels, to be achieved through a declining limit for emissions for each year from
2013-202012.
In November 2019 the European Commission confirmed for each Member State their performance against ESD for 201713. UK greenhouse gas emissions for 2017 under the ESD
were confirmed to be 332.1 MtCO2e14, 28.4 MtCO2e below the UK's annual limit for 2017 of
360.4 MtCO2e, meaning that the UK met its fifth annual target in the period. Provisional estimates indicate that greenhouse gas emissions for 2018 under the Effort Sharing Decision will also be below the annual emissions limit, by around 25.5 MtCO2e.
## Table 1: Progress Towards The Eu Effort Sharing Decision
UK and Gibraltar, 2013-2018
MtCO2e
2013
2014
2015
2016
2017
2018
Total greenhouse gas emissions excl.
LULUCF and NF3 (A)
566.5
524.0
503.5
482.8
470.5
462.1
Total verified emissions from stationary installations under the EU ETS (B)
225.3
197.9
175.9
147.4
136.8
128.8
CO2 emissions from civil aviation (C)
1.7
1.6
1.6
1.5
1.6
1.5
Total ESD emissions (D = A - B - C)
339.5
324.4
326.0
333.9
332.1
331.8
Annual emissions allocation (E)
358.7
354.2
349.7
345.2
360.4
357.2
Difference (E - D)
19.3
29.8
23.7
11.3
28.4
25.5
Source: Table 9, Final UK greenhouse gas emissions national statistics 1990-2018 Excel data tables
## Emissions Trading
Under the UNFCCC and Kyoto Protocol, three flexible mechanisms were established to provide for trading of national allowances and project-based credits by Governments and emitters. These are International Emissions Trading, the Clean Development Mechanism (CDM) and Joint Implementation (JI). In reporting emissions reductions against all of its targets, the UK needs to take account of emissions trading through these flexible mechanisms. At the present time, the scope of the UK's emissions trading does not extend beyond the European Union Emissions Trading System (EU ETS), although it should be noted that EU ETS participants may also use credits generated under CDM and JI projects, subject to certain limits, in order to comply with their obligations.
## European Union Emissions Trading System (Eu Ets)
The UK needs to take account of emissions trading through the EU ETS when reporting against carbon budgets. The EU ETS works by putting a limit on overall emissions from installations (e.g. power plants, industrial plants) and aviation operators on intra-EEA flights.
This limit is reduced each year. Within the limit installations and aviation operators in Member States across the EU can buy and sell emission allowances as needed. This 'cap-and-trade' approach gives the flexibility needed to cut emissions in the most cost-effective way.
Currently, any installation or aviation operator within the System in the EU (except electricity generators and installations in sectors not considered to be at risk of so-called 'carbon leakage') is given an allocation of emissions allowances each year. If the installation's actual emissions are above this initial allocation for the year in question, then the installation must either purchase allowances through the System or bring forward some allowances from the following year's allocation, to cover the deficit. Conversely, installations with a surplus of emissions compared with their cap can either sell allowances or carry them over into the following year's allocation, thus providing a financial incentive to reduce emissions.
Phase I of the EU ETS covered the three year period 2005-2007 and Phase II coincided with the first Kyoto Commitment Period (2008-12). During this period each Member State held a specific quantity of allowances based on their EU-approved National Allocation Plan (NAP).
This then resulted in net "sales" or "purchases" of emissions allowances reported from UK
installations depending on whether total emissions were below or above the UK's Phase II
allocation15.
Phase III of the EU ETS (2013-20) builds upon the previous two phases and has been significantly revised to make a greater contribution to tackling climate change. The system shifted away from NAPs in favour of an EU-wide cap on the number of available allowances across Member States. In addition, a greater share of the allowances are sold at auction by Member States. In the absence of a UK-specific allocation plan, a notional cap has been estimated for the purpose of calculating carbon budget performance. Further details of this methodology are laid out in the Annual Statement of Emissions16.
In 2012, aviation was included in the EU ETS for the first time, and aircraft operators were required to report their annual emissions and surrender an equivalent number of allowances for all flights within the European Economic Area (EEA). However, UK carbon budgets only cover domestic aviation (that is, aviation within the UK). Taking into account these changes in EU ETS, from 2013 onwards domestic aviation emissions are included in the traded sector for UK carbon budget reporting purposes. To do so requires the calculation of a separate notional cap for UK domestic aviation, covering flights within the UK only.
UK, 2008-2017
MtCO2e
2008
2009
2010
2011
2012
2013
2014
2015
2016
2017
19.3 (13.5)
(7.6) (24.9) (14.5)
44.2
59.1
29.1
1.3 (27.6)
Net purchases/(sales) by UK installations
0.9
0.9
0.9
0.9
0.9
-
-
-
-
-
Net cancelled unallocated allowances/(sales) by UK
Government1
-
-
-
-
-
(0.1)
(0.3)
(0.2)
(0.3)
(0.3)
Net UK domestic aviation emissions against aviation
cap Net UK purchases/(sales)
20.2 (12.6)
(6.7) (24.0) (13.6)
44.1
58.8
28.9
1.0 (27.9)
## Note:
1.
At the end of Phase II of the EU ETS, the UK was required to cancel all allowances which have not been either issued or auctioned by that point. As a consequence, allowances totalling 4.5 MtCO2e were cancelled in 2012. These cancelled allowances have the effect of reducing the overall cap for the whole of Phase II. For presentational purposes, this amount has been distributed evenly over the five years 2008-2012, effectively reducing the cap by 0.9 MtCO2e each year.
2.
Domestic aviation emissions are included in carbon budgets accounting from 2013.
3.
From 2013, the EU ETS entered its third phase, which will end in 2020. Changes to the operating rules in this period mean that Member States no longer receive a national cap as the ETS operates at installation level. Therefore a 'notional' cap is estimated for the purpose of carbon budgets accounting.
4.
Values in brackets indicate negative numbers or sales.
## Emissions By Sector
In the data tables accompanying this publication, table 3 shows overall UK greenhouse gas emissions since 1990 by sector and source, while tables 4-7 show this breakdown for each individual gas.
All the sectoral breakdowns below are defined as by source, meaning emissions are attributed to the sector that emits them directly, as opposed to where the end-user activity occurred. A
breakdown of 1990-2018 UK territorial emissions by end-user sector will be published as an annex to this publication on Thursday 26 March 2020.
In 2018, 28% of net greenhouse gas emissions in the UK were estimated to be from the transport sector, 23% from energy supply, 18% from business, 15% from the residential sector and 10% from agriculture. The rest was attributable to the remaining sectors: waste management, industrial processes, and the public sector. The land use, land use change and forestry (LULUCF) sector acted as a net sink in 2018 so emissions were effectively negative.
UK, 1990-2018
MtCO2e
1990
1995
2000
2005
2010
2015
2017
2018
Transport
128.1
129.7
133.3
136.0
124.5
123.5
126.1
124.4
Energy supply
278.0
238.0
221.6
231.5
207.4
145.3
112.3
104.9
Business
113.8
111.9
115.7
109.2
94.3
85.2
81.1
79.0
Residential
80.1
81.7
88.7
85.7
87.5
67.4
66.6
69.1
Agriculture
54.0
52.9
50.3
47.9
44.6
45.2
45.8
45.4
Waste management
66.6
69.3
63.1
49.1
29.7
20.7
20.4
20.7
Industrial processes
59.9
50.9
27.2
20.7
12.7
12.7
11.0
10.2
Public
13.5
13.3
12.1
11.2
9.5
8.0
7.7
8.0
LULUCF
-0.1
-2.3
-4.1
-7.2
-9.3
-10.0
-10.1
-10.3
Total
793.8
745.4
707.9
683.9
600.9
497.9
461.0
451.5
Source: Table 3, Final UK greenhouse gas emissions national statistics 1990-2018 Excel data tables
UK, 2018
MtCO2e
Methane
Nitrous oxide
F gases
Total
Carbon
dioxide
Transport
123.0
0.1
1.2
0.0
124.4
Energy supply
98.4
5.8
0.8
0.0
104.9
Business
65.9
0.1
0.8
12.1
79.0
Residential
66.4
1.0
0.2
1.5
69.1
Agriculture
5.7
25.4
14.3
0.0
45.4
Waste management
0.2
19.0
1.4
0.0
20.7
Industrial processes
9.7
0.1
0.3
0.2
10.2
Public
8.0
0.0
0.0
0.0
8.0
LULUCF
-11.7
0.0
1.4
0.0
-10.3
Total
365.7
51.5
20.4
13.8
451.5
Source: Tables 3 to 7, Final UK greenhouse gas emissions national statistics 1990-2018 Excel data tables
## Transport
The transport sector consists of emissions from road transport, railways, domestic aviation, shipping, fishing and aircraft support vehicles. It is estimated to have been responsible for around 28% of UK greenhouse gas emissions in 2018, almost entirely through carbon dioxide emissions. The main source of emissions from this sector is the use of petrol and diesel in road transport. Transport emissions fell by 1% between 2017 and 2018, despite a small increase in road traffic. The transport sector has historically been the second most emitting sector;
however reductions over time in what was the largest sector (energy supply) mean that since 2016 transport has been the most emitting sector.
Between 1990 and 2018, there has been relatively little overall change in the level of greenhouse gas emissions from the transport sector. Between 1990 and 2007 (when emissions peaked) there was a general increasing trend, with some fluctuations year to year. After this peak, emissions declined each year until 2013, at which point this trend reversed to show small increases most years. The overall effect of these fluctuations over time means emissions are estimated to have been around 3% lower in 2018 than in 1990.
Road transport is the most significant source of emissions in this sector, in particular passenger cars; and the changes which have been seen over the period were heavily influenced by this category. Figure 5 shows how the volume of traffic on the roads has changed over time in Great Britain, which reflects the trend seen for the UK. Motor vehicle traffic volumes have generally increased throughout this period, other than a fall seen between 2007 and 2012 following the recession.
However, with lower petrol consumption outweighing an increase in diesel consumption17 and improvements in fuel efficiency of both petrol and diesel cars18, the volume of emissions from passenger cars has generally decreased since the mid-2000s. Although this has been partially offset by an increase in emissions from light commercial vehicles. Emissions of carbon dioxide are closely related to the amount of fuel used, whilst nitrous oxide and methane emissions are influenced more by the vehicle type and age.
Source: Transport Statistics Great Britain, Roads and traffic (TSGB07), Table TSGB0702 (TRA0201) Road traffic by vehicle type in Great Britain, annual from 1949: https://www.gov.uk/government/statistical-data-sets/tsgb07
Source: Tables 3 to 7, Final UK greenhouse gas emissions national statistics 1990-2018 Excel data tables
## Energy Supply
The energy supply sector consists of emissions from fuel combustion for electricity generation and other energy production sources. It is estimated to have been responsible for 23% of UK
greenhouse gas emissions in 2018, with carbon dioxide being by far the most prominent gas for this sector (94%). The main source of emissions from this sector is the use of natural gas and coal in electricity generation from power stations.
There was a 7% fall in emissions from the energy supply sector between 2017 and 2018, meaning that between 1990 and 2018 they have reduced by 62%. This decrease has resulted mainly from changes in the mix of fuels being used for electricity generation, including the growth of renewables; together with greater efficiency resulting from improvements in technology. The energy supply sector has historically been the largest emissions sector; however these reductions mean that since 2016 it has been the second largest sector (the largest sector being transport). Since 1990 there has been a decline in the use of coal at power stations and an increase in the use of gas, which has a lower carbon content so results in fewer emissions. Coal use in generation reduced by 91% between 1990 and 201819. Electricity generation was 6% higher in
2018 than in 1990, although it peaked in 2005 and has decreased since then20.
There was a 24% decrease in coal use for electricity generation between 2017 and 2018. This follows large falls in 2016 and 2017 driven by the increase in the carbon price floor in April
2015, from £9 per tonne of CO2 to £18 per tonne of CO2, which led to a shift away from coal towards gas21. In 2018 there was also a fall in the use of gas for electricity generation of 4%, whereas renewables saw a 19% increase. In 2018, total greenhouse gas emissions from power stations, at 66.8 MtCO2e, accounted for 15% of all UK greenhouse gas emissions.
The other main factor which has noticeably contributed to the long-term decline in emissions in the energy sector has been in relation to coal mining. The production of deep-mined coal in particular has declined steadily over the period, with the last three large deep mines all closing in 2015. Emissions from coal mining and handling have fallen from 21.8 MtCO2e in 1990 to only 0.5 MtCO2e in 2018.
Source: Digest of United Kingdom Energy Statistics, Table 5.1.1 Fuel input for electricity generation, 1970 to 2018
https://www.gov.uk/government/statistics/electricity-chapter-5-digest-of-united-kingdom-energy-statistics-dukes
## Business
The business sector consists of emissions from combustion in industrial/commercial sectors, industrial off-road machinery, and refrigeration and air conditioning. Between 2017 and 2018
there was a 3% decrease in emissions from the business sector and it is estimated to have been responsible for 18% of UK greenhouse gas emissions in 2018, with carbon dioxide being the most prominent gas. Emissions from this sector primarily relate to fossil fuel combustion in industry and commerce, although emissions of F gases from the use of fluorinated compounds in certain applications, particularly refrigeration and air-conditioning, are also significant. The business sector is responsible for the majority of emissions from F gases.
In 2018, emissions from the business sector were 31% lower than 1990 emissions. Most of this decrease came between 2001 and 2009, with a significant drop in 2009 likely driven by economic factors. There has been a gradual decline in emissions in recent years. The main driver of the decrease in emissions since 1990 is a reduction in emissions from industrial combustion (including iron and steel) which has led to a 41% reduction in carbon dioxide emissions since 1990. However, emissions from F gases have increased significantly, mainly due to an increase in emissions from refrigeration and air-conditioning as HFCs replaced ozone depleting substances which were previously used as refrigerants. This increasing trend slowed in recent years and since 2015 has reversed, following the introduction of the HFC
phase down as part of the EU's 2014 F-Gas Regulation.
Source: Tables 3 to 7, Final UK greenhouse gas emissions national statistics 1990-2018 Excel data tables
## Residential
The residential sector consists of emissions from fuel combustion for heating and cooking, garden machinery, and fluorinated gases released from aerosols and metered dose inhalers. It is estimated to have been responsible for around 15% of UK greenhouse gas emissions in
2018, with carbon dioxide being the most prominent gas for this sector (96%). The main source of emissions from this sector is the use of natural gas for heating and cooking. It should be noted that since these figures are estimates of emissions by source, emissions related to residential electricity use, including electricity use for heating, are attributed to power stations and are therefore included in the energy supply sector rather than the residential sector. Between 1990 and 2018, there has been considerable variation in greenhouse gas emissions from year to year in the residential sector. In general, carbon dioxide emissions from this sector are particularly heavily influenced by external temperatures, with colder temperatures driving higher emissions due to increased use of heating.
Temperature was the main driver of the 4% increase in residential emissions between 2017
and 2018. The average temperature across the year was on average the same in 2018 as in 2017, but 2018 had a particularly cold February and March, with average temperatures over 3
degrees Celsius lower than in 2017 in both months22, increasing the use of natural gas for heating. Further information on the impact of external temperatures on emissions can be found later in this statistical release.
## Agriculture
The agriculture sector consists of emissions from livestock, agricultural soils, stationary combustion sources and off-road machinery. It is estimated to have been responsible for 10%
of UK greenhouse gas emissions in 2018. Emissions of methane (56%) and nitrous oxide (31%) dominate this sector. The most significant sources here are emissions of methane due to enteric fermentation from livestock, particularly cattle; and nitrous oxide emissions related to the use of fertilisers on agricultural soils.
Between 1990 and 2018, greenhouse gas emissions from agriculture decreased by around 16%, with a general downward trend in emissions since the late 1990s. This was driven by a fall in animal numbers over the period, together with a decrease in synthetic fertiliser use.
Between 2017 and 2018 there was a 1% decrease in emissions from the agriculture sector.
## Waste Management
The waste management sector consists of emissions from waste disposed of to landfill sites, waste incineration, and the treatment of waste-water. It is estimated to have been responsible for around 5% of UK greenhouse gas emissions in 2018, with methane being by far the most prominent gas (accounting for 92% of emissions). The vast majority of these emissions are from landfill sites.
Between 1990 and 2018, greenhouse gas emissions from the waste management sector decreased by 69%. This was due to a combination of factors, including improvements in the standards of landfilling, changes to the types of waste going to landfill (such as reducing the amount of biodegradable waste), and an increase in the amount of landfill gas being used for energy. Emissions in the waste management sector rose by 1% between 2017 and 2018 due mainly to increased emissions from landfill.
## Industrial Processes
The industrial processes sector consists of emissions from industry except for those associated with fuel combustion. It is estimated to have been responsible for 2% of UK
greenhouse gas emissions in 2018, with carbon dioxide being the most prominent gas. The largest source of emissions was cement production, with other processes such as sinter, lime, and iron and steel production also contributing significantly. Between 1990 and 2018, there was a large reduction in greenhouse gas emissions from the industrial processes sector, with an overall decrease of 83%. This was most notably due to a large reduction in emissions from adipic acid production and halocarbon production between 1998 and 1999 (combined emissions from which are now almost zero). Emissions in the industrial processes sector decreased by 7% in 2018 compared to 2017. This was mainly caused by reduced emissions from the production of ammonia, halocarbons, and iron and steel.
## Public
The public sector consists of emissions from combustion of fuel in public sector buildings, such as schools, hospitals and offices. It is estimated to have been responsible for less than 2% of UK greenhouse gas emissions in 2018, with carbon dioxide making up almost all of these emissions. The main source of emissions from this sector is the use of natural gas for heating public buildings.
Between 1990 and 2018 there has been a general downward trend in greenhouse gas emissions from the public sector, which have fallen by 41% over this period. This has been driven by a change in the fuel mix, with less use of coal and oil, and more use of natural gas. Between 2017 and 2018 emissions increased by 4% in the public sector. As with the residential sector this is likely to be due to cooler temperatures increasing the use of gas for heating.
## Land Use, Land Use Change And Forestry (Lulucf)
The LULUCF sector consists of emissions and removals from forest land, cropland, grassland, settlements and harvested wood products. It acted as a net sink23 of UK greenhouse gas emissions in 2018, dominated by carbon dioxide removals. In general, settlements and cropland are the largest sources of carbon dioxide emissions, while forest land and grasslands are the dominant sinks. In the UK the LULUCF sector is estimated to have been a net sink in every year from 1990-
2018, with the estimated size of the sink increasing from 0.1 MtCO2e in 1990 to 10.3 MtCO2e in 2018. This has been driven by a reduction in emissions from land being converted to cropland and an increase in the sink provided by forest land, with an increasing uptake of carbon dioxide by trees as they reach maturity, in line with the historical planting pattern. There has also been some reduction in emissions since 1990 due to less intensive agricultural practices. Between 2017 and 2018 there was a 2% increase in the size of the net sink provided by the LULUCF sector.
## Emissions From Uk-Based International Aviation And Shipping Bunkers
In the data tables accompanying this publication, table 8 shows greenhouse gas emissions arising from use of fuels from UK international aviation and shipping bunkers since 1990.
Emissions from international aviation and shipping can be estimated from refuelling from bunkers24 at UK airports and ports, whether by UK or non-UK operators. Under the reporting guidelines agreed by the UNFCCC, these emissions are not included in the UK's emissions total, but are reported as memo items in national greenhouse gas inventories. Parties to the UNFCCC are required to act to limit or reduce emissions from international services working through the International Civil Aviation Organisation (ICAO) and International Maritime Organisation (IMO). It is important to note that whether emissions from refuelling at UK-based international aviation and shipping bunkers can be used as an accurate estimate of UK international aviation and shipping emissions will depend on what assumptions are being made about how to allocate international aviation and shipping emissions to different countries. In the International Civil Aviation Organisation, 193 states have agreed to implement a sectoral approach to tackling international aviation emissions, in the form of a "global market-based measure" known as the Carbon Offsetting and Reduction Scheme for International Aviation (CORSIA), which does not allocate emissions to states. Under the scheme, airlines will offset their international aviation emissions with reductions from other sectors, with the aim of delivering carbon-neutral growth of the sector from 202025.
At the International Maritime Organization, the 2018 Initial Strategy on Reduction of GHG
Emissions from Ships26 commits Member States to peak greenhouse gas emissions from international shipping as soon as possible and to reduce the total annual greenhouse gas emissions by at least 50% by 2050 compared to 2008 while pursuing efforts towards phasing them out as soon as possible this century. In 2018, emissions from international aviation fuel use from UK bunkers were estimated to be
36.7 MtCO2e. This was 1.1% larger than the 2017 figure. Between 1990 and 2006, when emissions reached a peak, emissions more than doubled from 15.5 MtCO2e to 35.6 MtCO2e.
After 2006 emissions flattened out, but have risen again in the last two years to above the
2006 total. High altitude aviation has a greenhouse effect over and above that of carbon dioxide emissions from fuel alone, but this is not reflected in these estimates. Emissions from UK international shipping bunkers were estimated to be 7.9 MtCO2e in 2018, a small decrease of 0.2% from the 2017 level. Since 1990, emissions from UK shipping bunkers have fluctuated, as can be seen in the chart below, but in recent years have been at around the same level that they were in 1990.
## Revisions From Provisional Estimates Of Greenhouse Gas Emissions
Provisional estimates of 2018 UK greenhouse gas and carbon dioxide emissions were published in March 2019, based on early estimates of energy consumption for the year. Differences between the provisional and final estimates arise primarily due to revisions to other statistics on which these estimates were based, use of actual data to estimate non-CO2
emissions which are only estimated in a simplistic way in the provisional estimates, and methodological changes to the way emissions are calculated. Typically the provisional estimates provide a better indication of emissions trends than of absolute emissions, as they do not take account of any methodological improvements that may be made to the way emissions are calculated and which can lead to revisions to the whole emissions time series from 1990 onwards. More information on revisions to the time series can be found in the next section. It was provisionally estimated that total greenhouse gas emissions in 2018 for the UK would be 448.5 MtCO2e, representing a 2.5% decrease on 2017 emissions. The final estimates show that 2018 emissions were 451.5 MtCO2e, representing a 2.1% decrease on 2017 emissions.
The provisional greenhouse gas emissions estimates therefore slightly underestimated total greenhouse gas emissions (by 0.6%) and slightly overestimated the percentage decrease in emissions from 2017 to 2018 (by 0.5 percentage points).
The provisional estimates are focused on carbon dioxide emissions from the energy sector, and only provided a simplistic estimate of non-CO2 gases which assumed that the 2018
emissions for non-CO2 gases changed from the 2017 total in line with the percentage difference between the estimates for the 2017 and 2018 of total non-CO2 emissions in the
2017 Energy and Emissions Projections27 published by BEIS. Looking just at carbon dioxide emissions, it was provisionally estimated that net UK carbon dioxide emissions in 2018 would be 364.1 million tonnes. The final 2018 figure of 365.7 million tonnes therefore shows that the provisional estimate underestimated CO2 emissions by 0.4%.
The provisional estimate of non-CO2 gases was 84.4 MtCO2e and the final estimate is 85.8 MtCO2e so these emissions are 1.7% higher than reported in the provisional estimates. This was largely due to waste management emissions increasing where the projections had anticipated a fall.
MtCO2e
2018 Final
estimates
2018
Provisional
estimates
Difference
between final
and provisional
Provisional
2017 to 2018
% change
Final 2017 to
2018 %
change
Total CO2
364.1
365.7
1.5
-2.4%
-2.2%
Non-CO2 gases
84.4
85.8
1.4
-3.0%
-1.6%
All greenhouse gases
448.5
451.5
2.9
-2.5%
-2.1%
Source: Table 1, Final UK greenhouse gas emissions national statistics 1990-2018 Excel data tables Table 1, Provisional UK greenhouse gas emissions national statistics 2018 Excel data tables
## Revisions To The Uk'S Greenhouse Gas Inventory
The UK Greenhouse Gas Inventory (the time series of emissions from 1990 onwards which is the basis for these statistics), is reviewed every year internally and externally (including a review by the UNFCCC), and the whole historical data series is revised where necessary to incorporate methodological improvements, changes to international reporting guidelines or new data. This takes into account revisions to the datasets which have been used in its compilation, most notably the UK energy statistics published in the Digest of UK Energy Statistics (DUKES). The methodological changes to the UK Greenhouse Gas Inventory can also impact future emissions projections. Full details of the methods used to produce the latest greenhouse gas emissions estimates will be published in the UK's National Inventory Report28 (NIR).
These changes are applied back through the time series to 1990 in order to ensure that the trend in emissions from 1990 to the latest year is based on a consistent method. Therefore, it is not appropriate to compare the emissions time series from one year with that from another.
However, the latest inventory represents a single consistent data series going back to 1990, and this therefore allows year-on-year comparisons to be made.
The most notable methodological changes to the historical series since the 2019 Greenhouse Gas Inventory was published are revisions to the LULUCF sector, while revisions to the datasets used in producing these estimates have led to changes across most sectors for more recent years. Details of the changes made to estimates of 1990 and 2017 emissions are given below. Revisions to other years of the time series are of a similar scale.
MtCO2e
1990 emissions
2017 emissions
2019
2020
Change
2019
2020
Change
inventory
inventory
inventory
inventory
Energy supply
277.9
278.0
~0.0
112.6
112.3
-0.3
Transport
128.1
128.1
~0.0
125.9
126.1
0.2
Business
114.0
113.8
-0.2
80.1
81.1
1.0
Residential
80.1
80.1
~0.0
66.9
66.6
-0.3
Agriculture
54.0
54.0
~0.0
45.6
45.8
0.2
Waste management
66.6
66.6
~0.0
20.3
20.4
0.1
Industrial processes
59.9
59.9
~0.0
10.8
11.0
0.2
Public
13.5
13.5
~0.0
7.8
7.7
-0.1
LULUCF
0.3
-0.1
-0.4
-9.9
-10.1
-0.2
Total
794.4
793.8
-0.5
460.2
461.0
0.8
~0.0 indicates where a value is non-zero but is less than either 0.05 MtCO2e in magnitude.
Source: Table 3, Final UK greenhouse gas emissions national statistics 1990-2018 Data tables Table 3, Final UK greenhouse gas emissions national statistics 1990-2017 Data tables Within the sectors there have also been some changes made to the names of source categories this year, either to clarify them or to denote a change in coverage compared to the previous publication. These are summarised below.
##
| Source category | Sector | Reason for change |
|--------------------------------------------------------------|--------------------------------------------------------|----------------------|
| Closed foams | Business | |
| This is a renaming of the | | |
| Foams | | |
| category from previous | | |
| publications, to make it clearer and distinguish it from the | | |
| One | | |
| component foams | | |
| category. The coverage is unchanged. | | |
| Industrial combustion | | |
| and electricity (excl. | | |
| iron and steel) | | |
| Business | | |
| This is a renaming of the | | |
| Other industrial combustion and | | |
| electricity | | |
| category from previous publications to make it | | |
| clearer. The coverage is unchanged. | | |
| Business | | |
| This is a renaming of the | | |
| Miscellaneous industrial and | | |
| commercial combustion | | and electricity |
| category from previous | | |
| publications to make it clearer. The coverage is unchanged. | | |
| Commercial and | | |
| miscellaneous | | |
| combustion and | | |
| electricity | | |
| Railways - mobile | | |
| combustion | | |
| Transport | | |
| This is a renaming of the | | |
| Railways | | |
| from previous publications, | | |
| to make it clearer and distinguish it from the | Railways - | |
| stationary combustion | category. The coverage is unchanged. | |
| Recreational use of | | |
| N | | |
| 2 | | |
| O | | |
| Residential | This is a new category this year. These emissions were | |
| previously included in the | | |
| Use of N | | |
| 2 | | |
| O | | |
| category in the | Industrial | |
| processes | sector, but inclusion in the | |
| Residential | | |
| sector was | | |
| judged to be more appropriate. | | |
| Soda ash production | | |
| & use | | |
| Industrial | | |
| processes | | |
| This is a renaming of the | | |
| Soda ash production | | |
| category from | | |
| previous publications to reflect that it now includes some | | |
| emissions from soda ash use, which have been included in | | |
| these statistics for the first time this year. | | |
Details of the methodological changes made to the emissions estimates this year are given below.
## Additional Sources From Soda Ash Use
Based on a recommendation from the UNFCCC, estimates have been made of CO2 emissions for the use of soda ash (sodium carbonate) for applications other than glass production. While glass production is already included in the inventory, non-glass uses of soda ash were previously reported as "not estimated" due to their falling below the threshold of significance (0.01% of the inventory total or 500 ktCO2e, whichever is lower). The UNFCCC requested that we find stronger evidence that emissions were low enough to remain unreported, and in doing so the evidence we found was good enough to report. Therefore, despite emissions from nonglass uses of soda-ash being small enough to remain un-estimated - 26 ktCO2e in 1990 and
19 ktCO2e in 2017, representing approximately 0.004% of total emissions - we now estimate them as we now have the data to do so. The estimates include soda ash converted to sodium bicarbonate.
## Transition To Energy Units For Fuels
The handling of fuels activity data and emission factors are now being done in units of terajoule (TJ (net)) at the earliest practicable stage in the process. TJ (net) are the international standard units for inventory reporting and guidance, so moving to use these units reduces the number of conversions required when utilising international data and reporting using common metrics. The impact of this work has not been calculated as the impact will be felt across a great number of sectors, so it is not practicable to distinguish the impact of this from the routine recalculations across the dozens of models that this work would impact. Also note that we would expect the recalculations cause by this transition to be very limited as the unit conversion on emission factors and activity data should cancel out when calculating emissions, so the only impact would be rounding errors due to the use of subtly different calculations.
## Oil And Gas Fugitive Emissions
Three short studies into fugitive emissions from the energy sector were conducted in 2019. None of these studies have led to any notable recalculation of emission estimates in any year except 2012. Key outcomes from the studies are as follows:
-
Downstream gas fugitives: there are no data recalculations this year; however, two studies are ongoing to address potential small gaps in the inventory;
-
Upstream oil and gas fugitives: access to new data sources but further analysis is required before any changes are implemented in the inventory so no data recalculations have occurred as a result this year;
-
Emission estimate from the Elgin field gas leak in the North Sea in 201229: a new
emission estimate for methane (64 ktCO2e) has been estimated based on a research publication and added to the 2012 dataset.
## Rail Emissions And Emission Factors Improvement
Improvements have been made to the 2018 rail emission estimates. Key emission factors used for rail in the GHGI were revised based on a recent Rail Standards and Safety Board project to develop new emission factors by engine power output which covered around 50% of the UK
diesel fleet. The size of the recalculation in 2017 is a slight reduction in methane emissions of
0.001kt (one tonne) CO2e.
## Minor Lulucf Carbon Stock Changes
Minor changes were made to the carbon stock changes of forest land remaining forest land, land converted to forest land, and cropland remaining cropland. The most significant of these was in forest land remaining forest land though the overall impact of the changes is a 28
ktCO2e increase to emissions in the base year, and a 10 ktCO2e increase in emissions in
2017.
- **Forest land remaining forest land:** Wood production statistics are used as an input
into the model that produces these estimates. In order to address some problems in the
resulting estimates prior to the start of the wood production statistics (i.e. pre-1976),
Food and Agriculture Organisation (FAO) data was used to extend the data back to 1961. The overlap method was used to make the FAO data consistent with the wood production statistics and the UK level data was divided between the Devolved
Administrations and private/public forest estates on the pro-rata basis, using the 1976 estimates. The estimated level of conifer thinning was increased for Scotland and Wales to smooth the modelled wood production in order to reduce discontinuities in the time series. A number of changes were made to the CARBINE model for estimating carbon stocks that addressed some issues identified during a verification exercise such as an underestimate of dead organic matter on deforested land.
- **Land converted to forest land:** Changes were made to the planting data and the
CARBINE model as described for forest Land remaining forest Land.
- • **Cropland remaining cropland:** There was a change in the equilibrium soil carbon
density from values for 0-100cm of the soil profile to values for the top 0-30cm of soil30.
As a result, there is an upward shift in emissions throughout the time series. An adjustment was also made to the cropland areas for potatoes and sugar beet in England
in 2017, and for the areas of oats in England from 1971-1973.
## Harvested Wood Products Changes
Harvested wood products are reported under LULUCF. As described for forest land remaining forest land, the overlap method as used to make FAO data consistent with the wood production statistics and the estimated level of conifer thinning was also increased. The overall change from this is a reduction in emissions (increased draw-down) in 1990 of 458 ktCO2e and a reduction of 2017 emissions (increased draw-down) of 359 ktCO2e.
## Overseas Territories And Crown Dependencies Lulucf Estimation Changes
Previously some categories within the LULUCF sector have not been included in the UK inventory for Overseas Territories and Crown Dependencies as the estimates were found to be below the threshold at which countries are not required to include sources in their greenhouse gas inventories. However, it was recommended in the September 2019 inventory review by the UNFCCC that the insignificance threshold cannot be applied to geographical sub-regions within a category for which emissions are already reported for the UK, so forest and grassland wildfires in Overseas Territories and Crown Dependencies are required to be reported. Calculations have now been introduced for Guernsey, Jersey and the Isle of Man based on the rate of burning in UK forests. The calculations for the Cayman Islands are based on the rate of burning in Cuba. There is no forest land in the Falkland Islands or Gibraltar and the fire statistics for Bermuda state zero forest area burnt. For wildfires from grassland the calculations for Guernsey, Jersey, Isle of Man, the Falkland Islands and the Cayman Islands are based on the rate of burning of UK grassland. This method follows the geographical proxy guidelines (with no closer proxy available for the Falkland Islands and the Cayman Islands). Fire statistics for Bermuda state zero area burnt. The emissions are highest from the Falkland Islands which has a large grassland area. Small changes to cropland and settlement emissions have also occurred as a result of moving to a coded model, when small methodological improvements have been made. Emissions and removals for changes in settlement were calculated for Bermuda and the Cayman Islands for the first time. The overall change for LULUCF from Overseas Territories and Crown Dependencies is an increase of 280 ktCO2e for 1990 and 304 ktCO2e for 2017. This does not affect the UK totals presented in table 6 and throughout most of this publication.
## Regulatory Inventory Database
A new database system for processing emissions data from various regulatory inventories into emissions estimates for the UK inventory has been introduced. The new system automates the processing, leading to greater consistency in the application of assumptions used to deal with gaps and outliers in the regulator inventory datasets. This has led to some changes as part of the overhaul of systems involved reviewing and updating some of the assumptions used in gap-filling procedures.
## Improvement To Carbon Factors For Coal Used In The Cement Industry
The UK inventory agency has received an updated set of carbon emission factors from the cement sector trade association, which indicate that the coal carbon emission factors dating back to 2000 (and also with a 1990 data point) were lower than those used in previous submissions. The lower carbon emission factors for the early part of the time series have been determined as more consistent with the large industry dataset of carbon emission factors now available, leading to recalculations back to 1990.
## Minor Lulucf Recalculations
A series of minor changes were made to the LULUCF calculations.
- **Forest land remaining forest land wildfire emissions:** there has been an addition of
wildfire data in Scotland which has increased wildfire emissions for 2014.
- **Land converted to forest land soil mineralisation for the UK:** changes to planting
data and the CARBINE model as described previously have an impact on soil carbon
stock exchange from which nitrous oxide (N2O) emissions due to mineralisation are
calculated.
- **Forest land drainage for the UK:** changes to the forest planting time series directly
impacts calculations for forest drainage which are based on the areas of forest planted on different soil types.
- Forest land converted to grassland controlled burning emissions/forest land
converted to settlements controlled burning: calculation for controlled burning following deforestation are now made directly from biomass lost as estimated by the CARBINE model instead of from deforested area multiplied by average biomass densities. Estimates of deforestation were altered due to reprocessing of Countryside Survey data and using Forestry England Corporate Indicators report to estimate deforestation in England for 2017-2018.
- Forest land converted to grassland carbon stock change/forest land converted to
settlements carbon stock change: as for controlled burning emissions recalculations,
there were alterations to deforestation estimates. Additionally, carbon stock change in living biomass and dead organic matter is now estimated by the CARBINE model instead of from deforested area by average biomass densities.
## Accompanying Tables
The following tables are available in Excel and ODS format on the department's statistics website:
| | | Table 1 | Estimated territorial greenhouse gas emissions by gas, UK 1990-2018 |
|----------------------------------------------------------------------------|------------------------------------------------------------------------------------|------------|----------------------------------------------------------------------------------|
| Table | 2 | | Estimated territorial greenhouse gas emissions by geographical coverage and gas, |
| UK, Crown Dependencies & Overseas Territories 1990-2018 | | | |
| Table 3 | Estimated territorial greenhouse gas emissions by source category, 1990-2018 | | |
| Table 4 | Estimated territorial emissions of Carbon Dioxide (CO | | |
| 2 | | | |
| ) by source category, 1970- | | | |
| 2018 | | | |
| Table 5 | Estimated territorial emissions of Methane (CH | | |
| 4 | | | |
| ) by source category, 1990-2018 | | | |
| Table 6 | Estimated territorial emissions of Nitrous Oxide (N | | |
| 2 | | | |
| O) by source category, 1990-2018 | | | |
| Table 7 | Estimated territorial emissions of fluorinated gases (F gases) by source category, | | |
| 1990-2018 | | | |
| Table 8 | Estimated greenhouse gas emissions arising from use of fuels from UK international | | |
| aviation and shipping bunkers 1990-2018 | | | |
| Table 9 | UK territorial greenhouse gas emissions 2008-2018, progress towards the Kyoto | | |
| Protocol, Carbon Budgets and EU Effort Sharing Decision Targets | | | |
| Table 10 | Uncertainty in estimates of UK territorial greenhouse gas emissions: 1990/2017 | | |
| Table 11 | Uncertainty in estimates of UK territorial greenhouse gas emissions by sector: | | |
| 1990/2017 | | | |
| Table 12 | Sectoral definitions and inclusions | | |
| Table 13 | Sectoral details, methodologies and data sources | | |
| Table 14 | Estimated territorial greenhouse gas emissions by National Communication source | | |
| category, type of fuel and end-user category for the UK only (excluding NF | | | |
| 3 | | | |
| ) 1990- | | | |
| 2018 | | | |
| Table 15 | Estimated territorial greenhouse gas emissions for the UK and Crown Dependencies | | |
| by source category and type of fuel, 1990-2018 | | | |
| Table 16 | Estimated territorial greenhouse gas emissions for the UK, Crown Dependencies and | | |
| Overseas Territories by source category and type of fuel, 1990-2018 | | | |
We intend to remove tables 14 and 15 listed above from the next publication because we believe they have few users and the data in them will still be available from the pivot tables published on the NAEI website. If you would prefer to see these tables retained in this release please contact us at [email protected].
## Technical Information Methodology For Producing Greenhouse Gas Emissions Estimates
Because it is impractical to directly measure emissions from every exhaust, chimney and acre of land in the UK, greenhouse gas emission estimates are based on a series of models that estimate emissions from different sources. The source data and methods used to derive UK
greenhouse gas emission estimates have been developed to be consistent with methods defined within international guidance31. All countries that report to the UNFCCC are required to use these estimation methods to ensure that the emissions for each country are complete and comparable. The basic equation for estimating most sources of emissions is:
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹 × 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷= 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸
For example, to estimate CO2 emissions from vehicles the activity data might be the total number of kilometres travelled by that type of vehicle and the emission factor the amount of CO2 emitted per kilometre.
The emission factor is the emission per unit of activity. Emission factors for energy sources are either dependent on the fuel characteristics (for emissions of CO2) or how the fuel is burned, for example the size and efficiency of equipment used. For other sources, the emission factor can be dependent on a range of parameters, such as feed characteristics for livestock or the chemical reactions taking place for industrial process emissions. Emission factors are typically derived from measurements on a number of representative sources and the resulting factor applied to all similar sources in the UK.
The UK Greenhouse Gas Inventory uses the best available data from UK and international research for each emission source. The approach used is largely defined by the availability of data and the significance of the emission source in the overall UK inventory: more detailed methods are used for the high-emitting sources, whilst simpler methods can be used for minor sources, consistent with international guidance.
For some sources, the calculation of emissions is more complicated, and therefore a model is used to estimate emissions. For example, emissions of methane from waste disposed to landfills are estimated using a model that reflects the fact that the emissions occur over a long timeframe from the initial disposal of the waste, and that emissions are affected by the level of capture and utilisation of the landfill methane produced. The CO2 emissions and removals from land use, land use change and forestry are also modelled. Table 13 in the data tables accompanying this publication summarises the methods and data sources used to estimate emissions from each source, and there are factsheets published on the NAEI website32 that summarise the main data sources and methods used for each sector.
More detailed methodology information for each source can be found in the National Inventory Report submitted to the UNFCCC each year. The report for the 1990-2018 inventory will be published on 15 April 2020, so the report for the 1990-2017 inventory33 is the most recently available at the time of this publication. BEIS also runs a programme to monitor atmospheric concentrations of greenhouse gases, which is used to verify the emission estimates made in the Greenhouse Gas Inventory34.
## Estimating Emissions On A Temperature Adjusted Basis
BEIS publishes provisional estimates of temperature adjusted emissions35, which give an idea of overall trends in emissions without fluctuations due to changes in external temperatures. The provisional emissions series is estimated based on UK provisional energy consumption data published by BEIS and is not as accurate as the estimates in this statistical release, which are derived from our annual Greenhouse Gas Inventory. We can compare the latest provisional unadjusted and temperature adjusted emissions with the final estimates now available. On a temperature adjusted basis, net carbon dioxide emissions in 2017 and 2018 were estimated to be 388.9 Mt and 374.1 Mt respectively. The decrease in carbon dioxide emissions between 2017 and 2018 in the temperature adjusted figures is therefore 14.8 Mt, which is slightly more than the decrease seen in the non-temperature adjusted figures, as can be seen in the table below. This suggests that the underlying change between 2017 and 2018 when adjusted for temperature would be more than the 2.2% shown.
## Uk, 2017-2018
MtCO2e
2017 CO2
emissions (Mt)
2018 CO2
emissions (Mt)
Absolute
change (Mt)
Percentage
change
Final estimates
373.8
365.7
-8.1
-2.2%
unadjusted emissions
Provisional estimates
unadjusted emissions
373.2
364.1
-9.1
-2.4%
Provisional estimates
388.9
374.1
-14.8
-3.8%
Temperature adjusted emissions
Source: Table 1, Final UK greenhouse gas emissions national statistics 1990-2018 Data tables Table 3 & 4, Provisional UK greenhouse gas emissions national statistics 2018 Excel data tables Note: The provisional emissions estimates differ from the emissions estimates in these statistics because they were published before the 2018
figures presented were finalised.
## Uncertainties
Estimates of emissions have an inherent uncertainty due to uncertainty in the underlying data used to calculate the emissions, and due to uncertainty in the applicability, completeness and application of that data. Uncertainty analysis is conducted by modelling the uncertainty in the underlying emission factors, activity data, and other variables within models; or in the overall model output. This suggests that the 95% confidence interval around the overall greenhouse gas emissions estimates is believed to be ±3%, as shown in Figure 17 (which is based on uncertainty analysis of 2017 emissions, as published in 2019). Estimates of 2018 uncertainties will be published on 26 March 2020. The uncertainty of greenhouse gas emissions estimates varies considerably by sector. LULUCF emissions estimates are the most uncertain, followed by waste management and agriculture.
Further information
## Future Updates To These Statistics
On Thursday 26 March 2020 BEIS will publish a breakdown of 1990-2018 UK territorial emissions by end-user sector and fuel type, to supplement the source sector breakdown included in this publication.
On Thursday 26 March 2020 BEIS will also publish provisional estimates of UK greenhouse gas emissions for 2019. This will coincide with the publication of Energy Trends statistics, which will include estimates of 2019 UK energy consumption.
On Thursday 25 June 2020 BEIS will publish estimates of carbon dioxide emissions by local authority for 2018.
Final estimates of UK greenhouse gas emissions for 2019 will be published in February 2021.
## Related Publications
- This statistical release and the related data tables are the first release of data from the
National Atmospheric Emissions Inventory (NAEI) for 1970-2018, produced for BEIS and the Devolved Administrations by Ricardo Energy & Environment. Additional results will be released as they become available. For further information on the UK Greenhouse Gas
Inventory, see the NAEI website.
- The UK's National Inventory Report (NIR) for 1990-2018 will be submitted to the United
Nations Framework Convention on Climate Change (UNFCCC) on 15th April 2020. The
report will contain national greenhouse gas emissions estimates for 1990-2018 and descriptions of the methods used to produce the estimates. Previous reports can be found
on the NAEI website.
- The background quality report provides a summary of quality issues relating to statistics on
UK territorial greenhouse gas emissions.
- There are uncertainties associated with all estimates of greenhouse gas emissions.
Although for any given year considerable uncertainties may surround the emissions estimates for a pollutant, it is important to note that trends over time are likely to be much
more reliable. For more information on these uncertainties see the uncertainties factsheet
on the NAEI website.
- The record of base year emissions table shows how the UK base year for UK Carbon
Budgets and the Kyoto Protocol has changed from 2008 to the latest inventory year.
- BEIS also publishes emissions projections based on assumptions of future emission
reduction policies, economic growth, fossil fuel prices, electricity generation costs, UK
population and other key variables.
- Further information about the Kyoto Protocol can be found on the UNFCCC's website. - Further details of the European Union Emissions Trading System can be found at the EU
ETS section of the Gov.uk website.
- Under the Climate Change Act, the Annual Statement of Emissions for 2018 must be laid
before Parliament and published no later than 31st March 2020. This will give details of the
net UK carbon account for 2018, which is used to determine compliance with the targets and budgets under the Act.
- ONS publishes emissions on a "residential" basis in the UK Environmental Accounts. The
figures represent emissions caused by UK residents and businesses whether in the UK or abroad, but exclude emissions within the UK which can be attributed to overseas residents
and businesses.
- Defra publishes the UK's carbon footprint. This estimates emissions on a "consumption"
basis, meaning it covers emissions associated with the consumption of goods and services
by households in the UK. It includes estimates of emissions associated with each stage of the supply chain for those goods and services, regardless of where they occur, while excluding emissions occurring in the UK that are associated with the consumption of goods and services by households outside the UK.
- The latest UK energy statistics, including revisions to earlier years' data, can be found in
the Digest of UK Energy Statistics.
- Detailed UK temperature data can be found on both the Met Office website and the
Weather Statistics section of the gov.uk website.
- Similar results for non-greenhouse gas atmospheric pollutants are published by Defra in its
statistics on Emissions of air pollutants in the UK.
## Revisions Policy
The BEIS statistical revisions policy sets out the revisions policy for these statistics, which has been developed in accordance with the UK Statistics Authority Code of Practice for Statistics.
## Uses Of These Statistics
The UK's greenhouse gas emission estimates are used by central government departments, devolved governments and local authorities to understand emissions in the areas they are responsible for, develop policies to reduce emissions and to set targets. They are the basis for the UK's domestic and international emissions targets and are required to be reported to the UNFCCC and EU each year. Outside government the statistics are used by the media and the public to understand the level of the UK's greenhouse gas emissions and trends over time. They provide detailed emissions data on gases, sectors and sub-sectors that may of interest to users (particularly academics)
with a focus on a particular area of emissions. The data are also the basis of emission conversion factors that are used by companies and other organisations to report their greenhouse gas emissions. A statement of user needs for greenhouse gas emission statistics is published at: https://www.gov.uk/government/publications/uk-greenhouse-gas-emissions-statisticsstatement-on-user-needs
## User Engagement
Users are encouraged to provide comments and feedback on how these statistics are used and how well they meet user needs. In particular, this year we are consulting on our intention to remove tables 14 and 15 from the data tables that accompany this publication. Comments on this and any issues relating to this statistical release are welcomed and should be sent to:
[email protected] The BEIS statement on statistical public engagement and data standards sets out the department's commitments on public engagement and data standards as outlined by the Code of Practice for Statistics.
## National Statistics Designation
National Statistics status means that our statistics meet the highest standards of trustworthiness, quality and public value, and it is our responsibility to maintain compliance with these standards.
The continued designation of these statistics as National Statistics was confirmed in September 2018 following a compliance check by the Office for Statistics Regulation. The statistics last underwent a full assessment against the Code of Practice for Statistics in 2014. Since the latest review by the Office for Statistics Regulation, we have continued to comply with the Code of Practice for Statistics, and have made the following improvements:
- Improved the accuracy of the historic emissions estimates by continuing to make
methodological changes to the UK's Greenhouse Gas Inventory.
- Providing more methodological and background information about the statistics in the
statistical release.
- Publishing a new table showing emissions by source category for the UK, Crown
Dependencies and Overseas Territories combined (the geographical coverage of UK submissions to the UNFCCC).
## Pre-Release Access To Statistics
Some ministers and officials receive pre-release access to these statistics up to 24 hours before release. Details of the arrangements for doing this and a list of the ministers and officials that receive pre-release access to these statistics can be found in the BEIS statement of compliance with the Pre-Release Access to Official Statistics Order 2008.
## Contact
- Responsible statistician: Christopher Waite
- Email: [email protected]
- Media enquiries: 020 7215 1000
- Public enquiries: 020 7215 8285
## © Crown Copyright 2020
This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/opengovernment-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: [email protected]. Where we have identified any third-party copyright information you will need to obtain permission from the copyright holders concerned. This publication is available from: https://www.gov.uk/government/collections/final-ukgreenhouse-gas-emissions-national-statistics If you need a version of this document in a more accessible format, please email [email protected]. Please tell us what format you need. It will help us if you say what assistive technology you use. | en |
3667-pdf | Dee River Basin District Flood Risk Management Plan 2015 - 2021
December 2015
This is a joint draft plan prepared by the Environment Agency and Natural Resources Wales who protect and improve the environment and make it a better place for people and wildlife. Published by:
Natural Resources Wales Cambria house, 29 Newport Road, Cardiff CF24 0TP
Environment Agency Horizon house, Deanery Road, Bristol BS1 5AH
[email protected] http://www.naturalresourceswales.gov.uk
[email protected] www.gov.uk/environment-agency 0300 065 3000 (Mon-Fri, 8am - 6pm) 03708 506506
© Natural Resources Wales
© Environment Agency 2015
All rights reserved. This document may be reproduced with prior permission of Natural Resources Wales.
All rights reserved. This document may be reproduced with prior permission of the Environment Agency.
## Dee River Basin District Flood Risk Management Plan December 2015 Foreword
The 2013 / 14 winter storms and flooding had significant impacts on many communities, businesses, infrastructure and the environment within the **Dee River Basin District (RBD)**. In the future there could be more extremes in the weather with a changing climate leading to more frequent and more severe flooding. Investment in flood risk management infrastructure not only reduces the risks of flooding but also supports growth by helping to create new jobs, bring confidence to areas previously affected by floods and creating and restoring habitats. Risk Management Authorities (RMAs) are committed to producing Flood Risk Management Plans (FRMPs) required by the EU Floods Directive by December 2015. This FRMP is an important part of meeting that objective and aligns with the guiding principles of the National Flood and Coastal Erosion Risk Management Strategy. The FRMP will help promote a greater awareness and understanding of the risks of flooding, particularly in those communities at high risk, and encourage and enable householders, businesses and communities to take action to manage the risks. The FRMP will provide the evidence to support flood and coastal risk management decision making. The highest priority is to reduce risk to life. Measures (actions) in FRMPs do not all have secured funding and are not guaranteed to be implemented. Money is allocated to RMA measures based on current Government policy that gives the highest priority to the areas at highest risk. The funding for flooding is devolved so RMA measures are funded by DEFRA in England, in Wales they are funded by Welsh Government. This document has been produced in consultation with professional partners. The Flood Risk Management Plan (FRMP) sets out the proposed measures to manage flood risk in the **Dee RBD**
from 2015 to 2021 and beyond. In England and Wales, RMAs include Natural Resources Wales, the Environment Agency, Lead Local Flood Authorities (LLFAs), district councils (where there are no unitary authorities), internal drainage boards, water companies and highway authorities. These RMAs work in partnership with communities to reduce the risk of flooding. The Environment Agency and Natural Resources Wales would like to thank the organisations listed on the previous pages for their contributions and feedback during consultation. Flood risk in England and Wales will continue to change as a result of a growing population and a changing climate. There are many ways to manage flood risk including maintaining and building new flood defences, building flood resilient homes and working more closely with nature to restore flood plains. Flood risk management planning is not new and RMAs have been able to draw on the experience of partners and earlier plans. The FRMP also sets out how these measures can contribute to improving the environment and how they support the objectives of River Basin Management Plans (RBMPs) and specifically the Severn RBMP that Natural Resources Wales and the Environment Agency has produced in parallel with this FRMP.
Tim Jones Mark Sitton-Kent Executive Director Director Operations West Natural Resources Wales Environment Agency
## Glossary And Abbreviations
| Catchment | The watershed of a surface water river system |
|---------------------------------------------------------------------------------|---------------------------------------------------------------------------|
| CaBA | Catchment based approach: an approach to environmental planning that |
| focuses on local engagement and partnerships | |
| CFMP | Catchment Flood Management Plan |
| Coastal Groups | Voluntary coastal defence groups made up of maritime district authorities |
| and other bodies with coastal defence responsibilities. | |
| Cross Border | |
| Advisory Group | |
| (CBAG) | |
| Set up under The Flood Risk (Cross Border Areas) Regulations 2012 (SI | |
| No. 1102). A statutory group made up of representatives from SEPA, | |
| Environment Agency and local authorities within the cross border areas. | |
| Cross Border | |
| Areas | |
| Those areas designated as 'cross border' under The Flood Risk (Cross | |
| Border Areas) Regulations 2012 (SI No. 1102). | |
| Defra | Department for Environment, Food and Rural Affairs |
| EA | Environment Agency |
| EU | European Union |
| FCERM | Flood and coastal erosion risk management |
| Floods Directive | The European Floods Directive (2007/60/EC) on the assessment and |
| management of flood risks. | |
| Flood Risk Area | |
| (FRA) | |
| Areas where the risk of flooding from local flood risks is significant as | |
| designated under the Flood Risk Regulations. | |
| FRMP | Flood Risk Management Plan - plan produced to deliver the requirements of |
| the Regulations. | |
| Government | The term government is used within this report to refer to Defra (the |
| Department for Environment, Flood and Rural Affairs) and Welsh | |
| Government. | |
| Groundwater | |
| flooding | |
| Occurs when water levels in the ground rise above the natural surface. Low- | |
| lying areas underlain by permeable strata are particularly susceptible. | |
| HRA | Habitats Regulations Assessment: an assessment undertaken in relation to |
| a site designated under the Habitats and Birds Directives | |
| LLFA | Lead local flood authority |
| Local FRM | |
| Strategy | |
| Local flood risk management strategy produced by LLFAs under the Flood | |
| and Water Management Act 2010. | |
| Main river | A watercourse shown as such on the main river map, and for which the |
| Environment Agency and Natural Resources Wales has responsibilities and | |
| powers | |
| National | |
| FCERM | |
| Strategy | |
| National flood and coastal erosion risk management strategy: these are | |
| strategies prepared under the Flood and Water Management Act 2010, by | |
| the Environment Agency for England and by Welsh Government for Wales. | |
| Natural | |
| Resource | |
| Management | |
| The taking care of natural resources such as land, water, air, soil, plants and | |
| animals with a particular focus on how their management affects the quality | |
| of life for both present and future generations. | |
| NRW | Natural Resources Wales. NRW took over the functions of the Environment |
| Agency in Wales on 1st April 2013. | |
Ordinary
watercourses (OW)
All watercourses that are not designated Main River, and which are the
responsibility of Local Authorities or, where they exist, Internal Drainage Boards.
PFRA
Preliminary Flood Risk Assessment - these were required to be published by December 2011 and were the first stage in delivering the Regulations.
Ramsar
Wetlands of international importance designated under the Ramsar Convention
Reservoir
A natural or artificial lake where water is collected and stored until needed. Reservoirs can be used for irrigation, recreation, providing water supply for municipal needs, hydroelectric power or controlling water flow.
Risk management authorities (RMAs)
Organisations that have a key role in flood and coastal erosion risk management as defined by the Act. These are the Environment Agency, Natural Resources Wales, lead local flood authorities, district councils where there is no unitary authority, internal drainage boards, water companies, and
highways authorities.
RFCCs
Regional Flood and Coastal Committees
River Basin District (RBD)
These are the reporting units to the European Commission for the Water Framework Directive and the Floods Directive.
RBMP
River Basin Management Plan - plan required by the European Water Framework Directive.
River flooding
Occurs when water levels in a channel overwhelms the capacity of the channel.
SAC
Special Area of Conservation
SEA
Strategic environmental assessment
SMP
Shoreline Management Plan
SPA
Special Protection Area
SSSI
Site of Special Scientific Interest
Surface water flooding
Flooding from rainwater (including snow and other precipitation) which has not entered a watercourse, drainage system or public sewer.
SWMP
Surface Water Management Plan
Working with Natural Processes
Taking action to manage flood and coastal erosion risk by protecting, restoring and emulating the natural regulating function of catchments, rivers, floodplains and coasts. An example of this is using land to temporarily store flood water away from high risk areas.
WG
Welsh Government
## Part A
# Dee Flood Risk Management Plan
## 1. What Is Flood Risk And Who Manages It?
The Flood and Water Management Act (2010) defines flooding as any case where land not normally covered by water becomes covered by water. Flood risk is a combination of two components: the chance (or probability/ likelihood) that a location will flood from any source or type of flooding, and the impact (or consequence) that the flooding would cause if it occurred. Flood risk management is generally concerned with reducing harm which might take the form of property damage or physical injury to people and wildlife. However, flooding can also have beneficial effects too, in particular for wetland wildlife as well as some types of agriculture that are water dependent. Risk captures the severity of, or related consequences produced by, a flood event. Impacts can be social, economic and environmental, for example the number of properties flooded and the level of associated economic damages. The consequences of a flood depend on the level of exposure and the vulnerability of those affected.
What is the likelihood of this happening and what does this mean?
Probability (or chance) is a measure of the likelihood that a defined event will occur. The probability of a flood event is typically defined as the relative frequency of occurrence of that flood being equalled or exceeded. Probability can be expressed as a fraction, percentage, a decimal or description, and should always make reference to a time period. For example, the industry refers to a 1 in 100 chance of flooding in any given year' or a 1% annual probability of flooding', which both refer to the same likelihood. Assessing impacts of flooding prior to an event usually involves estimating the potential impact of flooding on people, property and the environment. The theoretical probability of flooding is illustrated by the Environment Agency and Natural Resources Wales' Flood Maps which show flood risk for rivers and the sea, surface water and reservoirs. Flood models which are the basis for the flood maps use uniform rainfall scenario (the same amount of rainfall falling across the country), whereas in reality rainfall rates vary greatly from one town to another. It is not possible to prevent all flooding, but there are a variety of actions which can manage these risks and their impacts on communities. Flood risk managers must identify all potential options to manage flood risk and balance the needs of communities, the economy and the environment. Risk management authorities should work in partnership with each other and communities to manage flood risk, ensuring that communities are part of the decision making process and understand and actively prepare for the risks. By working together risk management authorities should actively seek opportunities to coordinate risk management, encourage partnership funding and deliver multiple benefits.
Roles and responsibilities Table 1 and 2 show the RMAs involved in flood risk management in England and Wales their roles and responsibilities.
| Flood Source | EA / NRW | LLFAs | District | Water |
|--------------------|-------------|----------|-------------|----------|
| | | | | |
| | | | | |
| | | | | |
| Strategic overview | | | | |
| for all sources of | | | | |
| flooding & coastal | | | | |
| erosion | | | | |
| Main River | | | | |
| | | | | |
| | | | | |
| | | | | |
| The Sea | | | | |
| | | | | |
| | | | | |
| | | | | |
| Surface Water | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| Surface Water (on | | | | |
| or coming from the | | | | |
| Highway) | | | | |
| Sewer Flooding | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| Ordinary | | | | |
| Watercourse | | | | |
| Groundwater | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| Reservoirs | | | | |
| | | | | |
| * | | | | |
| | | | | |
| | | | | |
| * | | | | |
| | | | | |
| | | | | |
| * | | | | |
| | | | | |
| | | | | |
| * | | | | |
| | | | | |
| | | | | |
| * | | | | |
| | | | | |
| | | | | |
| * | | | | |
| | | | | |
* Please note RMAs have different responsibilities for reservoirs such as regulation, asset management and flood incident response ² As of 1 April 2015 in Wales the 3 Internal Drainage Districts that were operated by independent boards were incorporated into NRW in April 2015.
| Organisation |
|---------------------------------------------------------------------------|
| Environment Agency |
| Permissive powers to manage flood risk from 'main rivers', the sea and |
| reservoirs. Can use enforcement powers to require landowners to take |
| action to minimise flood risk to others. |
| Natural Resources |
| Wales |
| Permissive powers to manage flood risk from 'main rivers', the sea and |
| reservoirs. Can use enforcement powers to require landowners to take |
| action to minimise flood risk to others. |
| LLFAs |
| Upper tier local council or unitary council. Permissive powers to manage |
| flood risk from surface water, 'ordinary watercourses' (non-main rivers) |
| and groundwater. Enforcement powers are similar to Environment |
| Agency and Natural Resources Wales. Upper tier councils also manage |
| highways. |
| Water Companies |
| Dee Valley Water and Welsh Water manage the sewerage and water |
| supply networks and any flood risk arising from them. Also manage |
| flood risk to any critical infrastructure, such as water treatment plants |
| and pumping stations. |
| District Council (only |
| in England) |
| By agreement with the upper tier Lead Local Flood Authority, the District |
| Council may do some work to manage flood risk. District Councils are |
Internal
Company
Highways Authority
Drainage
Boards²
| Organisation |
|----------------------------------------------------------------------------|
| the Local Planning Authority. |
| Community Council |
| (only in Wales) |
| By agreement with the upper tier Lead Local Flood Authority, the |
| Community Council may do some work to manage flood risk. |
| Maritime District |
| Council |
| As District Councils, but also manage coastal erosion. As many coastal |
| defences protect against both erosion and flooding from the sea, these |
| Councils often do both in urban areas. |
| Riparian Landowner |
| The owner of land next to a watercourse usually owns the land to the |
| middle of the river (unless property deeds show otherwise). This |
| 'riparian landowner' is responsible for maintaining the watercourse to |
| allow free flow. |
| Communities |
| Individuals at risk from flooding, or having flooded, are encouraged to |
| form a Flood Action Group or other Community Group as a focus for |
| understanding the issues, considering improvement options and |
| implementing solutions. |
| Non- RMA owners of |
| flood defences |
| Features and structures that have been designated as a flood defence |
| cannot be altered, removed or replaced without the consent of the |
| responsible authority. |
| Reservoir owners |
| In addition to their general duty of care for the public under common law, |
| the owners of reservoirs with an above ground capacity of 25,000 cubic |
| metres or more have a legal duty to have their reservoirs supervised and |
| inspected regularly by experts; in order to prevent dam failures and the |
| dangerous flooding that could result. Reservoir owners could fall into |
| any of the above categories listed in the table. |
##
Flooding from river and the sea National Flood Risk Assessment (NaFRA) is an assessment of flood risk for England and Wales produced using local data and expertise. It shows the chance of flooding from rivers and the sea (both along the open coast and tidal estuaries). The data is presented in flood risk likelihood categories, which indicate the chance of flooding in any given year.
High - greater than or equal to 1 in 30 (3.3%) chance in any given year Medium - less than 1 in 30 (3.3%) but greater than or equal to 1 in 100 (1%) chance in any given year
Low - less than 1 in 100 (1%) but greater than or equal to 1 in 1,000 (0.1%) chance in any given year
Very Low - these properties may have a greater than 1 in 1,000 chance of flooding in any given year if defences weren't present. However, in reality the chance of flooding is reduced below a 1 in
1,000 chance by defences which NaFRA analysis includes. The computer model used to produce NaFRA results estimates the likelihood of flooding from rivers and the sea, taking into account defences and the chance that they can fail or be overtopped. The results, which are presented in maps, databases and excel spreadsheets, can be used in conjunction with receptor data (number and type of properties and infrastructure) to estimate the consequences and economic damage associated with flooding from rivers and the sea.
## Flooding From Reservoirs
Reservoir flood risk maps show the area that could be flooded if a large reservoir were to fail and release the water it holds. A large reservoir is one that holds over 25,000 cubic metres. This is a worst case scenario.
Existing flood management schemes and properties protected Risk Management Authorities work in partnership with each other and communities to manage flood risk. The Flood Risk Management Plan sets out the current and proposed measures to manage flood risk across the Dee RBD. However, RMAs have been undertaking a range of activities to manage flood risk for many years. Details of these activities can be found in Section 7
Error! Reference source not found.. In some parts of the Dee RBD flood management schemes are in place to reduce flood risk. The Environment Agency Flood Map for Planning and NRW Flood Risk Map shows the flood defences that protect against fluvial and tidal floods. Important flood defences in the Dee catchment include:
-
the River Dee flood embankments in Chester
-
Sealand main drain flood basin at Clifton Drive, Chester
-
Finchetts Gutter outfalls and debris screens at Sealand Road in Chester
## 2. What Is A Flood Risk Management Plan?
Flood risk management plans (FRMPs) highlight the hazards and risks from rivers, the sea, surface water, groundwater and reservoirs and set out how risk management authorities (RMAs) will work together with communities to manage flood risk.
What is the FRMP for?
Flood Risk Management Plans (FRMPs) are produced every 6 years and describe the sources and risks of flooding within a river basin district and catchment. They also include information on how risk management authorities (RMAs) plan to work together with communities and businesses to manage and reduce flood risk. Over the 6 year planning cycle the FRMP will help promote a greater awareness and understanding of the risks of flooding, particularly in those communities at high risk, and encourage and enable householders, businesses and communities to take action to manage the risks. FRMPs along with River Basin Management Plans (RBMPs) help all those involved in managing water to make decisions that are best for people and the environment.
Why are FRMPs being prepared?
This is the first cycle of implementing the Flood Risk Regulations 2009. As a result of this legislation, lead local flood authorities must prepare FRMPs in Flood Risk Areas, where the risk of flooding from local flood risks is significant (for instance from surface water, groundwater and ordinary watercourses). The Environment Agency (EA) and Natural Resources Wales (NRW) are required to prepare FRMPs for all of England and Wales covering flooding from main rivers, the sea and reservoirs, in line with government guidance. Flood risk and coastal erosion management activities require careful planning to ensure that appropriate, sustainable, options are selected and that they are implemented properly. Actions should be planned effectively, for the long-term, and provide a clear picture of what will be done to manage risk and provide multiple benefits. This may include, for example, linking with other plans such as river basin management plans (RBMPs) and supporting biodiversity, habitat creation or improving water quality. Natural Resources Wales, the Environment Agency and LLFAs are developing FRMPs by drawing existing information together and building on existing Flood and Coastal Erosion Risk Management plans such as: Catchment Flood Management Plans (CFMPs), Shoreline Management Plans (SMPs) and Local Flood Risk Management Strategies (LFRMS) (see Figure 1). The Environment Agency, Natural Resources Wales and lead local flood authorities are developing FRMPs by drawing existing information together, building on and supplementing the existing planning process (see What types of flood risk are included in the FRMP? The FRMP covers the flood risks that the Environment Agency and Natural Resources Wales are responsible for. This is a joint FRMP which the Environment Agency and Natural Resources Wales have acted jointly to produce. The FRMP draws from relevant information, in particular, flood hazard and flood risk maps published under the Flood Risk Regulations. It summarises the risk of flooding from rivers, the sea and reservoirs. The FRMP draws relevant conclusions from the flood and hazard risk maps about risks and opportunities. It sets out and prioritises what needs to be done to manage those risks. The FRMP shows how flood risk management measures co-ordinate with measures outlined through river basin management planning under the Water Framework Directive (WFD). Find out more about flood risk management on the Natural Resources Wales and GOV.UK websites.
What the plan does?
This FRMP aims to deliver the aims of the Environment Agency's National Flood and Coastal Erosion Risk Management Strategy in England and the Welsh Government's National Flood and Coastal Erosion Risk Management Strategy in Wales by setting out the measures to manage flood risk now and in the future. The FRMP will:
- Help develop and promote a better understanding of flood and coastal erosion risk - Provide information about the economic and environmental benefits to inform decision
makers
- Identify communities with the highest risk of flooding so that investment can be targeted at
those in most need
Measures in FRMPs do not all have secured funding and are not guaranteed to be implemented. Money is allocated to all RMA measures in the same way and is based on current Government policy that gives the highest priority to lives and homes.
What types of flood risk are included in the FRMP?
The FRMP covers the flood risks that the Environment Agency and Natural Resources Wales are responsible for. This is a joint FRMP which the Environment Agency and Natural Resources Wales have acted jointly to produce. The FRMP draws from relevant information, in particular, flood hazard and flood risk maps published under the Flood Risk Regulations. It summarises the risk of flooding from rivers, the sea and reservoirs. The FRMP draws relevant conclusions from the flood and hazard risk maps about risks and opportunities. It sets out and prioritises what needs to be done to manage those risks. The FRMP shows how flood risk management measures co-ordinate with measures outlined through river basin management planning under the Water Framework Directive (WFD). Find out more about flood risk management on the Natural Resources Wales and GOV.UK websites.
## 3. The Layout Of This Document
We have divided the plan into two parts:
Part A sets the scene for the FRMPs - what they are, what they are for and how we have developed them. Part B goes on to describe the River Basin District (RBD), the flood and coastal erosion risk and the proposed approach to managing that risk.
How we have developed the plan Section 4 describes how in partnership the Environment Agency and Natural Resources Wales have prepared this draft FRMP.
How to manage risk Section 5 describes some of the terminology we are using, such as 'conclusions', 'objectives' and
'measures', and how they relate to flood and coastal erosion risk management in this context.
The River Basin District
Section 6 of the plan introduces the Dee RBD. The flood and coastal erosion risks are set out for the RBD in section 7. We also introduce the 'sub-areas' that divide the RBD further.
## The Sub-Areas Section 8 Introduces Each Of The Sub-Areas Which Make Up The Rbd.
The risk conclusions, management objectives and measures Sections 9 to 11 set out the risk conclusions, objectives and measures for the RBD and sub-areas.
Implementing the plan, monitoring and reporting Section 12 sets out the proposals for implementing the plan, including co-ordination with the implementation of the RBMPs prepared under the WFD.
## 4. How The Plan Has Been Developed
The approach to developing FRMPs
In 2013 the government agreed that the preferred approach to developing FRMPs would be for the Environment Agency and Natural Resources Wales to work in partnership with other RMAs, in particular LLFAs, to pool information to develop an overall plan for managing all sources of flood risk and coastal erosion. For the first cycle of production of FRMPs, joint FRMPs are not being pursued in Wales. In preparing this draft FRMP, RMAs have built on relevant information from existing work (see What types of flood risk are included in the FRMP? The FRMP covers the flood risks that the Environment Agency and Natural Resources Wales are responsible for. This is a joint FRMP which the Environment Agency and Natural Resources Wales have acted jointly to produce. The FRMP draws from relevant information, in particular, flood hazard and flood risk maps published under the Flood Risk Regulations. It summarises the risk of flooding from rivers, the sea and reservoirs. The FRMP draws relevant conclusions from the flood and hazard risk maps about risks and opportunities. It sets out and prioritises what needs to be done to manage those risks. The FRMP shows how flood risk management measures co-ordinate with measures outlined through river basin management planning under the Water Framework Directive (WFD). Find out more about flood risk management on the Natural Resources Wales and GOV.UK websites.
## And Table ).
The Environment Agency and Natural Resources Wales are co-ordinating the development of this FRMP with the RBMP so that there is an integrated approach to overall water management for the benefit of people, the environment and the economy.
| Flood risk |
|-------------------------------------------|
| Flooding from main rivers |
| River Dee Catchment Flood Management Plan |
| Flooding from the sea |
| North West England and North Wales |
| Shoreline Management Plan SMP2 |
| Flooding along estuaries |
| Estuary Management Plans |
| Flooding from reservoirs |
| Reservoir Plans |
Consultation and engagement Consultation and engagement on this FRMP helped improve, inform and shape the plan. By consulting others we have reached a better final plan. We consulted on the FRMP from 10 October 2014 to 31 January 2015. As a result of feedback from the consultation we have improved the information on existing flood risk management and made clearer links between the FRMP and river basin management plans. We've also shown more clearly how flood management actions help to improve the environment. We also sought views on the measures within this final plan during the draft FRMP consultation. These measures are the intention for delivery. However, the majority of these measures are currently unfunded and each will be subject to assessment and justification to secure funding and if appropriate, prioritised on a National basis before delivery.
How the Environment Agency and Natural Resources Wales plan and set objectives
Objectives set out what RMAs want to achieve to manage the risk of flooding. Flood Risk Management Plans (FRMPs) contain objectives for managing flood risk. Objectives are a common set of goals agreed by risk management authorities. They state the main ways in which work is directed to make a difference and reduce flood risk. They cover people, the economy and the environment. The objectives are split into the 3 categories to help demonstrate the balance of objectives across the plans but the categories aren't assigned a weighting in the FRMP. Objectives are used to plan and prioritise investment programmes to target investment in the most at risk communities. Prioritisation is then done at an England wide level and Wales wide level. This takes into account the risk but also considers other factors such as; cost benefits, the level of investment to date and other aspects such as the potential for external funding opportunities. This plan covers areas in England where the Environment Agency is the responsible authority for flood risk management (with regard to main rivers, the sea and reservoirs) and areas in Wales where Natural Resources Wales is the responsible authority for flood risk management (with regard to main rivers, sea and reservoirs). Where the draft plan crosses the national boundary, agreements and arrangements are in place to enable both organisations to develop the draft plan jointly and ensure that impacts either side of the boundary are understood and agreed by the each authority. Management of flood and coastal erosion risk in England and Wales is driven by the National Strategies for Flood and Coastal Erosion Risk Management for England and Wales, respectively. These strategies provide the framework for flood and coastal erosion risk management work in the RBD. The overarching principles of the strategies were used to determine objectives for the RBD that consider people, the environment and economic activity. Where objectives are specific to only England or Wales, they are captured in the England or Wales only sections.
How each authority delivers against their FRMP objectives differs in England and Wales, as described in the following sections.
## England
Measures to meet the objectives include actions taken forward from the SMP2 (except in the small number of locations where these now differ following development of more up to date strategies), incomplete actions from the CFMP where still relevant, and from existing flood risk management strategies. Over time the aim is to also include actions from more local flood risk management strategies produced by LLFAs for their areas. This first plan includes a number of ongoing, agreed and newly proposed actions at the community level. Over time, the Environment Agency shall be considering further community level actions within the RDB. The aspiration is to add these in future cycles of the plan. Funding to RMAs to manage flood risk from watercourses, surface run-off and groundwater is mainly provided by Defra as flood and coastal erosion risk management grant in aid (FCRM GiA). Highways authorities and water authorities can apply for GiA funding for projects to reduce flood risk which wouldn't ordinarily be within their remit. Regional Flood and Coastal Committees can also raise local levy to fund local priority projects and works in partnership with others. Government promotes nationally consistent approaches to assessing and managing flood and coastal erosion risk and RMAs prioritise public investment in flood and coastal risk management works according to Treasury and Defra guidance. The Environment Agency has a role in allocating FCRM GiA and local levy funding to RMAs. Risk Management Authorities bid for the funding through medium term planning and projects are selected on the basis of the outcomes delivered, costs and benefits. Taking a risk-based management approach, resources are targeted to ensure that public money is spent on the works that provide the greatest benefits to society, and that this money is spent efficiently and effectively. Under Defra's partnership funding approach, government funding towards schemes is based on the numbers of households protected, the damages being prevented and other benefits that would be delivered. For schemes to proceed where they are not fully funded by government either the costs would need to be reduced or the remainder of the funding provided through local contributions. The approach helps achieve the best value for public money and encourages others to contribute where it is in their interests to do so.
## Wales
In order to deliver measures to meet the FRMP objectives, Natural Resources Wales takes a risk based community approach to prioritise where to best direct investment. This is informed by the strategic framework provided by CFMPs and SMPs. The strategic framework set by these plans enable Natural Resources Wales to make short term decisions to manage present day risk whilst also considering the longer term prediction of risk (for further information on CFMPs and SMPs please refer to Annex 2). The risk based community approach of present day risk is done through the Natural Resources Wales Communities at Risk Register. This is a tool that considers a number of factors to give an indication of where the most vulnerable communities at risk of flooding from main rivers and the sea are located across Wales. This is then used to plan and prioritise the Natural Resources Wales investment programme to target investment in the most at risk communities. Prioritisation is then done at a Wales-wide level and takes into account the risk calculation from the Communities at Risk Register but also considers other factors such as the cost-benefit ratio, level of investment to date and other aspects such as the potential for external funding opportunities. There is also a facet of Natural Resources Wales work which is reactive to severe weather events, where severe damage may have occurred, leading to the need for emergency works. All major flood alleviation schemes in Wales undergo appraisal work to assess options and to understand the costs and benefits of progressing work; this is done in accordance with Treasury guidance.
A Strategic Environmental Assessment (SEA) was undertaken to consider the significant environmental effects of the flood risk management plan. Natural England, Historic England and the Marine Management Organisation were consulted on the scope of the proposed assessment in December 2013, and the environmental report sets out the results of the SEA. The report describes the environmental effects that are significant within the RBD and identifies measures to mitigate any adverse effects. Opportunities to improve the environment are also considered. . The SEA took account of the environmental effects of flood risk management measures in the FRMP. The focus was on the combined effects of the programme of protection measures across a catchment or flood risk area, rather than individual measures at specific locations. The scope of the SEA was informed by the consultation with Natural England, Historic England and the MMO as well as with Natural Resources Wales, Scottish Environment Protection Agency, Historic Scotland and Scottish Natural Heritage in January 2014. The SEA took account of the environmental effects of flood risk management measures in the FRMP. The focus was on the combined effects of the programme of protection measures across a catchment or flood risk area, rather than individual measures at specific locations. Using the same assessment approach for both the RBMP and FRMP allows us to compare the environmental effects directly and consider the interaction between the two plans. The likely positive impacts of the FRMP are identified in the SEA, as well as mitigation required to manage the negative effects and opportunities to deliver greater environmental benefits. Indicators are also set out that indicate the effect of the plan on significant environmental receptors, taking advantage of existing monitoring that is already carried out by the Environment Agency, Natural Resources Wales and others. A Habitats Regulations assessment has been carried out on the FRMP to consider whether the plan affects designated sites (Special Areas of Conservation, Special Protection Areas and Ramsar sites). Initial assessment suggests that significant effects are not likely.
How FRMPs have been co-ordinated with river basin management planning
The Environment Agency and Natural Resources Wales lead on the development of flood risk management plans and river basin management plans (RBMPs). We aim to co-ordinate work effectively, and support others to do the same, so that there is an integrated approach to overall water management for the benefit of people, the environment and the economy. Each river basin district has a Liaison Panel made up of representatives for the key sectors. Members bring their experience, knowledge and their sector views acting as a two-way channel between the panel and their sector. This way of working provides an open forum to discuss and influence the development of the RBMPs to help us improve water quality. Find out more about river basin management plans on the Natural Resources Wales and GOV.UK websites.
Co-ordinating with the RBMP:
Dee RBMP
## 5. How To Manage Risk
Involving communities' leads to more effective flood and coastal erosion management. RMAs will continue to work with communities and other stakeholders to manage risk by:
- assessing the sources of flood risk and drawing conclusions about the risks - setting out what RMAs are trying to achieve and establishing risk management objectives - determining the best approach to achieving the objectives: by identifying the right measures
and prioritising them
The conclusions, objectives and proposed measures are set out for consultation within this draft FRMP. Following feedback from the consultation RMAs will work with interested parties to finalise the FRMP and:
- seek to secure the necessary funding
- implement the measures, with clarity on which organisation is accountable for which
measures
- monitor and review how the plan works
RMAs will monitor, and report annually, on progress in implementing the measures set out in the final FRMP published in December 2015. As RMAs, we will continue to work in partnership, ensuring a forward look of prioritised proposals for managing flood risk. The next review of the FRMP under the Flood Risk Regulations will be completed by 2021.
## National Flood And Coastal Erosion Risk Management Strategy For Wales
The Welsh Government National Flood and Coastal Erosion Risk Management Strategy provides the framework for flood and coastal erosion risk management in Wales. The framework is centred around four key objectives and the measures to meet those objectives.
Reducing the consequences for individuals, communities, businesses and the
environment from flooding and coastal erosion;
Raising awareness of and engaging people in the response to flood and coastal erosion
risk;
Providing an effective and sustained response to flood and coastal erosion events; Prioritising investment in the most at risk communities.
Natural Resources Wales plans and implements flood risk management work for which Natural Resources Wales are responsible within the framework set by the National Flood and Coastal Erosion Risk Management Strategy. In order to deliver the measures from the National FCERM Strategy, Natural Resources Wales takes a risk based community approach to prioritise where to best direct investment. This is informed by the strategic framework provided by Catchment Flood Management Plans and Shoreline Management Plans. The strategic framework set by these plans enable us to make short term decisions to manage present day risk whilst also considering the longer term projection of risk.
## National Flood And Coastal Erosion Risk Management Strategy For England
The national flood and coastal erosion risk management strategy for England (2011) provides the overarching framework for future action by all RMAs to tackle flooding and coastal erosion risk in England. The overall aim of the strategy is to ensure the risk of flooding and coastal erosion is properly managed by using the full range of options in a co-ordinated way. It encourages more effective risk management by enabling people, communities, business, infrastructure operators and the public sector to work together to:
ensure a clear understanding of the risks of flooding and coastal erosion, nationally and locally, so that investment in risk management can be prioritised more effectively;
set out clear and consistent plans for risk management so that communities
and businesses can make informed decisions about the management of the remaining risk;
manage flood and coastal erosion risks in an appropriate way, taking account of the needs of communities and the environment;
ensure that emergency plans and responses to flood incidents are effective and that communities are able to respond effectively to flood forecasts, warnings and advice;
help communities to recover more quickly and effectively after incidents.
The strategy recognises that difficult decisions have to be taken on where activities can and can't be carried out at both national and local levels. As such, six guiding principles have been identified to help guide these decisions and the processes by which they are taken. These guiding principles are:
1. Community focus and partnership working 2. A catchment and coastal "cell" based approach 3. Sustainability 4. Proportionate, risk-based approaches 5. Multiple benefits 6. Beneficiaries should be encouraged to invest in risk management.
This FRMP has been developed to meet the legal requirements of the Flood Risk Regulations. In doing so, the national flood and coastal erosion risk management strategy for England has also been taken into account, in particular its guiding principles.
Measures for managing risk There are different approaches to managing flood and coastal erosion risk - these are known as measures and are described below:
Preventing: by avoiding putting people or the environment at risk of flooding, for example, one way of preventing risks arising would be by not building homes in areas that can be flooded.
Preparing: by taking actions that prepare people for flooding, for example, by improving awareness of flood risk, or by providing warning and forecasting for floods so that people can take precautions to safeguard their valuables.
Protecting: by protecting people from the risk of flooding, For example, by the maintenance or refurbishment of existing defences or using waterproof boards over doors and airbricks, people can protect their properties from the damaged caused by flood water.
Recovery and review: by learning from when flooding happens and how to recover from it, for example, by improving the availability of recovery services such as providing temporary accommodation, after flooding has occurred. RMAs will only use this measure type where flooding has been experienced and a recovery and review action is being undertaken. Flood and coastal erosion risk management may require a combination of measures outlined above. FRMPs bring together measure from existing sources, particularly CFMPs, SMPs, local flood risk management strategies and the 6 year programme. The development and completion of these measures is often dependent on partnerships and the provision of funding The risk management authorities should work in partnership with communities to understand the community perspective of flooding and coastal erosion. The aim is to help communities understand and actively prepare for the risks, and encourage them to have direct involvement in decision-making. Where there are Flood Action Groups or other community groups, these become a clear focus for the community to bring together all the relevant information its residents and businesses may have. Where no such group is in existence, all relevant RMAs should endeavour to engage with communities to impart information and understanding about local flood risk. Working together to share knowledge, all relevant RMAs can work with communities on managing local risk. This becomes an opportunity for the RMAs to explain what steps they propose to take, talk about the likelihood of funding for any construction works, explore any other funding sources and advise residents and businesses what they can do to help themselves. It also gives the community the opportunity to shape the proposals.
Partnership working Managing flood and coastal risks and particularly local flood risks requires many organisations to work together in partnership. Partnership working allows organisations to pool expertise and resources to enable what they do to be as efficient and effective as possible. It encourages the sharing of knowledge, data and expertise and provides opportunities to manage cross boundary issues, ensure consistent approaches and develop and test innovative approaches to delivery.
## Part B Managing Flood Risk In The Dee River Basin District 6. Getting To Know The Dee River Basin District
Introduction
The River Dee RBD (shown in Figure ) covers an area of approximately 2,200km², the majority of which is situated in north east Wales with the eastern part of the RBD in England. The River Dee is approximately 110km long from its source in the Snowdonia National Park to where its estuary discharges into Liverpool Bay. From its source the River Dee flows eastwards to Llyn Tegid, an integral part of the River Dee system. Upstream of Llyn Tegid the river is fast flowing in a narrow incised valley, whilst downstream of the lake the valley bottom and natural floodplain opens out to approximately 1km wide. The natural river system is modified through flow control at the Bala sluices located where the River Dee is joined by the River Tryweryn. From Bala, the river flows north eastwards towards Corwen where the River Alwen joins the Dee. There are two major reservoirs in the upper reaches of the Alwen catchment, Llyn Brenig and Alwen Reservoir. The River Dee continues in an easterly direction through Llangollen and downstream to Erbistock, once again following a narrow incised valley. Between Erbistock and Chester the floodplain is flat and very wide, with the main tributaries; Rivers Ceiriog, Clyweddog and Alyn, joining the Dee along this reach. Downstream of Chester Weir the river was canalised over 200 years ago and flood defences, which are still maintained today, were constructed to protect land from tidal inundation. The River Dee is normally tidal up to Chester Weir; however this boundary is exceeded for spring high tides when tidal influence can affect river levels as far upstream as Shocklach, 15km upstream of Chester Weir. The Dee RBD comprises a range of landscapes including mountains, steep sided wooded valleys, the plains of Cheshire and the mudflats in the estuary. The different topography within the Dee River Basin District gives rise to different flooding responses. In the west the steep slopes give rise to more rapid runoff and faster flooding responses, whereas runoff occurs more slowly on the gently sloping land in the east.
Water
The River Dee is an important source of drinking water for nearly 3 million people in Wales and North West England. Given the importance of maintaining this supply, opportunities to abstract for other purposes are very limited and carefully regulated. Reservoirs in the upper part of the RBD store water and regulate flow in the Dee. They sustain abstractions for public and industrial water supply and modify flood response in the river. The strategic importance of the Dee for water supply has led to it becoming one of the most regulated rivers in Europe and in 1999, the lower part of the Dee was designated as the UK's first Water Protection Zone. There are 115 water bodies across the district comprising rivers, lakes, groundwater and the Dee estuary. In 2009, 28% of the water bodies were at "good" status, this rose to 30% in 2013.
Significant water issues identified for the Dee are; physical modifications, pollution from sewage and waste water, pollution from rural areas and invasive non-native species.
Climate UKCIP (UK Climate Impacts Programme) predicts that, by the 2050s, temperatures across Wales could rise by 1.1 to 4.1°C. Annual average rainfall in Wales is predicted to remain roughly the same as present, but there is likely to be a large difference in the patterns of summer and winter rainfall. Increased winter rainfall is expected as a result of increased storminess, leading to intense, but short-lived, rainfall events. Summer rainfall may decrease and short duration droughts (12-18 months) are likely to become more frequent.
Future sea level rise along Wales' coast is likely to result in more severe coastal erosion and inundation events in low-lying coastal areas. The relative sea level rise around Wales is predicted to be 36cm by the 2080s. These extremes impact on water related issues such as decreased water availability and an increase in people and properties at risk from the effects of flooding.
Society and health The population of the district is generally stable at around 458,000. Chester, Wrexham and Deeside (the conurbation including Connah's Quay, Queensferry, Pentre, Sandycroft and Hawarden Airport) are the main urban areas in the RBD. Other significant towns in the RBD are Bala, Llangollen, Corwen, Flint, Mold, Buckley, Whitchurch, Neston, Heswall and West Kirby. There are some health inequalities evidenced by greater social deprivation in urban areas. Significant housing growth along with creation of jobs and services is proposed in many towns.
Land use
The upland catchment is predominantly rural, with sheep farming on the poorer areas of grassland and significant areas of commercial forestry. Frequent flooding in the lower Dee between Bangoron-Dee and Chester has resulted in very little urban development and the area is extensively used for agriculture, particularly intensive dairy farming on the fertile land in and around Wrexham and on the Cheshire Plain. Arable farming dominates on the Wirral side of the estuary and around Deeside and Sealand. Approximately 6% of the catchment is urban with Wrexham, Chester, and Deeside being the main urban centres accounting for over 60% of the population. Canalisation of the tidal section of the River Dee downstream of Chester has enabled urban development to take place on both banks. Changes in land use within the catchment have led to physical changes to the water environment and pollution from industry and diffuse rural pollution. There is growing evidence that woodland measures can help to slow down or even reduce flood flows, particularly within smaller catchments. Strategic tree planting and woodland management can help reduce flood risk in a number of ways:
greater water use and interception by trees compared to other vegetation types helps to reduce run-off volumes.
Woodland soils have greater capacity to absorb and store rainwater during flood events due to their more open structure and the presence of root systems; this also aids interception of overland flow from adjacent land;
The 'hydraulic roughness' of trees and other woodland features can help to slow the flow of
overland flood water.
soils under woodland are also generally better protected from erosion risk, thereby reducing delivery of sediment to watercourses and reducing pollutants in the water.
Therefore, 'woodland measures' for flood risk reduction include woodland creation - in the right place and to the right design - and the installation of woodland features such as large woody debris dams to both reconnect watercourses with already wooded riparian zones and floodplains and to slow down flood flows. The 2011 'Woodland for Water' report detailed the evidence behind these conclusions. As a result opportunity mapping was produced to help identify where targeted woodland measures could help to reduce flood risk. Priority locations fall into three categories: Floodplains - where hydraulic roughness from woodland cover slows the flow and encourages the deposition of sediment;
Riparian zones - to intercept overland flow, protect river banks from erosion, and help slow the flow of water;
Wider catchment planting - to protect sensitive soils from erosion, increase infiltration rates, and intercept sediment in run-off from adjacent land.
While opportunity maps can identify priority catchments where woodland creation and management can help reduce flood risk, it is important that woodland is located in the right part of the landscape and then designed and managed appropriately in order to maximise their contribution to reducing flood risk. Land drainage for agricultural purposes was historically an important element of operational activity in flood and coastal erosion risk management. Today the prime driver for investment in water management for flooding and drainage is one of risk reduction to people and property, and for the improvement of the environment. RMAs prioritise investment according to government policy, the respective National Flood and Coastal Erosion Risk Management Strategies for England and Wales and HM Treasury Green Book on economic appraisal. Government policy gives the highest priority to lives and homes.
## Economic Activity The Economy Of The River Dee Rbd Is Characterised By:
- Forestry, tourism, cottage industries and hill farming in the upper Dee, - Mainly agriculture (arable and pasture) in the lower Dee area - Retail, commercial and industrial activities in and around Chester, Wrexham, Deeside and
tourism in Chester itself
- Industrial development (manufacturing and commercial) adjacent to the Dee Estuary, on both
banks
Retail and distribution, health and education, and manufacturing and construction are the three most significant employment sectors in the Dee RBD. Commerce is important, particularly in Chester and the other urban areas. Tourism, farming and rural industries, and transport and communications, although smaller, are key in sustaining rural communities. Fisheries and the Dee cockle beds are also important to the local economy.
Recreation and tourism
The diversity of the landscape in the River Dee RBD offers a wide range of recreational activities and opportunities which contribute to people's quality of life and bring economic benefit from tourism. The majority of visitors to the River Dee RBD enjoy informal recreation such as: walking, camping, water sports, angling, horse-riding, mountain biking and rock climbing. Popular areas for recreation include the Clwydian Mountains, River Dee Valley, and the lakes and reservoirs (Bala, Celyn, Brenig and Alwen). Tourism is a major part of the local economy, especially within Snowdonia National Park, Llangollen, Chester and Erddig near Wrexham.
Infrastructure
The RBD contains regionally important infrastructure, including railways (for example the Chester to Holyhead mainline), primary roads (for example the A55 and A483), energy infrastructure, canals, the Hawarden Airport, ports (including the Port of Mostyn) and industrial and commercial development alongside the Dee Estuary. Recently there has been an increasing demand for hydropower, with a number of sites being investigated.
Landscape
Agriculture and forestry dominate the upper reaches of the district and there are a variety of landscape and settlement patterns. The upper catchment includes part of the Snowdonia National Park and is predominantly rural in character. In the mid to lower catchment, the landscape changes to rolling hills that gradually form the Cheshire Plain. The most tranquil areas of the district are in the upper reaches with the mid to lower reaches being more disturbed by traffic and settlements around Wrexham and Chester. In the lower reaches, urban development has had a significant impact and many river channels and floodplains do not function naturally.
Biodiversity
The Dee RBD is hugely varied, from the mountains of Snowdonia to the internationally important mudflats of the Dee Estuary. The importance of this habitat is reflected by a variety of international, national and local nature conservation designations. There are 7 Special Areas of Conservation (SACs), 3 Special Protection Areas (SPAs) and 3 Ramsar sites. The River Dee itself is a SAC and Site of Special Scientific Interest (SSSI). The tidal Dee estuary is also a SPA and Ramsar wetland. Many of the SSSIs (approximately 70) have close links with the water environment. Water bodies and wetland areas within the district support a number of protected species (for example otter, water vole) and priority species listed in the UK Biodiversity Action Plan (for example White-clawed Crayfish and Freshwater Pearl Mussel). The highly modified nature of the Dee has lead to there being 45 barriers to fish migration in the district. Invasive species in the RBD include Japanese Knotweed, Himalayan Balsam and North American Signal Crayfish. Many of the sites with environmental designations are affected by flooding and may be dependent on periodic flooding to maintain their habitats and species. Fisheries are important in all the rivers within the River Dee RBD and there are a significant number of stretches of river that are designated under the Freshwater Fish Directive and are important for salmon and other species.
Cultural heritage
The River Dee RBD area has a diverse historic environment resulting from over 6000 years of human settlement, including remnants of Neolithic and Bronze Age settlements in the River Dee Valley, and Roman settlements in Bangor-on-Dee and Chester. The Pontcysyllte Aqueduct and Canal is a World Heritage Site and there are 5 landscapes listed on the Register of Landscapes of Historic Interest in Wales. There are around 400 scheduled ancient monuments and numerous registered park and gardens, listed buildings and heritage sites. Many structures directly associated with the water environment have listed status, for example mills, bridges, weirs and sluices. Archaeological features associated with the flood plain and land saturated by groundwater can be put at risk from drying out, erosion or inundation.
Geology
The underlying geology of the bedrock in the River Dee RBD results in the clear topographical distinction between the upland areas in the west and the low areas in the east, with the escarpment of the Welsh foothills near to Llangollen providing the divide. The upper River Dee and River Alwen catchments west of Llangollen are underlain almost entirely by fine grained sedimentary mudstones and siltstones. These older consolidated rocks are largely impermeable, encouraging overland flow. Rainfall falling in these steeper, upland areas gives rise to high run-off rates, and a rapid response within the watercourses. The overlying superficial deposits help in attenuating surface flows from rain in the drier summer months, but when waterlogged will also contribute to the fast responding surface water flows. The River Alyn rises in the centre of the RBD and drains an area of faulted and fractured carboniferous limestone and coarse sandstones. The limestone is a major aquifer where much of the rainfall percolates through the rock to contribute to groundwater flows. Throughout its length the River Alyn is affected by numerous sinkholes and mine shafts with the consequence that the course of the river can run dry in prolonged periods without rainfall. The middle, lower and tidal Dee sub-catchments predominantly drain the wide low lying Cheshire Plain, with sandstone bedrock underlying much of the area. The superficial deposits in this part of the catchment comprise glacial till, glacio-fluvial sand and gravel and more recent river terrace deposits and alluvium of fluvial origin.
Soil
Soil types in the RBD are strongly influenced by topography, with a clear difference between the upper Dee, and the lower Dee. The upper Dee contains some areas of peatland habitat (for example upland blanket bogs). When in good condition these areas are valuable for biodiversity, carbon storage and sequestration, regulation of stream base flows, water runoff and nutrient regulation and retention. However, they mainly have low permeability and are interspersed with seasonally waterlogged soils. Seasonally waterlogged impermeable soils dominate the Lower Dee catchment with significant areas of loamy and sandy free draining soils. Soils with a high groundwater table occur downstream of Chester, and upstream in the River Dee valley from Worthenbury in the south to Aldford in the north. The impermeable soils covering most of the lower catchment give rise to higher rates of runoff to the rivers and streams although the relatively flat topography through much of the lower Dee means that flooding response times are longer. Where there are high groundwater levels and flat areas with seasonably waterlogged soils any flooding is slow to recede.
## 7. Key Flood Risk Issues In The Dee River Basin District
Sources of risk Based on historic flooding and the latest flood risk information the main sources of risk in the Dee River Basin District are described below.
## River Flooding
This occurs fairly frequently in the upper sub-catchments of the River Dee, River Alwen and River Alyn. In the remainder of the catchment, floodplains are generally wider, with flooding affecting large areas of agricultural land and urban areas such as Wrexham, Mold, Chester, and the Deeside and Sealand communities. The River Dee at Chester responds slowly to heavy rainfall, taking up to 3 or 4 days to peak following a rainfall event.
## Tidally Influenced River Flooding
Downstream of Farndon, the River Dee is influenced by high tides which regularly exceed the Chester weir level, resulting in flow reversals on the river. These tides can restrict the discharge of tributary rivers into the Dee. The most severe flooding can occur when extreme tidal events coincide with high river flows.
## The Sea
Communities on the North Wales coast are at risk of flooding, particularly when high tides coincide with large waves and / or a storm surge.
## Reservoirs
The River Dee is highly regulated by controlled releases from reservoirs in the upper catchment. The main reservoirs in the RBD are Bala (Llyn Tegid), Llyn Celyn, Llyn Brenig and Alwen reservoir, which means that areas downstream of these could be flooded if a large reservoir were to fail, however, reservoir flooding is extremely unlikely to happen
## Other Sources
Surface Water flooding is extensive in the Lower Dee (Mold and Wrexham) and Dee estuary subcatchments (Deeside, Sealand and Chester), and also in the lower reaches of the River Alyn catchment near the confluence with the River Dee. (Note, surface water flood risk is the responsibility of Lead Local Flood Authorities. For further information on surface water flood risk, contact the relevant Local Authority). Groundwater and sewer flooding has occurred in some areas and caused road flooding and some property flooding. These are localised issues and flood risk from these sources is considered to be low at a catchment scale.
## Managing Flood Risk In Less Populated Areas
The Environment Agency and Natural Resources Wales flood risk management work is focused where each pound of public money spent can provide the greatest amount of economic benefit. River maintenance work and capital improvement schemes tend to have greatest cost-benefit in more populated areas where flood risk is greater to people and property. In sparsely populated areas Environment Agency and Natural Resources Wales work seeks to strike a balance between natural flooding of the flood plain, which attenuates downstream flooding and use of these areas for other purposes, including agriculture and habitat. Internal Drainage Boards are organisations which are jointly funded by landowners and others to manage drainage of land and operation of pumping stations to benefit agricultural productivity.
## Managing Flood Risk In Urban Areas
Larger settlements have resulted in many man-made structures affecting the river environment, from river channel retaining walls, to weirs and culverts. Culverts beneath roads and properties are particularly common in dense urban areas. These come in all shapes and sizes with those on
'main rivers' generally (but not always) being larger than those on smaller watercourses and surface water drains. These structures inhibit wildlife and vegetation, restrict flows and increase flood risk from blockages. To counter this risk, the Environment Agency, Natural Resources Wales and LLFAs do frequent 'man-entry' inspections (larger culverts) and CCTV surveys (smaller structures) and carries out repairs when necessary. During heavy rainfall they may monitor water levels at structures and send teams to clear debris from culvert inlet screens where safe to do so. Examples of debris are: tree branches, leaves, garden refuse and obstructions such as shopping trolleys, or gravel and boulders in more extreme conditions. Problems with debris at culverts arise on both small and large watercourses. Levels can rise quickly and flooding on some can start in less than two hours from a blockage occurring, making preventative action very difficult.
Historical flooding Prior to 1800, flooding mainly affected agricultural land and isolated properties. Industrial development after 1800 focused development on towns and villages, many of which were located near to rivers, and often partly within the natural floodplains, to make use of water power. This resulted in greater flooding impacts on people, their homes and workplaces. These changing development patterns have influenced historical flood risk management over the past 200 years.
The River Dee RBD has a long history of flooding, with records dating back to the 13th Century.
The River Dee itself has suffered significant flooding many times, with probably the most extensive instances occurring in 1890, 1946, 1964 and 2000. During autumn 2000, exceptional rainfall caused widespread flooding throughout the Dee RBD. Many areas, which had no previous record of flooding, were affected on this occasion. The main towns and villages affected in the Upper Dee were Bala, Llandrillo, Llandderfel, Llangollen and Corwen. Those affected in the middle and lower Dee were Trevalyn, Mold, Rhydmwyn, Rossett, Bangor-on-Dee, Nant Alyn, Pentre (Queensferry) and Cefn Mawr. 613 residential properties and 25 businesses were flooded. 182 people had to be evacuated and 90 caravan and chalet holiday homes were flooded, almost all in the lower Dee. About half the flooding resulted from main rivers and the remainder being due to ordinary watercourses and surface water flooding. There was no reported loss of life or serious injuries. In December 2013, a tidal surge coinciding with a high spring tide caused some localised flooding to areas along the Dee estuary.
Climate Change There is clear scientific evidence that global climate change is happening now. Over the past century sea levels have risen around England and more winter rain falling in intense wet spells. Climate changes can affect flood risk in several ways and the impacts will vary depending on local conditions and vulnerability. Risk management authorities should consider climate change within the development of all plans. Wetter winters and more intense rainfall may increase river flooding and cause more surface runoff, increasing localised flooding and erosion. In turn, this may increase pressure on drains, sewers and water quality. Storm intensity in summer could increase even in drier summers, so RMAs need to be prepared for the extreme events. Rising sea or river levels may also increase local flood risk inland or away from major rivers because of interactions with drains, sewers and smaller watercourses. Even small rises in sea level could add to very high tides so as to affect places a long way inland. Lower emissions could reduce the amount of climate change further into the future, but changes are still projected at least as far ahead as the 2080s. UK Government's Flood Foresight (2014) reendorses the findings of the 2008 foresight work, stating that in general terms climate change is likely to increase river flood risks by 2080 by between 2 and 4 times, and coastal flood risk by 4 to
10 times. Increases in the frequency of flooding would affect people's homes and wellbeing, especially for vulnerable groups.
Future risk Future flood risk will be largely influenced by climate change, with changes in land use and rural land management also having an impact. The number of properties at risk will increase unless actions are taken to manage the increasing risks. Future increase in flood risk is likely to be concentrated in towns located near the mouth of rivers or where there are tidal influences. This is where the effects of sea level rise and increased river flows will combine, resulting in more frequent, extensive flooding. The most significant increases in future risk are likely to occur in Deeside, Sealand and Chester. The following maps illustrate the broad scale of flood risk across the RBD. You can see this information in more detail at the links below. In parallel to flood risk management planning, the Environment Agency and Natural Resources Wales are updating RBMPs across England and Wales. You can consider the pressures on the water environment and what plans are proposed using the additional links below. Find out more about flood risk on the Natural Resources Wales and GOV.UK websites.
## Flood And Coastal Erosion Risk To People Map Of Flooding From Rivers And Sea: Map Of Flooding From Reservoirs: Flood And Coastal Erosion Risk To Economic Activity Map Of Flooding From Rivers And Sea:
Map of flooding from reservoirs:
## Flood And Coastal Erosion Risk To The Natural And Historic Environment Map Of Flooding From Rivers And Sea: Map Of Flooding From Reservoirs:
| River and Sea | Total in |
|----------------------------------|-------------|
| RBD | |
| Risk to people: | |
| | |
| Number of people in area: | |
| 458,100 | 3300 |
| Number of services: | |
| 900 | 30 |
| | |
| | |
| Risk to economic activity: | |
| | |
| 67,250 | 1100 |
| Number of non-residential | |
| properties: | |
| Number of airports: | |
| <10 | 0 |
| Length of roads (km): | |
| 350 | <10 |
| Length of railway (km): | |
| 127 | <10 |
| Agricultural land (ha): | |
| 86,416 | 5,777 |
| | |
| | |
| | |
| Risk to the natural and historic | |
| environment: | |
| <10 | <10 |
| Number of EU designated | |
| bathing waters within 50m: | |
| 56 | <10 |
| Number of EPR installations | |
| within 50m: | |
| Area of SAC within area (ha): | |
| 29,700 | 3,200 |
| Area of SPA within area (ha): | |
| 23,300 | 2,150 |
| 3,250 | 2,550 |
| Area of RAMSAR site within | |
| area (ha): | |
| 4,250 | 200 |
| Area of World Heritage Site | |
| within area (ha): | |
| Area of SSSI within area (ha): | |
| 34,250 | 4,000 |
| 3,048 | 156 |
| Area of Parks and Gardens | |
| within area (ha): | |
| 550 | 10 |
| Area of Scheduled Ancient | |
| Monument within area (ha): | |
| 4,400 | 150 |
| Number of Listed Buildings | |
| within area: | |
| 200 | 50 |
| Number of Licensed water | |
| abstractions within the area: | |
| | |
| | |
| Low risk Very low | High |
|----------------------|---------|
| risk | |
| Medium | |
| risk | risk |
| Reservoirs | Total in RBD |
|--------------------------------------------------|-----------------|
| extent of | |
| flooding | |
| Risk to people: | |
| | |
| Number of people in area: | |
| 458,100 | 12,400 |
| Number of services: | |
| 900 | 50 |
| | |
| | |
| Risk to economic activity: | |
| | |
| Number of non-residential properties: | |
| 67,250 | 3,600 |
| Number of airports: | |
| 0 | 0 |
| Length of roads (km): | |
| 350 | 50 |
| Length of railway (km): | |
| 100 | <10 |
| Agricultural land (ha): | |
| 86,400 | 8,300 |
| | |
| | |
| Risk to the natural and historic environment: | |
| | |
| Number of EU designated bathing waters within | |
| 50m: | |
| Number of EPR installations within 50m: | |
| 50 | <10 |
| Area of SAC within area (ha): | |
| 29,650 | 1250 |
| Area of SPA within area (ha): | |
| 23,350 | 100 |
| Area of RAMSAR site within area (ha): | |
| 3,250 | 550 |
| Area of World Heritage Site within area (ha): | |
| 4,250 | 450 |
| Area of SSSI within area (ha): | |
| 34,250 | 2,050 |
| Area of Parks and Gardens within area (ha): | |
| 3,050 | 250 |
| Area of Scheduled Ancient Monument within area | |
| (ha): | |
| Number of Listed Buildings within area: | |
| 4,400 | 500 |
| Number of Licensed water abstractions within the | |
| area: | |
| <10 | 0 |
|---------|-------|
| 550 | 50 |
| 200 | 50 |
## 8. Sub-Areas In The Dee River Basin District
Introduction
Where possible, this plan has been co-ordinated at RBD scale covering the whole of the Dee RBD. As the Dee RBD covers parts of both England and Wales, there are elements of flood risk management work that are not applicable to the whole RBD and just cover the Welsh section or the English section, due to different administrations. This plan includes two large strategic areas, as shown in Figure 4. These are:
- The English part of RBD - The Welsh part of RBD
This will enable risk conclusions, objectives and measures to be developed for the English Dee as a strategic area and the Welsh Dee as a strategic area. The Dee RBD is unique from the other RBDs that cover England and Wales in that the Dee is an RBD only and is not split into smaller WFD Management Catchments. In addition, there are no Flood Risk Areas as designated under the Flood Risk Regulations in the Dee RBD.
## 9. Conclusions, Objectives And Measures To Manage Risk For The Dee River Basin District
This draft plan sets out the type of measures proposed to manage the risk. In developing the proposed measures the RMAs contributing have:
- drawn conclusions from hazard and risk maps and other sources of information: this helps us
all to understand the risks or opportunities the RMAs are aiming to manage
- developed risk management objectives (related to people and society, the economy and the
environment) that set out the outcomes RMAs are trying to achieve
- identified the likely approach to managing risk: using the following categories: preventing,
preparing, protecting and recovering and review
These conclusions, objectives and measures are set out for the Dee RBD. Conclusions, objectives and measures for the sub areas are set out in the following sections.
Conclusions and objectives for the Dee RBD
The following conclusions and objectives have been set out for the Dee RBD.
## Rivers And Sea Flood Risk
In the Dee RBD there are approximately 26,400 people at flood risk from main rivers and the sea; over 3000 of these are considered to be at high risk. The proportion of the population at medium or high risk of flooding from rivers and the sea is relatively low, at less than 2%. Large areas of agricultural land are at risk, including over 5,700 hectares at high risk of flooding. Parts of the road and railway networks are at risk and many of the environmentally designated sites in the RBD are also at risk.
## Reservoir Flood Risk
The hazard maps show the largest area that might flood if a reservoir were to fail. The chances of a reservoir failing and causing flooding are very low; however the extent of flooding from a reservoir can perpetuate a long way from its source. This is because the local geography, such as valleys, can channel flood water long distances. In the RBD there are 12,408 people and 48 services at risk from flooding from reservoirs. Under the Reservoirs Act 1975 the Environment Agency and Natural Resources Wales regulate all reservoirs with a capacity of 25,000 cubic metres or more above ground level, which could escape in the event of a dam failure. We are currently going through a process of identifying which of the reservoirs with a capacity of 25,000 cubic metres or more is 'high-risk'. 'High-risk' reservoirs will be those reservoirs that are predicted, in the event of an uncontrolled release of water, could endanger human life. In the future the Environment Agency will continue to maintain a register of all reservoirs with a capacity of over 25,000 cubic metres in England, but will only fully regulate the 'high-risk' reservoirs. In Wales, Natural Resources Wales will identify and register reservoirs with a capacity of over 10,000 cubic metres and these will also be subjected to the risk classification process.
## Surface Water Flood Risk
Lead Local Flood Authorities are responsible for managing the risk of flooding from surface water, defined as rainwater on the ground surface that hasn't entered a watercourse, drain or sewer. This type of flooding can begin to occur within minutes of intense rain, so it is almost impossible to forecast for. Problems can quickly occur in several places, and although these might be over a small area, a Local Council's resources can quickly become stretched.
It is good practice to plan for drains and watercourses becoming overwhelmed in a flood, such as by analysing the flow paths that floodwater may take. Once these are known, steps can be taken to ensure they are kept free from obstructions such as buildings and to consider whether roads and open space can be used to safely channel water away. Surface water flooding is a problem across the Dee, whether due to run-off from fields and down roads in rural and semi-rural areas, or from roofs and paved surfaces in built-up areas, sometimes due to insufficient capacity of drains and sewers. In the long-term, SuDS may relieve some pressures. In the short-term, local councils have identified the places where properties are at greater risk of surface water flooding and will gather more data for some of these before considering a range of measures according to circumstances. Some of this will involve working closely with the Environment Agency, Natural Resources Wales and water companies to jointly understand complex interactions between the drainage, sewer and watercourse systems. It is important to note, though, that laying a bigger drain is often not the solution, as this can simply pass the problem onto the watercourse it discharges into and that could then flood.
## Groundwater Flood Risk
LLFAs are responsible for managing the risk of flooding from Groundwater. Groundwater is naturally stored in the ground below the water table level. When the water table rises and reaches ground level, water starts to emerge on the surface and flooding can happen. This may be because the ground slopes, or because of break in the rock layers. Once on the surface this groundwater may flow or pond. Groundwater flooding is closely linked to geology and is less common in the Dee than in other locations, such as south east England where chalk is quite common.
## Sewer Flood Risk
Water companies are responsible for sewers which take away wastewater and any surface water which drains into these sewers. Better outcomes can be gained by considering flood risk from sewers and other sources and then managing actions in an integrated manner with other organisations. However, this is not a mandatory requirement of Flood Risk Management Plans.
## Objectives
The Environment Agency and Natural Resources Wales have developed a set of eight overarching objectives for this plan at RBD level, shown in Table 6. These objectives were developed and agreed based upon understanding of flood risk and issues that are important now or in the future. Their suitability has been reviewed against the National FCERM Strategies for England and Wales and the flood risk management plan requirements and are deemed to sufficiently reflect the key objectives of flood risk management work in England and Wales.
FRMP
FRMP Objective
Objective
Number
1
Reduce the risk and impact of flooding on people and communities (from main rivers, reservoirs and the sea).
2
Increase resilience of services, assets and infrastructure to the risk of flooding.
Y
Y
3
Improve understanding of flood risk so that decisions are based upon the best available information.
4
Improve community awareness and resilience to flooding.
Y
Y
5
Provide an effective and sustained response to flood events.
Y
Y
6
Allocate funding and resources for all sources of flooding on a risk basis.
Y
Y
Y
7
Incorporate and promote an integrated approach to flood risk management, working with natural processes at a catchment scale, to provide multiple benefits to people and the environment.
8
Incorporate climate change adaption into all aspects of flood risk management.
Y
Y
Y
9
Seek opportunities to deliver RBMP measures through Flood Risk Management
Measures across the Dee RBD
The Environment Agency and Natural Resources Wales are responsible for many flood risk management activities across the Dee RBD.
-
Preventing risk:
-
We provide advice and support to the government.
-
We regulate all 'high-risk' reservoirs in accordance with the Reservoirs Act 1975.
-
We work closely with local planning authorities, developers, businesses and infrastructure operators to help them understand the consequences of flood risk in the locations they choose for development. We provide advice on how new development can be designed to be more resilient to flooding. This helps to prevent inappropriate development through the planning process and ensures there is no increase in run-off from new developments.
-
We ensure works in, over, under and next to main rivers do not increase flood risk or cause pollution through effective consenting. We use the consenting process to identify opportunities to improve the water environment.
-
We undertake a prioritised programme of mapping and modelling to ensure our flood risk information remains up to date and fit for purpose. We use this data to prioritise and allocate funding in locations that are most at risk, and to influence sustainable development and emergency response.
| Social | Environmental | Economic |
|-----------|------------------|-------------|
| Y | | Y |
| Y | Y | Y |
| Y | Y | Y |
| Y | Y | Y |
-
We contribute to research and development, and work with partners to identify best practice
for reducing runoff through land use change, whilst contributing wider benefits where possible (biodiversity, soil conservation and water quality improvements).
-
We work with local authorities, emergency services and other key partners and explore opportunities for joint outcomes.
## - Preparing For Risk:
-
We undertake hydrometric monitoring across Wales to inform our flood warning service.
-
We undertake flood forecasting and alert households and individuals of potential flood events.
-
We undertake work to maintain and improve our flood forecasting, flood warning and flood incident management services. We focus on areas for improvement as highlighted by recent flooding events and routine exercises.
-
We undertake a risk based programme to increase awareness of flood risk, what actions they need to take and encourage registration to Floodline.
-
We take account of future flood risk when making our decisions, including consideration of climate change.
-
We review Asset System Management Plans regularly with regard to maintenance, funding requirements and asset condition related works across each catchment.
-
We provide a flood incident response service 24 hours a day, 7 days a week, 365 days a year.
-
We have on-site reservoir plans in place for all 'high-risk' reservoirs.
-
We provide advice and information to Local Resilience Fora to enable them to reduce the impact of flooding.
-
We seek to work collaboratively with our partners to find innovative approaches to managing flood risk.
## - Protecting From Risk:
-
We maintain high risk flood and coastal risk management assets, prioritising our efforts on those at highest risk.
-
We undertake an asset inspection programme to ensure our flood risk management assets
are at the appropriate standard.
-
We undertake a maintenance programme to replace / refurbish flood risk management assets, including pumping stations and outfalls, prioritising our efforts on those which have the highest flood risks.
-
We deliver our Flood and Coastal Risk Management Capital Programme which includes building flood defences and implementing innovative ways of managing the landscape to hold and slow down water to help reduce flood risk to communities.
-
We seek opportunities to undertake Natural Flood Management by using all appropriate tools available, such as Woodland Creation maps.
-
Recovery and review of risk:
-
We deliver an effective and co-ordinated response to flood incidents and provide a physical response on the ground where required.
-
We undertake post-event reviews to learn and improve the service we provide.
## Contributing To Broader Benefits
This Plan has been produced alongside the Second Cycle Dee River Basin Management Plan. The alignment of planning programmes and study areas has allowed consideration of how the plans interact and how the Environment Agency and Natural Resources Wales can work to deliver multiple benefits in the most efficient way, throughout the six year planning cycle.
## Introduction
Through the development of this Dee FRMP, Natural Resources Wales and the Environment Agency have considered the aims and objectives of the National Flood and Coastal Erosion strategies for England and Wales. In order to take these strategies forward, this plan sets out a range of social, economic and environmental objectives that include wider benefits alongside the delivery of flood risk management outcomes - see the following sections. These have been informed by considering how the FRMP relates to other plans and wider policies and objectives. In particular, how the FRMP links to the River Basin Management Plans to contribute to a more integrated approach to water management planning, and also to the priorities of Natura 2000 sites that are the subject of recent Site Improvement Plans (Prioritised Improvement Plans in Wales).
The following sections provide more details of this. In delivering the programme of measures set out in the FRMP, the Environment Agency and Natural Resources Wales look for the potential in all measures to improve the local natural, built and historic environment, and so to achieve environmental benefits alongside economic and social gains. These include environmental improvements to meet obligations set out through the Water Framework Directive and Habitats and Birds Directives as well as other domestic commitments that link to flood and coastal erosion risk management. Such work to achieve FRMP measures will always seek to avoid, wherever possible, and minimise potential damage to habitats, including those protected by legislation, the ecological status of watercourses, heritage assets (designated and non-designated) and the character and appearance of the local landscape and townscape. The Environmental Report of the FRMP describes the likely environmental effects of the FRMP. It is also outlines high-level mitigation measures required to manage potential negative effects and highlights opportunities for delivering broader environmental benefits. Early engagement with key partners and stakeholders and other relevant interests will help to identify potential opportunities for delivering broader environmental benefits. This may include the following:
Central Government - including Environment Agency, Natural England, Natural Resources Wales, Historic England, Cadw, Sport England, Forestry Commission,
Marine Management Organisation
Local Government and Regulators - including Local Authorities (planning and regeneration, conservation, archaeology, ecology, landscape, public rights of way), Internal Drainage Boards, AONB conservation boards and National Park authorities
Industry and Business - including Local Enterprise Partnerships, navigation and renewable energy interests
Non-Government Organisations - including Local Wildlife Trusts, Catchment Partnerships, River Trusts, Local Wildlife Groups, Canals and River Trust, Woodland Trust
Water Industry - including water companies
Agriculture and Rural Land Management - including landowners, NFU
Recreation, Leisure and Amenity - including angling / fishing/ sport clubs/societies, local residents
Local communities - including parish and town councils and local community groups
In parallel to flood risk management planning, the Environment Agency and Natural Resources Wales work with others to improve the quality of the water environment through River Basin Management Planning. The Environment Agency and Natural Resources Wales aims to coordinate effectively between the FRMP and River Basin Management Plan so that all organisations can do more for the environment.
## Other Plans And Partnerships
Table 7 sets out the key themes from a review of the main other plans and strategies that the Dee FRMP would be expected to influence. The purpose of the review is to take account of the objectives of these key documents in the assessment with a view to aligning and ensuring compliance of the plan with other policies and legislation. The plan review can also help to identify where other planning processes and organisations may be able to work with the flood risk management planning process. The following summary of the plan review is based on the Environmental Report for the Dee FRMP.
| Common themes relevant to the FRMP |
|----------------------------------------------|
| |
| Category of |
| plan /strategy |
| |
| |
| |
| Protection, improvement, sustainable |
| Water and |
| flood risk |
| management |
| |
| management and use of the water |
| environment in terms of quantity and quality |
| - for the benefit of the human and natural |
| environment. |
| |
| |
| Flood risk management measures could |
| place pressure on water bodies and any |
| measure to be implemented would have to |
| be Water Framework Directive compliant. |
| |
| |
| The update to the Dee River Basin |
| Management Plan has been prepared in |
| parallel the FRMP. In support of integrated |
| planning, the SEA identifies where there is |
| the potential for the two plans to deliver |
| positive effects and areas where there may |
| be potential conflicts and require early |
| consideration to develop mutually beneficial |
| solutions. |
| |
| |
| Biodiversity |
| |
| |
| |
| Protection and enhancement of important |
| habitats and species, both from a statutory |
| basis (International and National |
| conservation designations and protected |
| species) and through policy. |
| |
| |
| Promotion of coherent ecological networks. |
| |
| |
| Promotion of working with natural processes |
| and sustainable development/management. |
| |
| |
| Tackling the issue of non-native invasive |
| species |
| |
| |
| Flood risk management measures could |
| place pressure on habitats and species, and |
| work against natural processes. |
| Landscape |
| |
| |
| |
| Protection of existing sensitive landscapes |
| (such as National Parks and AONBs) |
| |
| |
| Promotion of actions to improve water |
National flood and coastal erosion
risk management strategies for England and Wales
Water for people and the
environment: Water resources strategy for England and Wales
Water white paper: Water for life A Water Strategy for Wales Dee RBMP (draft update) Catchment flood risk management
plans
Shoreline management plans Fluvial River Dee FRMS Dee Estuary Flood Risk
Management Strategy
Surface water management plans Water resource management plans River Restoration Strategies Nutrient management plans
Natural environment white paper:
The natural choice: Securing the value of nature
Biodiversity 2020: A strategy for
England's wildlife and ecosystem
services
Wales Biodiversity Framework
Environment Strategy for Wales Coastal squeeze: Implications for
flood management. The requirements of The European Birds and Habitats Directives. Defra policy guidance.
The invasive and non-native species
framework strategy for Great Britain
Wales National Habitat Creation
Programme
Green infrastructure strategies Local biodiversity action plans
All Landscapes Matter AONB and National Park
management plans [Mendip Hills,
quality and water quantity, protect and enhance habitats, and restore the wider landscape character
Flood risk management measures could
place pressure on sensitive landscapes, and lead to changes in water quality, quantity and change in habitat type.
Climate
Long term aims for reduction of carbon
dioxide emissions including reference to binding targets, and wide-reaching policies across all sectors to deliver reductions.
Requirements to adapt to climate change
and associated threats, the need for increased resilience to climate change.
Likely increase in flooding and coastal
erosion due to climate change.
Sustainable economic growth within the
Marine and
Coastal
marine environment that balances benefits to society with the needs of local communities and protecting nature conservation.
Coastal flood risk management measures
can enable growth
Coastal flood risk management measures
would need to be in alignment with planning policies.
Sustainable development in relation to
Cultural
heritage
historic assets through conservation and enhancement.
The historic environment could be affected
by flood risk management measures e.g. through the construction of new flood risk management schemes, implementation of fish/eel passage on flood risk management assets, etc and as such any such measures would need to be appropriately assessed.
Promotion of sustainable waste and
Resource
management
resource management and the protection
and enhancement of the environment.
Planning
Promotion of sustainable growth Promotion of water-based recreation and
tourist opportunities
Flood risk management measures can
enable growth.
Flood risk management measures would
need to be in alignment with planning
policies.
Development activities could place pressure
on the water bodies and would need to be appropriately management and assessed to
ensure no detrimental effect to the water environment.
Protection, management and enhancement
Forestry and
Farming
of woods and forests to provide economic, social and environmental benefits e.g.
managing flood risk in a sustainable way,
and helping to reduce water pollution
Sustainable farming practices that deliver
environmental benefits e.g. biodiversity, landscape, cultural heritage, water quality
Cotswolds, Shropshire Hills, Malvern Hills, Wye Valley and Brecon Beacons]
Local landscape strategies Managing the environment in a
changing climate
Climate Change Strategy for Wales The national flood and coastal
erosion risk management strategies for England and Wales
UK Marine Policy Statement Wales Fisheries Strategy
The Government's Statement on the
Historic Environment for England
Valuing the Welsh Historic
Environment
Heritage at Risk Registers National Waste Strategy for Wales Metal Mines Strategy for Wales
Minerals and Waste Plans
National Planning Policy Framework Planning Policy Wales Local Development Plans/ Unitary
Development Plans
Government Forestry and
Woodlands Policy
Woodland Strategy for Wales Wales - A new Strategy for Farming
## Links With The Dee River Basin Management Plan
The main aims of the EU Water Framework Directive (WFD) are to return rivers and the water environment to a state, as free from human influence as possible. Aspects of this include reversing some of the ways in which water bodies have been physically modified in the past, improving water quality and bio-diversity and improving the quality of bathing waters. To achieve this, work by the Water Companies, farmers and business is regulated by the Environment Agency and Natural Resources Wales, complemented by a programme of works by the Environment Agency, Natural Resources Wales and others to remove some structures from rivers.
The Dee FRMP promotes a range of benefits that will contribute to the RBMP through renaturalisation, water quality improvements, bathing water improvements and natural flood management.
## 10. Wales Only Section
The following section considers the objectives and measures that are applicable to the Wales only side of the RBD (these will include objectives and measures that are applicable at a scale that is larger than a single catchment but not applicable across the border in the RBD. This also includes community specific measures that are within the Wales only section). Sustainable flood risk practice in Wales is increasingly focused on working with natural processes to create more flexible and adaptive solutions that provide increased resilience to our changing and uncertain climate. Natural Resources Wales actively seek opportunities to undertake natural flood management by using all appropriate tools available to us, such as the Woodland Creation maps. By working with natural processes to deliver flood risk management other benefits are provided such as restoring/maintaining soil drainage capacity, creating/restoring habitats, enhancing biodiversity, capturing carbon, reducing sedimentation and improving water quality. This approach has the potential to achieve greater value for money because it enables the development of multifunctional projects which provide a wide range of ecosystem services and benefits to society. Through the flood risk management planning and river basin management planning process Natural Resources Wales have determined where priority water bodies coincide with communities at risk to identify opportunities to deliver more holistic natural resource management through flood risk management projects and operations. Where a flooding problem is identified in Wales, the first step is to fully understand the cause to determine what management response might be appropriate. Natural Resources Wales aim to consider non-structural solutions first and implement these where it is possible to do so, such as flood warning and awareness raising so people and communities are able to plan and prepare for flooding. If the flood risk is at a level that without intervention will pose a serious threat to people and property, Natural Resources Wales, in consultation with the community and environmental experts, will consider solutions to reduce and manage the threat of flooding. It is through this process of assessing different risk management options that Natural Resources Wales will consider all the options that could reduce the risk of flooding, including how the river interacts with the natural flood plain and options to retain water, amongst all other solutions. Potential options are considered for their technical feasibility and cost amongst many other factors in order to select the preferred option. If an option is identified as having the potential to retain water close to the point where it has fallen, Natural Resources Wales will aim to work closely with land owners and managers, and communities to develop the solution that will not only slow the flow of water into the watercourse but also can create improved landscape and environment. The flood risk maps for the Welsh Dee area are shown in Figure 5 and Figure 6.
## Conclusions And Objectives For The Wales Section Of The Dee Conclusions
The majority of the Dee catchment is situated in Wales and includes Queensferry, Mold, Wrexham, Llangollen and Bala. The River Dee responds relatively slowly to rainfall, taking a few days to peak in the downstream reaches following rainfall events further up the catchment. The river Dee becomes tidally locked on spring tides and this tidal impact can be observed as far upstream as Holt. The highest risk areas in the Welsh part of the RBD are those communities situated along the tidally affected stretch of the River Dee, downstream of Chester. The primary flood risk here is from high tide levels; however a combination of high tides and a fluvial event can lead to high river levels in the transition zone. The communities considered to be at highest risk in this area are Garden City and Deeside, Connah's Quay and Shotton, Queensferry and Sandycroft, Sealand, Bretton and Lache. Further out in the estuary and on the coastal areas of the Dee RBD, communities including Flint, Bagillt, Walwen and Whelston, Greenfield, Ffynnongroyw, Talacre and Gronant are at highest risk. In the upper and middle catchments, the primary flood risk is from main rivers, with the highest risk areas being Bala, Ffrith, New Brougton, Cefn-Mawr, Bangor-is-y-coed and Mold.
## Objectives
The Welsh Government National Flood and Coastal Erosion Risk Management Strategy objectives set the framework for flood and coastal erosion risk management work within Wales as follows:
- Reducing the consequences for individuals, communities, businesses and the environment
from flooding and coastal erosion.
- Raising awareness of and engaging people in the response to flood and coastal erosion
risk.
- Providing an effective and sustained response to flood and coastal erosion events. - Prioritising investment in the most at risk communities.
Every flood risk management action undertaken in Wales has the National Flood and Coastal Erosion Risk Management strategy objectives as the overarching deliverable. Sitting under the National Strategy objectives, Natural Resources Wales has developed a set of eight objectives for this plan. The majority of these objectives were developed and agreed by the CFMP steering groups based upon understanding of flood risk and issues that are important now or in the future. Their suitability has been reviewed against the National Strategy and flood risk management plan requirements and is deemed to still sufficiently reflect the key objectives of flood risk management work in Wales. The sub-objectives were developed by considering the three main aspects of sustainable flood risk management:
1. Social: people and communities 2. Economic: potential cost and economic benefit 3. Environment: cultural heritage, landscape and habitat diversity.
The principles of sustainable flood risk management remain the key deliverables for the flood risk management work of Natural Resources Wales. Table 8 provides details on the eight FRMP sub-objectives and how they link to the Welsh Government National Flood and Coastal Erosion Risk Management Strategy and the aspects of sustainable flood risk management.
Government National
FRMP
Wales FRMP Objective
Objective
Number
Management Strategy
Reduce the risk of harm to life
from flooding to people and
1
communities from main rivers,
reservoirs and the sea.
Increase resilience of services,
assets and infrastructure to the
2
current and future risk of
flooding.
Improve understanding of
current and future flood risk so
3
that decisions are based upon
the best available information.
Improve community awareness
4
and resilience to current and
future flooding.
Work with others to provide an
5
effective and sustained
response to flood events.
Allocate funding and resources
6
for all sources of flooding on a
risk basis.
Incorporate the natural
resource management into the
7
delivery of flood risk
management.
Seek opportunities to deliver
RBMP measures through
8
Flood Risk Management
## Selecting Measures To Achieve Objectives
Any measure that Natural Resources Wales undertakes as part of this Flood Risk Management Plan will be for the purpose of meeting the sub-objectives set out above, and ultimately, those set out in the Welsh Government National Flood and Coastal Erosion Risk Management Strategy. The measures within this plan have been selected after:
- considering the source and severity of the risk; - what risk management processes are already in place; - how the risk might change in the future; and - what the options to address the risk are.
Principles of
sustainability
Link to Welsh
Flood and Coastal
Erosion Risk
People
Objectives
Economy
Environment
1, 3
Y
Y
1, 3
Y
Y
1, 3
Y
Y
Y
2
Y
Y
3
Y
Y
4
Y
Y
Y
1, 4
Y
Y
Y
1
Y
Y
Y
The most appropriate measure is selected after considering all of these factors along with the technical feasibility and the cost. The appropriate measure is then assessed against the plan objectives to ensure the proposed measure is in keeping with the preferred Welsh approach. The measures within the latter sections of this plan are linked to the relevant plan objectives so it is possible to see which measures will deliver which objectives.
There are a number of communities within the catchment where there is still more to be done to manage and reduce the risk of flooding. In the Welsh Dee area there are many ongoing, agreed and proposed measures to manage risk from 2015 to 2021. Figure 7 summarises these measures in the Wales part of the RBD. Some of these measures are described in the following sections and are detailed in Natural Resources Wales' delivery plan in Table 8.
##
## Measure Terminology
The following table introduces the terminology used to describe and categorise the measures within this Flood Risk Management Plans.
Priority score
Description
1
Critical - Needs attention - immediately
2
Very High - Needs attention - short term ( year 1)
3
High - Needs attention - medium term ( year 2 - 3)
4
Medium - Needs attention - medium term ( year 4 - 6)
5
Low - Good status - no intervention required for > 6 years
Description
Implementation status
Not started
Could mean that:
The technical and/or administrative procedures necessary for starting the construction or building works of a project have not started.
The advisory services are not yet operational and have not provided any advisory session yet.
The research, investigation or study has not started, i.e. contract has not been signed or there has not been any progress.
The administrative file has not been opened and there has not been any administrative action as regards the measure.
On-going
Could mean that:
The administrative procedures necessary for starting the construction or building works have started but are not finalised.
The advisory services are operational and are being used.
The research, investigation or study has been contracted or started and is being developed.
An administrative file has been opened and at least a first administrative action has been taken.
Complete
Could mean that:
The works have been finalised and the facilities are operational.
An advisory service that has been implemented and has been finalised,
The research, investigation or study has been finalised and has been delivered.
The administrative act has been concluded (e.g. the regulation has been adopted, etc.).
## Measures Across The Welsh Dee Area Across The Welsh Dee Area There Are 73 Measures To Manage Flood Risk Including; Preventing Risk: 12 Measures
- We propose to continue with our programme of reviewing and updating hydraulic models in
the future, to include communities such as Connah's Quay and Shotton, Gronant, Queensferry and Sandycroft.
- We are reviewing and updating hydrology in new and existing models to ensure we and our
partners are using the latest guidance and methodologies, for example at Greenfield, Mold, and Llong.
- We have built new hydraulic models to assess the current and future risk at specific
locations, for example Leeswood, Walwen and Wheston.
## Preparing For Risk: 39 Measures
- We propose to further improve our existing flood warning service, for example at Bretton,
Connah's Quay and Shotton, Bagillt, Ffynnongroyw, Flint, Garden City and Deeside, Gronant, Rossett and Burton, and Talacre.
- We are improving the flood forecasting model for the River Alyn which would improve
information and the provision of flood warnings to many communities along its reach.
- We are maintaining community plans for specific locations including; Bagillt, Bangor-is-ycoed, Ffynnongroyw, Garden City and Deeside, Queensferry and Sandycroft, Sealand and Talacre.
## Protecting From Risk: 22 Measures
- We propose to implement alternative risk reduction measures (such as individual property
protection at Cefn-Mawr and New Broughton.
- We are maintaining existing defences and carrying out regular inspections to check their
integrity at specific locations such as; Bagillt, Bala, Ffrith, Ffynnongroyw, Greenfield, Gronant, Lache, Mold, Sealand and Talacre.
- We have carried out structural assessments on existing structures to ensure they are fit for
purpose, for example at Garden City and Deeside.
## Recovery And Review Of Risk:
- We will undertake our actions in the Delivery Plan resulting from our Wales Coastal Flooding
Review into the winter 2013/14 coastal storms and flood events in Wales.
## Integrated Natural Resource Management
Integrated natural resource management is a key element of the Welsh Government's legislative programme. The Well Being and Future Generations Act, the Planning Act and the Environment Bill, together with the Wales National Marine Plan, set out a new statutory framework and process for the integrated management and sustainable use of natural resources in Wales. This new framework for managing natural resources, will build on the UN ecosystem approach, defined as 'an integrated strategy for the management of natural resources'. The Environment Bill, expected to receive Royal Assent by spring 2016 will legislate for a more joined-up management process, focused on delivering a healthier, more resilient Wales through economic, social and environmental benefits. This starts by introducing a new prioritisation process - to identify and characterise the key pressures on our natural resources and to explore the opportunities for the sustainable management of these resources within a defined geographical area. By recognising and better understanding the challenges faced, the tools used to safeguard and deliver environmental benefits (of which flood risk management plans are one) can be applied in a more integrated and joined-up way– better reflecting the needs of that place. An integrated approach to natural resource management is currently being trialled across Wales in three catchment areas, the Dyfi, Tawe and Rhondda. The natural resource management framework is still being developed in Wales but the flood risk management plans reflect the essential elements of the new approach in the following ways:
## Be Area Based.
The flood risk management plans are set at a variety of spatial scales. This enables the focus for managing flood risk to be delivered at the spatial scale most relevant for communities, stakeholders and level of flood risk.
## Involve Stakeholder Engagement Throughout.
It is essential that RMAs involve stakeholders, including local authorities, communities, developers and industry, throughout the process of drawing up and implementing the flood risk management plans. This will ensure RMAs are targeting our effort in the right places.
## Plan And Present At The Most Appropriate Scale.
The Floods Directive requires that RMAs produce and review management plans at the river basin scale. For some management actions, this scale is appropriate. For others, management actions are best considered at the catchment or community scale. RMAs plan our flood risk management work at the scale which is most appropriate to deliver most for communities and stakeholders.
## Plan For The Long Term.
To create a sustainable Wales Natural Resources Wales need to consider the opportunities and constraints Wales will face in the long term. Flood risk management plans consider both short term and long term objectives and measures for the management of flood risk are reviewed every six years.
## Plan To Deliver Multiple Benefits.
We need to ensure that future activities deliver multiple, long term benefits for the environment and for the economy and society in Wales. All decision making must therefore reflect the long-term well-being goals for Wales and be underpinned by the principles of sustainable management. Sustainable flood risk practice in Wales is increasingly focused on how working with natural processes can be used to create more flexible and adaptive solutions that provide increased resilience to a changing and uncertain climate.
## Be Evidence Based.
To develop this flood risk management plan the best available evidence from a range of sources has been used, building on both our knowledge and that of our stakeholders and local communities. Natural Resources Wales will continue to build and improve this evidence base.
## People Focussed.
The natural resource planning process will need to reflect the principles of co-production and stakeholder engagement. The overarching aim should deliver outcomes that are equitably distributed and focussed on delivering long term benefits for the people of Wales.
By working with others the aim is to:
Understand all the issues (not just flood risk) and how they interact; Understand how the issues are affecting the current local benefits and future
sustainability;
Involve local people, communities, organisations and businesses in making decisions that
affect their area by sharing evidence, knowledge and experience;
Identify which issues to tackle as a priority.
## Frm National Measures For Rbmp & Frmp
The Dee RBMP sets out National Measures proposed for delivery by Flood Risk Management in Wales. These measures are set out below and demonstrate Natural Resources Wales' commitment to integrated natural resource management through our activities.
1. Identify opportunities to improve the water environment through existing
programmes of work and scheme designs for Flood Risk Management.
Potential synergies and conflicts between RBMP measures and FRMP measures in specific communities at risk have been identified and will be incorporated into the Communities at Risk Register to identify where multiple benefits can be delivered through projects. Those actions that can be delivered within the next 6year planning window are documented in the delivery plans in Section 9.
2. NRW will seek opportunities and influence others to utilise natural flood risk
management measures where appropriate. FRM will work with the Area Natural
Resource Management teams in the development of the Area Based Statements to ensure flood risk is integral in the consideration of Natural Resource Management,
including identifying opportunities to deliver Natural Flood Risk Management. FRM will support the work of others to identify opportunities and implement measures to secure flood risk benefits as part of planned programmes of work/projects.
3. Implement managed realignment and intertidal habitat creation through the
National Habitat Creation Programme (NHCP). Continue with this programme of
work, delivering coastal compensation habitat to offset predicted losses brought about through coastal squeeze, as identified in the SMP2's.
4. In waterbodies designated as heavily modified due to flood and coastal
protection, mitigation for NRW owned assets and activities will be reviewed
and delivered on a prioritised basis.
5. Contribute to the achievement of the WFD objective and favourable
conservation status at priority Water Level Management sites. Continue
working with protected sites colleagues and land owners in the delivery of Water Level Management Plans.
## .
6. Contribute to research and development to identify best practice for
managing hydromorphological pressures in the water environment
##
Flood risk management is one of the top ten reasons a waterbody fails to meet the objective set under the WFD in Wales. This is why it is important to ensure that where action is needed to manage the risk of flooding, an option is selected that at least maintains the ecological status or potential of a water body, and also seeks opportunities for improvement.
##
## Table 9: Wales Only Measures
Note: Natural Resources Wales are the responsible authority for all measures in this table and all are planned to be delivered in the first FRMP cycle (2015 - 2021). This table provides a list of measures Natural Resources Wales intend to undertake within this catchment over the coming years, subject to resourcing, economic assessment and funding justification.
| Location | Source | Measure Name | Measure |
|-------------------------------------------------------------------------------|-------------------|-------------------------------------------------------|-------------------|
| Link to FRMP | | | |
| objective | | | |
| Improve existing flood warning service | M4 - Preparedness | 1, 2, 4 | |
| | | | |
| Very High | Ongoing | | |
| Bagillt | Sea | Maintain completed community flood plan | M4 - Preparedness |
| | | | |
| High | Ongoing | | |
| Maintain existing defences and inspection regime | M3 - Protection | 1, 2, 8 | |
| | | | |
| Very High | Ongoing | | |
| Bala | Main River | Develop scheme appraisal for flood alleviation scheme | M3 - Protection |
| | | | |
| High | Ongoing | | |
| Bangor-is-y-coed | Main River | | |
| Design and construction of flood alleviation scheme | M3 - Protection | 1, 2, 8 | |
| | | | |
| Very High | Ongoing | | |
| Maintain completed community flood plan | M4 - Preparedness | 1, 4, 5 | |
| | | | |
| Very High | Ongoing | | |
| Bradley | Main River | Improve existing flood forecasting model | M4 - Preparedness |
| | | | |
| Medium | Ongoing | | |
| Bretton | Main River / Sea | | |
| Undertake initial assessment and feasibility work for reducing flood risk | M3 - Protection | 1, 2, 8 | |
| | | | |
| Medium | Not Started | | |
| Improve existing flood warning service | M4 - Preparedness | 1, 2, 4 | |
| | | | |
| Medium | Not Started | | |
| Caergwrle | Main River | Improve existing flood forecasting model | M4 - Preparedness |
| | | | |
| Medium | Ongoing | | |
| Cefn-Mawr | Main River | Implement alternative risk reduction measures | M3 - Protection |
| | | | |
| Medium | Not Started | | |
| Cefn-y-bedd | Main River | Improve existing flood forecasting model | M4 - Preparedness |
| | | | |
| Medium | Ongoing | | |
| Build hydraulic model | M2 - Prevention | 1, 2, 3 | |
| | | | |
| High | Not Started | | |
| Derive hydrology | M2 - Prevention | 1, 2, 3 | |
| | | | |
| Very High | Not Started | | |
| Connah's Quay and Shotton | Main River / Sea | | |
| Improve existing flood warning service | M4 - Preparedness | 1, 2, 4 | |
| | | | |
| Medium | Not Started | | |
| Maintain existing defences and inspection regime | M3 - Protection | 1, 2, 8 | |
| | | | |
| Very High | Ongoing | | |
| Investigate feasibility for new flood warning service | M4 - Preparedness | 1, 2, 4 | |
| | | | |
| Medium | Not Started | | |
| Ffrith | Main River | Maintain existing defences and inspection regime | M3 - Protection |
| | | | |
| Medium | Ongoing | | |
| Undertake hydrometric surveys | M4 - Preparedness | 1, 2, 4 | |
| | | | |
| High | Not Started | | |
| Improve existing flood warning service | M4 - Preparedness | 1, 2, 4 | |
| | | | |
| High | Not Started | | |
| Ffynnongroyw | Sea | Maintain completed community flood plan | M4 - Preparedness |
| | | | |
| High | Ongoing | | |
| Maintain existing defences and inspection regime | M3 - Protection | 1, 2, 8 | |
| | | | |
| Very High | Ongoing | | |
| Improve existing flood warning service | M4 - Preparedness | 1, 2, 4 | |
| | | | |
| High | Not Started | | |
| Flint | Sea | Maintain completed community flood plan | M4 - Preparedness |
| | | | |
| Very High | Ongoing | | |
| Undertake initial assessment and feasibility work for reducing flood risk | M3 - Protection | 1, 2, 8 | |
| | | | |
| High | Not Started | | |
| Carry out structural assessment on existing structures to ensure they are fit | | | |
| for purpose | | | |
| M3 - Protection | 1, 2, 8 | | |
| | | | |
| Very High | Complete | | |
| Garden City and Deeside | Main River / Sea | | |
| Improve existing flood warning service | M4 - Preparedness | 1, 2, 4 | |
| | | | |
| Very High | Not Started | | |
| Maintain completed community flood plan | M4 - Preparedness | 1, 4, 5 | |
| | | | |
| Very High | Ongoing | | |
| Improve existing flood warning service | M4 - Preparedness | 1, 2, 4 | |
| | | | |
| Very High | Not Started | | |
| Raise flood awareness within the community | M4 - Preparedness | 1, 4, 5 | |
| | | | |
| High | Ongoing | | |
| Greenfield | Sea | | |
| Maintain existing defences and inspection regime | M3 - Protection | 1, 2, 8 | |
| | | | |
| Very High | Ongoing | | |
| Review or update hydraulic model | M2 - Prevention | 1, 2, 3 | |
| | | | |
| High | Ongoing | | |
| Gresford | Main River | Improve existing flood forecasting model | M4 - Preparedness |
| | | | |
| Medium | Ongoing | | |
| Build hydraulic model | M2 - Prevention | 1, 2, 3 | |
| | | | |
| High | Not Started | | |
| Gronant | Sea | Improve existing flood warning service | M4 - Preparedness |
| | | | |
| Medium | Not Started | | |
| Maintain existing defences and inspection regime | M3 - Protection | 1, 2, 8 | |
| | | | |
| Very High | Ongoing | | |
| Holt and Plas Devon | Main River | Improve existing flood forecasting model | M4 - Preparedness |
| | | | |
| Medium | Ongoing | | |
| Hope | Main River | Improve existing flood forecasting model | M4 - Preparedness |
| | | | |
| Medium | Ongoing | | |
| Lache | Main River / Sea | | |
| Improve existing flood warning service | M4 - Preparedness | 1, 2, 4 | |
| | | | |
| Very High | Not Started | | |
| Maintain existing defences and inspection regime | M3 - Protection | 1, 2, 8 | |
| | | | |
| Very High | Ongoing | | |
| Build hydraulic model | M2 - Prevention | 1, 2, 3 | |
| | | | |
| High | Completed | | |
| Leeswood | Main River | | |
| Improve existing flood forecasting model | M4 - Preparedness | 1, 2, 4 | |
| | | | |
| Medium | Ongoing | | |
| Review / update hydrology | M2 - Prevention | 1, 2, 3 | |
| Llong | Main River | | |
| Improve existing flood warning service | M4 - Preparedness | 1, 2, 4 | |
| | | | |
| Medium | Ongoing | | |
| Undertake hydrometric surveys | M4 - Preparedness | 1, 2, 4 | |
| | | | |
| High | Not Started | | |
| Maintain existing defences and inspection regime | M3 - Protection | 1, 2, 8 | |
| | | | |
| Very High | Ongoing | | |
| Mold | Main River | Review / update hydrology | M2 - Prevention |
| | | | |
| Very High | Ongoing | | |
| Undertake hydrometric surveys | M4 - Preparedness | 1, 2, 4 | |
| | | | |
| High | Not Started | | |
Priority
Measure Status
Priority
Measure Status
Location
Source
Measure Name
Measure
Link to FRMP objective
New Broughton
Main River
Implement alternative risk reduction measures
M3 - Protection
1, 2, 8
Medium
Not Started
New Broughton
Main River
Undertake hydrometric surveys
M4 - Preparedness
1, 2, 4
High
Not Started
Padeswood
Main River
Improve existing flood forecasting model
M4 - Preparedness
1, 2, 4
Medium
Ongoing
Pen-y-ffordd
Main River
Implement alternative risk reduction measures
M3 - Protection
1, 2, 8
Medium
Not Started
Carry out structural assessment on existing structures to ensure they are fit for purpose
M3 - Protection
1, 2, 8
High
Not Started
Improve existing flood warning service
M4 - Preparedness
1, 2, 4
Very High
Not Started
Maintain completed community flood plan
M4 - Preparedness
1, 4, 5
Very High
Ongoing
Queensferry and Sandycroft
Main River / Sea
Review / update hydrology
M2 - Prevention
1, 2, 3
Medium
Not Started
Review or update hydraulic model
M2 - Prevention
1, 2, 3
Medium
Not Started
Undertake hydrometric surveys
M4 - Preparedness
1, 2, 4
High
Not Started
Rossett and Burton
Main River
Improve existing flood forecasting model
M4 - Preparedness
1, 2, 4
Medium
Ongoing
Improve existing flood warning service
M4 - Preparedness
1, 2, 4
High
Not Started
Maintain completed community flood plan
M4 - Preparedness
1, 4, 5
Very High
Ongoing
Sealand
Main River / Sea
Maintain existing defences and inspection regime
M3 - Protection
1, 2, 8
Very High
Ongoing
Undertake hydrometry and telemetry improvements
M4 - Preparedness
1, 2, 4
Very High
Complete
Sealand Basin Wales
Main River / Sea
Improve existing flood warning service
M4 - Preparedness
1, 2, 4
High
Not Started
Maintain existing defences and inspection regime
M3 - Protection
1, 2, 8
Very High
Ongoing
Build hydraulic model
M2 - Prevention
1, 2, 3
Very High
Not Started
Improve existing flood warning service
M4 - Preparedness
1, 2, 4
High
Not Started
Talacre
Sea
Maintain completed community flood plan
M4 - Preparedness
1, 4, 5
Very High
Ongoing
Maintain existing defences and inspection regime
M3 - Protection
1, 2, 8
Very High
Ongoing
Build hydraulic model
M2 - Prevention
1, 2, 3
Medium
Complete
Walwen and Wheston
Sea
Review / update hydrology
M2 - Prevention
1, 2, 3
Medium
Complete
Undertake initial assessment and feasibility work for reducing flood risk
M3 - Protection
1, 2, 8
High
Not Started
Wrexham
Main River
Undertake initial assessment and feasibility work for reducing flood risk
M3 - Protection
1, 2, 8
Medium
Not Started
## 11. England Only Section
The following section considers the objectives and measures that are only applicable to the England only side of the RBD (these will include objectives and measures that are applicable at a scale that is larger than a single catchment but not applicable across the border in the RBD). The flood risk maps for the Welsh Dee area are shown in Figure 9 and Figure 10. The English Dee area covers 500km² of the River Dee catchment, including Chester, part of the Wirral, and tributaries east of the River Dee. The River Dee itself forms the entire western boundary of the English Dee area, and flows northwards through Chester to the Dee Estuary. The area covers the Dee catchment that falls within England, from Whitchurch in the south east, through Tattenhall and Chester, the Dee Estuary at Queensferry and the south western shoreline of the Wirral, including Heswall. The hydrological catchments in this area are the Dee Estuary, Lower Dee and Worthenbury. The River Dee is fed by a number of tributaries, including Shotwick Brook, Finchett's Gutter and Wych Brook. The total length of Main Rivers in the English Dee area is 265 km. River flows are influenced by regular high spring tide levels and extreme tide levels up as far as Farndon. In the lower Dee Catchment, altering arable farming practices on steeper sloping ground where appropriate could increase infiltration and water retention and hence reduce run-off rates. Wetlands outside the flood plain in the lower catchment could attenuate peak run-off rates. Conversely livestock farming can reduce infiltration and increase run-off through land trampling by cattle. Land drainage in the lower catchment can increase run-off rates.
## Partnership Working
The English Dee area is covered by 4 local authorities; Cheshire West and Chester Council, Wrexham Council, Flintshire Council and Shropshire Council. Welsh Water, United Utilities and Dee Valley Water are the water and sewerage providers in this catchment and they actively participate in partnership working to identify and address flood risk issues within the River Dee catchment. In addition to those partners mentioned The Environment Agency will also work closely with the Regional Flood and Coastal Committee, and Natural England.
Broader benefits and Natural Flood Management Natural flood management and 'slowing the flow' techniques such as restoration of peat moorland, woodland creation, wetlands and ponds, encourage greater infiltration of water into the ground and/or hold water back. This reduces peak flows in minor watercourses and across the surface of undeveloped land. The Environment Agency will work with many other organisations and within partnerships to consider the application of these methods and to develop a programme of them alongside more traditional solutions, such as building raised flood defences. Programmes will include the 6 year program of Environment Agency and Lead Local Flood Authority projects. This more natural approach can reduce sediment volumes entering rivers, filter out contaminants and enhance habitats. Natural flood management can be used as a stand-alone solution for protecting small clusters of property and providing a small measure of climate change resilience. It may be especially appropriate where small communities suffer frequent flooding - measures may be less effective in larger floods when they could be overwhelmed and when land may be more saturated, but even then they could reduce the peak flow slightly. In addition, natural flood management it could be combined with property level protection measures to isolated properties, or with raised defences in the case of larger communities at risk of flooding. Similar techniques may be applied in or on the fringe of urban areas where they may be referred to as green infrastructure, or sustainable drainage systems. Measures to satisfy Water Framework Directive objectives will be located upstream or along stretches of water with poor water quality or habitats. Locations where these coincide may require input from more stakeholders to work in collaboration, perhaps using funding from multiple sources. These are likely to provide greater benefit for a given investment and so have a high priority.
Sustainable Urban Drainage Systems (SuDS) include green roofs, ponds, swales, porous pavements and soakaways. When applied to developments they have an important role in delivering multiple benefits. SuDS attenuate and filter run-off to reduce flood risk and improve water quality. They also conserve and benefit biodiversity and help with climate change adaptation (eg. urban heat island effect). Consequently, in the context of planning for flood risk, the Environment Agency encourages Local Planning Authorities to adopt a Green Infrastructure approach and SuDS form a significant aspect of this. It should be planned and managed in a similar way to critical infrastructure, because it is a climate change adaptation response that will help build a community's overall resilience - reduced flood risk, increased shading, drought tolerance and protection of urban ecosystems. The following table summarises the WFD outcomes expected to be delivered through flood risk management programmes by the end of the cycle 2 of the RBMP by 2021:
| Type of FCERM programme actions | | No of |
|-------------------------------------|--------------------------------------------|--------------------------------|
| actions | | |
| Hectares of | | |
| water dependent | | |
| habitat created | | |
| or improved to | | |
| help meet the | | |
| objectives of | | |
| WFD | | |
| 3 | 4 | 0 |
| Improvement Plans of water | | |
| dependent sites designated under | | |
| the EU Habitats and Birds | | |
| Directives that will deliver a WFD | | |
| outcome. | | |
| 1 | 18 | 0 |
| remedies and threats to water | | |
| dependent sites designated under | | |
| the Wildlife & Countryside Act 1981 | | |
| (SSSIs) that will deliver a WFD | | |
| outcome. | | |
| 2 | 21 | 0 |
| requirements for consent of flood | | |
| works such as planning, EIA, HRA | | |
| etc. | | |
| 4 | No of eel barrier easements or removal = 4 | FCERM actions that deliver WFD |
| outcomes from works that | | |
| contribute to the Eel Regulations. | | |
| Total | 10 | 43 |
## Links To Dee Rbd Designated Site Plans (From .Gov Uk)
The FRMP aims to contribute to the specific plans of designated conservation sites and these are set out as proposed actions in specific plans and related to FCERM and the relevant Risk Management Authorities. These include actions in the Dee RBD Site Improvement Plans for the following European designated sites:
## Dee Rbd Natura 2000 Sites With Site Improvement Plans
Brown Moss Chew Valley Lake Fens Pool Lyppard Grange Ponds River Clun
River Wye Dee Estuary Mor Hafren
Walmore Common West Midlands Mosses
Wye Valley Woodlands/Coetiroedd Dyffryn Gwy
Hectares of intertidal habitat created to help meet the objectives of WFD for protected areas
Kilometres of rivers protected under EU Habitats/Birds Directive improved to help meet the objectives of WFD
These plans have been developed by Natural England, in conjunction with NRW for sites that cross the border such as the River Wye (SAC) and Dee Estuary SAC/SPA/Ramsar site. For every European site in Wales (apart from cross-border sites) NRW are leading on the development of Prioritised Improvement Plan (PIPs). These are currently subject to consultation and include the River Usk.
There is strong evidence that woodland measures can reduce flood flows, particularly but not only within smaller catchments. Trees help reduce flood risk in a number of ways:
greater water use by trees compared to other vegetation types reduces run-off and also creates greater capacity for woodland soils to absorb rainfall during flood events;
higher infiltration rates of forest soils resulting from the extensive rooting systems of trees reduces run-off to watercourses and aids interception of overland flow from adjacent land;
Floodplain and riparian woodland can slow down flood flows, increase temporary storage and thereby delay the transfer of flood water downstream;
soils under woodland are generally protected from erosion risk, reducing delivery of
sediment to watercourses.
Therefore, 'woodland measures' for flood risk reduction include both targeted woodland creation - in the right place and to the right design - and woodland management such as the installation of features such as large woody debris dams to reconnect watercourses with already wooded riparian zones and floodplains.
The 2011 'Woodland for Water' report detailed the evidence behind these conclusions. As a result opportunity mapping to be used to identify where in the country to target woodland measures to help reduce flood risk. Priority locations fall into three categories:
Floodplains - where hydraulic roughness from woodland cover slows the flow and encourages the deposition of sediment;
Riparian zones - to intercept overland flow, protect river banks from erosion, and help slow the flow of water;
Wider catchment planting - to protect sensitive soils from erosion, increase infiltration rates, and intercept sediment in run-off from adjacent land.
While opportunity maps can identify priority catchments where woodland creation and management can help reduce flood risk, it is important that woodland is located in the right part of the landscape and then designed and managed appropriately in order to maximise their contribution to reducing flood risk.
Development planning and control Risk management authorities (RMAs) work together to avoid inappropriate development of the floodplain. The National Planning Policy Framework (NPPF) sets out government policy on new developments, which must be applied by local planning authorities when making land use planning decisions. The Environment Agency is a statutory consultee for planning applications except for minor developments in areas at risk of flooding from rivers and the sea and large developments where flooding from rivers and the sea is very unlikely. RMAs work in partnership to advise developers on planning consultations in high risk areas. The final decision for development in the floodplain is made by the local planning authorities. Permitting decisions on development is an opportunity to integrate SuDS, Sustainable Urban Drainage Systems, that mimic the natural drainage of the land and reduce surface water run-off.
Maintenance In England the Environment Agency and other RMAs carry out maintenance work in line with government policy to provide the greatest benefits to people and property at risk of flooding within the available funding. Maintenance work to maintain channels, assets and structures is carried out under the Environment Agency's permissive powers to ensure that assets are fit for purpose. A
risk-based approach to assess the need and justification for works and investment is directed towards those activities that will contribute most to reducing flood risk per pound of funding. Maintenance activities are divided into four main areas:
operation (inspecting and operating assets);
conveyance (improving the flow of water in a channel);
structures (maintaining structures and assets);
Mechanical, Electrical, Instrumentation, Control and Automation (carrying out minor repairs and replacements to pumps and tidal barriers).
The Environment Agency extract a national picture of maintenance needs from System Asset Management Plans (SAMPs) these systems are ranked based on their cost/benefit ratio. The Environment Agency annual maintenance programme includes a range of activities that are prioritised and timetabled using information from asset inspections, maintenance standards, characteristics of the assets, levels of flood risk and from legal and statutory obligations.
Six year investment programme
In December 2014 the government set out a 6 year plan for investment in flood and coastal erosion risk management (2015/16 to 2020/21). The latest published figures show the current funding profile of each year. Each year RMAs are invited to submit details of proposed FCERM capital works to the Environment Agency. These proposals are combined with Environment Agency proposed schemes to form a programme of work. Investment in FCERM is prioritised according to government policy, and in line with the government's National FCERM Strategy and HM Treasury Green Book on economic appraisal. Government policy gives the highest priority to lives and homes and all FCERM projects should at least have a benefit cost ratio greater than 1:1. All FCERM schemes are prioritised against a consistent set of criteria applied to all risk management authorities (RMAs). This ensures a fair distribution of funding based on agreed priorities, principles and needs. Measures in FRMPs do not all have secured funding and are not guaranteed to be implemented. Money is allocated to all RMA measures in the same way and is based on current Government policy that gives the highest priority to lives and homes.
The published programme can be found here. Measures from the 6 year investment programme are included in the FRMP. In subsequent years the FRMP will inform which proposed FCRM capital works are submitted to the investment programme.
Long term investment scenarios
The Environment Agency's long-term investment scenarios study published in December 2014, presents a new analysis of the costs and risks of flood and coastal erosion risk management in England. The study sets out the link between national investment in flood and coastal erosion risk management, and the outcomes in terms of economic risk and numbers of properties at risk. The study found that the annual economic 'optimum' investment need over the next 10 years is broadly in line with current expenditure (about £750 million, including public and third party contributions). The study shows that over the next 50 years optimal investment in FCERM is expected to rise by 10-20% (in present day terms). A key finding of the study is that even if average annual investment is sustained at an optimal level there will still be significant numbers of properties at high and medium flood risk in 50 years time meaning new and innovative approaches will be needed. LTIS estimates that, by 2021, the six year programme could reduce overall flood risk by up to 5% on the assumption that planned capital, maintenance and incident management activities are maintained.
Coastal Erosion & Shoreline Management Plans
The Environment Agency has the coastal Strategic Overview in England. The coastal overview joins up coastal management activities to ensure flooding and erosion risk is managed effectively. The overview encourages authorities to work together in partnership to achieve effective management of coastal flooding and erosion risks.
Work to tackle coastal erosion is the responsibility of district or unitary councils. Local authorities have operational powers relating to managing coastal erosion under the Coast Protection Act 1949 and the Floods and Water Management Act 2010. Local Authorities lead on coastal risk management activities and undertake works on sea flooding and coastal erosion where they are best placed to do so. This is undertaken in collaboration with the Environment Agency.
Shoreline Management plans are non-statutory, high level planning documents. They are large scale assessments of the risk associated with coastal processes, and a policy framework to reduce these risks to people and the developed, historic and natural environment in a sustainable manner. They set the strategic direction for how the coast is wanted to be managed over the next 100 years. SMPs identify the most sustainable approaches to managing coastal erosion and flooding risks in the short, medium, and long term. During the development of Shoreline Management Plans, a range of partners and the public were extensively consulted and involved in the decision making processes. This FRMP also draws some coastal erosion information from the Shoreline Management Plan 2 (SMP2), however, the full Shoreline Management Plan has not been included in this FRMP. The SMP measures included in this FRMP are those that are most relevant for sea flooding and flood risk issues. You can access further information and the full SMPs here: https://www.gov.uk/government/publications/shoreline-management-plans-smps/shorelinemanagement-plans-smps. SMPs remain the primary high level strategic planning documents on the coast, as they also contain information on coastal erosion risk management, and their content can be updated or changed using an established auditable process. These changes will be reflected in the FRMPs as they are updated on a six-yearly cycle. These changes may be prompted by changes in the evidence base guiding management decisions in SMPs, including evidence emerging from experience of the ongoing implementation of RBMPs. In this way, the Programme of Measures in RBMPs, the action plan and information in the FRMP, and the 'living' SMP documents should successfully inform and read-across to each other. The Marine and Coastal Access Act 2009 established the Marine Management Organisation (MMO) to produce marine plans, administer marine licensing and manage marine fisheries in English waters. It introduced marine planning in the UK through production of a marine policy statement and more detailed marine plans setting spatial policy at a more local level. Eleven marine plans covering English waters are anticipated by 2021. Marine plans will inform and guide marine users and regulators across England, managing the sustainable development of marine industries such as wind farms and fishing, alongside the need to conserve and protect marine species and habitats. At its landward extent, a marine plan will apply up to mean high water, including estuaries and the tidal extent of rivers. All public bodies making authorisation or enforcement decisions capable of affecting the marine area must do so in accordance with the Marine Policy Statement (MPS) or marine plans (where they are in place) or state reasons for not doing so. Marine licensing, administered by the MMO is the main environmental and development control system below high water. Further information can be found on the MMO web pages on GOV.UK https://www.gov.uk/government/collections/marine-planning-in-england
## Conclusions And Objectives For The England Section Of The Dee Conclusions
This part of the Dee catchment covers a significant area; and includes Whitchurch, Farndon, Chester and Queensferry.
The River Dee at Chester responds slowly to heavy rainfall, taking up to 3 or 4 days to peak following a rainfall event. The river becomes tidally locked on spring tides and this tidal impact can be observed as far upstream as Farndon. The weir at Chester regularly drowns out and the flow is often reversed through the city because of the tidal influence. This weir acts as a flow control to allow recreational navigation upstream. The primary flood risk downstream of Chester is from high tide levels. A tidal surge with a high spring tide occurred in December 2013 and caused flooding along the Dee and Mersey estuaries. In Chester, the Groves were inundated and the canal basin at Dee Lock experienced high levels. There was flooding recorded to one business and one property along the River Dee. In Chester and further upstream, the combination of a fluvial event with high tides is a scenario that could lead to high river levels and potential flood risk to properties alongside the river. Fluvial flood risk in the catchment is limited to isolated rural properties. The interface with the Canal at Dee Lock is an area that the Environment Agency are working in partnership with Cheshire West and Chester and the Canal and River Trust to reduce the risk of flooding.
Just downstream of Farndon, there are a number of dwellings by the river's edge that would be inaccessible during a flood event as the surrounding area is floodplain. This can be a regular occurrence. In working with Cheshire West and Chester and the property owners, the Environment Agency now issue a flood warning to this area from which residents are able to take the appropriate action. Other flood warning areas have also been developed in Chester. Properties that flooded in December 2013 are benefitting from the Local Governments Repair and Renew Grant to improve flood resilience. Key flood defence assets within English Dee Catchment are the River Dee flood embankments in Chester, Sealand Main Drain Flood Basin at Clifton Drive, Chester and Finchetts Gutter outfalls and debris screens at Sealand Road, Chester. Critical infrastructure would include the Scottish Power Substation in Chester. Supporting Communities that Remain at Risk is an Environment Agency project to pre -plan for the use of temporary defences. This project is a great opportunity to have prepared plans and equipment for more communities to maximise the use of the extra time flood forecasting investment has bought us in helping to protect them. There is key environmental interest as the River Dee is designated as SSSI and SAC and therefore the Environment Agency have to implement mitigation measures to reduce habitat and ecological impacts. This will be in partnership with Natural England and Natural Resources Wales and a programme will be developed to look at this. Previously the Dee CFMP considered possible increases in flood levels, extent and risk if climate change were to increase flood flows by 20%. Climate projections since then suggest flood flows could increase by more than that but acknowledge significant uncertainty. No additional analysis is proposed at this stage; instead the preferred approach is to emphasise the uncertainty in climate change impacts. Planners, Emergency Planners, Asset Managers should consider what should be reasonably done to address realistic worse case scenarios. The CFMP, written in 2008/09, sets out how flood risk can be managed sustainably within the catchment. The FRMP summarises some of that information but in no way changes the approach developed in the CFMP, which was the subject of substantial consultation.
## Objectives
The objectives in the Dee Flood Risk Management Plan are aligned with the second cycle River Basin Management Plan. They state the main ways in which work is directed to make a difference and reduce flood risk. They cover people, the economy and the environment. The objectives are split into the 3 categories to help demonstrate the balance of objectives across the plans but the categories aren't assigned a weighting in the FRMP. Objectives are used to plan and prioritise investment programmes to target investment in the most at risk communities. Prioritisation is then done at an England wide level and takes into account the risk but also considers other factors such as; cost benefits, the level of investment to date and other aspects such as the potential for external funding opportunities.
## Social
1. Minimise impact to people and property and to critical infrastructure and services from
rivers, the sea, surface water, groundwater, reservoirs & sewers
2. The water environment shall be enjoyed by people and provide opportunities for
recreational amenity
3. Promote the consideration of environmental benefits to people (ecosystem services) as
part of work to manage flood risk
## Economic
4. Minimise flood risk impact to the local economy so that business is resilient and sustainable
growth is supported
## Environmental
5. Promote an integrated approach to water management 6. Work with river, estuarine and coastal processes to conserve and enhance natural hydromorphology (sediment movement and physical features ) and water quality
7. Promote natural flood risk management and protection of soils 8. Deliver a clean and safe water environment with benefits for the wider environment. The
water environment will have diverse flora and fauna which benefits from natural flood management techniques, 'green infrastructure' and improved ecological connectivity
9. Support climate change adaptation by making space for water, both inland and at the coast
10. Conserve built and natural heritage wherever possible
## Measures Across The English Dee Area
Across the English Dee area there are 21 measures to manage flood risk. Measures in FRMPs do not all have secured funding and are not guaranteed to be implemented. Money is allocated to all RMA measures in the same way and is based on current Government policy that gives the highest priority to lives and homes.
Preventing risk: there are no measures proposed over and above existing flood risk work.
## Preparing For Risk:
- Produce local community flood plans covering key communities including; Tattenhall,
Whitchurch, Farndon, Aldford, Neston, West Kirby and Heswall (7 measures at different locations).
- Support Cheshire Constabulary in Developing Multi-Agency Flood Plans for Cheshire
County.
- Improve existing Flood Awareness Plans to encourage more people to sign up to and
respond to flood warnings as well as using self-help methods to protect themselves and their properties.
- Encourage and support our partners to produce local long term plans to manage all sources
of flooding at Chester.
- Produce local community flood plans covering key communities including Malpas,
Shocklach, Almere, Eccleston and Lower Kinnerton (5 measures at different locations).
## Protecting From Risk:
- Encourage the owners and operators of storm water pumping stations and associated
infrastructure to undertake an assessment of their current and future risks to determine their resilience to flooding. Develop a flood resilience and adaptation plan as appropriate.
-
Identify where working with natural processes/natural flood management can help to reduce flood and coastal erosion risk and help catchments both adapt and become more resilient to the impacts of Climate Change
- Dee Lock Flood Risk Management scheme - Inform the owners/operators of the storm water pumping stations and associated
infrastructure of their flood risks now and in the future.
- Incorporate Climate Change allowances into flood risk management works
- Identify where working with natural processes/natural flood management can help to reduce flood
and coastal erosion risk and help catchments both adapt and become more resilient to the
impacts of Climate Change
Recovery and review of risk: there are no measures proposed over and above existing flood risk work.
| Measure Details | Source of flood risk or coastal erosion | Category | Measure |
|---------------------------------------|--------------------------------------------|----------------------------------|------------|
| ID | | | |
| Place | Measure | | |
| Name | | | |
| | | | |
| | | | |
| (main river) | | | |
| watercourses) | | | |
| Coastal erosion | | | |
| Flooding from rivers | | | |
| Flooding from Rivers | Flooding from Rivers | | |
| Flooding from the Sea | | | |
| Surface water flooding | | | |
| (ordinary watercourses) | | | |
| (main river plus ordinary | | | |
| Flooding from reservoirs | | | |
| N | N | Y | N |
| Preparedness | | | |
| ACT5831 Whitchurch | DEE03.013A | Produce local community flood | |
| plans covering key communities | | | |
| including Whitchurch. These | | | |
| local plans will be based on an | | | |
| understanding of the current and | | | |
| future risks of flooding, both | | | |
| probability and consequence. | | | |
| The local plans will identify all the | | | |
| potential action that could be | | | |
| undertaken to manage the local | | | |
| risks. They will identify what | | | |
| actions are currently undertaken | | | |
| and will identify the gaps where | | | |
| more could be done. They will | | | |
| identify what additional actions | | | |
| are proposed. | | | |
| ACT5852 Malpas | DEE03.013C Produce local community flood | N | N |
| Preparedness | plans covering key communities | | |
| including Malpas. | | | |
| N | N | Y | N |
| Preparedness | | | |
| ACT5853 Tattenhall | DEE03.013B | Produce local community flood | |
| plans covering key communities | | | |
| including Tattenhall. | | | |
| N | N | Y | N |
| Preparedness | | | |
| ACT5854 Middle Dee | DEE03.014 | Support Cheshire Constabulary in | |
| Developing Multi-Agency Flood | | | |
| Plan for Cheshire County | | | |
of
Category of
Measures
Timing
Priority
Measure
Owner
Plan
Type
objective
Statutory
or
voluntary measure
Critical,
Action owner
Statutory
Source
Very High,
(bold), plan
or
plan
High,
owner and
voluntary
measure
Prevention, protection, preparedness etc
Moderate,
support
originates
Low
organisations
from
Sewer flooding
FRMP Planning Cycles e.g. 2015 - 2021;
2021 - 2027 etc
Groundwater flooding
Social
Environment
Economic
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency | Environment Agency
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency |
Environment Agency
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency | Environment
Agency
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency | Environment Agency
| Measure Details | Source of flood risk or coastal erosion | Category | Measure |
|-------------------------------------|--------------------------------------------|-------------------------------|------------|
| ID | | | |
| Place | Measure | | |
| Name | | | |
| | | | |
| | | | |
| (main river) | | | |
| watercourses) | | | |
| Coastal erosion | | | |
| Flooding from rivers | | | |
| Flooding from Rivers | Flooding from Rivers | | |
| Flooding from the Sea | | | |
| Surface water flooding | | | |
| (ordinary watercourses) | | | |
| (main river plus ordinary | | | |
| Flooding from reservoirs | | | |
| N | N | Y | N |
| Preparedness | | | |
| ACT5855 Shocklach | DEE05.012A | Produce local community flood | |
| plans for Shocklach. These local | | | |
| plans will be based on an | | | |
| understanding of the current and | | | |
| future risks of flooding, both | | | |
| probability and consequence. | | | |
| These local plans will identify all | | | |
| the potential action that could be | | | |
| undertaken to manage the local | | | |
| risks. They will identify what | | | |
| actions are currently undertaken | | | |
| and will identify the gaps where | | | |
| more could be done. They will | | | |
| identify what additional actions | | | |
| are proposed. | | | |
| N | N | Y | N |
| Preparedness | | | |
| ACT5856 Farndon | DEE05.012B | Produce local community flood | |
| plans for Farndon. These local | | | |
| plans will be based on an | | | |
| understanding of the current and | | | |
| future risks of flooding, both | | | |
| probability and consequence. | | | |
| These local plans will identify all | | | |
| the potential action that could be | | | |
| undertaken to manage the local | | | |
| risks. They will identify what | | | |
| actions are currently undertaken | | | |
| and will identify the gaps where | | | |
| more could be done. They will | | | |
| identify what additional actions | | | |
| are proposed. | | | |
| ACT5857 Almere | DEE05.012C Produce local community flood | N | N |
| Preparedness | plans for Almere. These local | | |
| plans will be based on an | | | |
| understanding of the current and | | | |
| future risks of flooding, both | | | |
| probability and consequence. | | | |
| These local plans will identify all | | | |
| the potential action that could be | | | |
| undertaken to manage the local | | | |
| risks. They will identify what | | | |
| actions are currently undertaken | | | |
| and will identify the gaps where | | | |
| more could be done. They will | | | |
| identify what additional actions | | | |
| are proposed. | | | |
of
Category of Measures
Timing
Priority
Measure Owner
Plan Type
objective
Statutory or voluntary measure
Critical,
Action owner
Statutory
Source
Very High,
(bold), plan
or
plan
High,
owner and
voluntary
measure
Prevention,
protection, preparedness etc
Moderate,
support
originates
Low
organisations
from
Sewer flooding
FRMP
Planning Cycles e.g. 2015 - 2021; 2021 - 2027 etc
Groundwater flooding
Social
Environment
Economic
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency |
Environment Agency
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency | Environment Agency
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency | Environment Agency
| Measure Details | Source of flood risk or coastal erosion | Category | Measure |
|-------------------------------------|--------------------------------------------|-------------------------------|------------|
| ID | | | |
| Place | Measure | | |
| Name | | | |
| | | | |
| | | | |
| (main river) | | | |
| watercourses) | | | |
| Coastal erosion | | | |
| Flooding from rivers | | | |
| Flooding from Rivers | Flooding from Rivers | | |
| Flooding from the Sea | | | |
| Surface water flooding | | | |
| (ordinary watercourses) | | | |
| (main river plus ordinary | | | |
| Flooding from reservoirs | | | |
| ACT5858 Aldford | DEE05.012D Produce local community flood | N | N |
| Preparedness | plans for Aldford. These local | | |
| plans will be based on an | | | |
| understanding of the current and | | | |
| future risks of flooding, both | | | |
| probability and consequence. | | | |
| These local plans will identify all | | | |
| the potential action that could be | | | |
| undertaken to manage the local | | | |
| risks. They will identify what | | | |
| actions are currently undertaken | | | |
| and will identify the gaps where | | | |
| more could be done. They will | | | |
| identify what additional actions | | | |
| are proposed. | | | |
| N | N | Y | N |
| Preparedness | | | |
| ACT5859 Eccleston | DEE05.012E | Produce local community flood | |
| plans for Eccleston. These local | | | |
| plans will be based on an | | | |
| understanding of the current and | | | |
| future risks of flooding, both | | | |
| probability and consequence. | | | |
| These local plans will identify all | | | |
| the potential action that could be | | | |
| undertaken to manage the local | | | |
| risks. They will identify what | | | |
| actions are currently undertaken | | | |
| and will identify the gaps where | | | |
| more could be done. They will | | | |
| identify what additional actions | | | |
| are proposed. | | | |
| ACT5860 Lower | | | |
| Kinnerton | | | |
| N | N | Y | N |
| Preparedness | | | |
| DEE05.012F | Produce local community flood | | |
| plans for Lower Kinnerton. These | | | |
| local plans will be based on an | | | |
| understanding of the current and | | | |
| future risks of flooding, both | | | |
| probability and consequence. | | | |
| These local plans will identify all | | | |
| the potential action that could be | | | |
| undertaken to manage the local | | | |
| risks. They will identify what | | | |
| actions are currently undertaken | | | |
| and will identify the gaps where | | | |
| more could be done. They will | | | |
| identify what additional actions | | | |
| are proposed. | | | |
of
Category of Measures
Timing
Priority
Measure Owner
Plan Type
objective
Statutory or voluntary measure
Critical,
Action owner
Statutory
Source
Very High,
(bold), plan
or
plan
High,
owner and
voluntary
measure
Prevention,
protection, preparedness etc
Moderate,
support
originates
Low
organisations
from
Sewer flooding
FRMP
Planning Cycles e.g. 2015 - 2021; 2021 - 2027 etc
Groundwater flooding
Social
Environment
Economic
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency |
Environment Agency
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency | Environment Agency
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency | Environment Agency
| Measure Details | Source of flood risk or coastal erosion | Category | Measure |
|----------------------------------------|--------------------------------------------|----------------------------------|------------|
| ID | | | |
| Place | Measure | | |
| Name | | | |
| | | | |
| | | | |
| (main river) | | | |
| watercourses) | | | |
| Coastal erosion | | | |
| Flooding from rivers | | | |
| Flooding from Rivers | Flooding from Rivers | | |
| Flooding from the Sea | | | |
| Surface water flooding | | | |
| (ordinary watercourses) | | | |
| (main river plus ordinary | | | |
| Flooding from reservoirs | | | |
| N | N | Y | N |
| Preparedness | | | |
| ACT5861 Lower Dee | DEE05.013 | Support Cheshire Constabulary in | |
| Developing Multi-Agency Flood | | | |
| Plan for Cheshire County | | | |
| N | N | Y | N |
| Preparedness | | | |
| ACT5862 Neston | DEE06.014A | produce local community flood | |
| plans for all the communities in | | | |
| the estuary area including | | | |
| Neston. These local plans will be | | | |
| based on an understanding of the | | | |
| current and future risks of | | | |
| flooding, both probability and | | | |
| consequence. The local plans | | | |
| will identify all the potential action | | | |
| that could be undertaken to | | | |
| manage the local risks. They will | | | |
| identify what actions are currently | | | |
| undertaken and will identify the | | | |
| gaps where more could be done. | | | |
| They will identify what additional | | | |
| actions are proposed. | | | |
| N | N | Y | N |
| Preparedness | | | |
| ACT5863 West Kirby | DEE06.014B | Produce local community flood | |
| plans for all the communities in | | | |
| the estuary area including West | | | |
| Kirby. These local plans will be | | | |
| based on an understanding of the | | | |
| current and future risks of | | | |
| flooding, both probability and | | | |
| consequence. The local plans will | | | |
| identify all the potential action | | | |
| that could be undertaken to | | | |
| manage the local risks. They will | | | |
| identify what actions are currently | | | |
| undertaken and will identify the | | | |
| gaps where more could be done. | | | |
| They will identify what additional | | | |
| actions are proposed. | | | |
of
Category of Measures
Timing
Priority
Measure Owner
Plan Type
objective
Statutory or voluntary measure
Critical,
Action owner
Statutory
Source
Very High,
(bold), plan
or
plan
High,
owner and
voluntary
measure
Prevention,
protection, preparedness etc
Moderate,
support
originates
Low
organisations
from
Sewer flooding
FRMP
Planning Cycles e.g. 2015 - 2021; 2021 - 2027 etc
Groundwater flooding
Social
Environment
Economic
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency |
Environment Agency
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency | Environment Agency
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency |
Environment Agency
| Measure Details | Source of flood risk or coastal erosion | Category | Measure |
|----------------------------------------|--------------------------------------------|--------------------------------|------------|
| ID | | | |
| Place | Measure | | |
| Name | | | |
| | | | |
| | | | |
| (main river) | | | |
| watercourses) | | | |
| Coastal erosion | | | |
| Flooding from rivers | | | |
| Flooding from Rivers | Flooding from Rivers | | |
| Flooding from the Sea | | | |
| Surface water flooding | | | |
| (ordinary watercourses) | | | |
| (main river plus ordinary | | | |
| Flooding from reservoirs | | | |
| ACT5864 Heswall | DEE06.014C Produce local community flood | N | N |
| Preparedness | plans for all the communities in | | |
| the estuary area including | | | |
| Heswall. These local plans will | | | |
| be based on an understanding of | | | |
| the current and future risks of | | | |
| flooding, both probability and | | | |
| consequence. The local plans | | | |
| will identify all the potential action | | | |
| that could be undertaken to | | | |
| manage the local risks. They will | | | |
| identify what actions are currently | | | |
| undertaken and will identify the | | | |
| gaps where more could be done. | | | |
| They will identify what additional | | | |
| actions are proposed. | | | |
| N | N | Y | N |
| Protection | | | |
| ACT5865 Chester | DEE07.002 | Inform the owners/operators of | |
| the stormwater pumping stations | | | |
| and associated infrastructure of | | | |
| their flood risks now and in the | | | |
| future. | | | |
| N | N | Y | N |
| Protection | | | |
| ACT5866 Chester | DEE07.003 | Encourage the owners and | |
| operators of stormwater pumping | | | |
| stations and associated | | | |
| infrastructure to undertake an | | | |
| assessment of their current and | | | |
| future risks to determine their | | | |
| resilience to flooding. Develop a | | | |
| flood resilience and adaptation | | | |
| plan as appropriate. | | | |
| N | N | Y | N |
| Preparedness | | | |
| ACT5867 Chester | DEE07.012 | Improve existing Flood | |
| Awareness Plans to encourage | | | |
| more people to sign up to and | | | |
| respond to flood warnings as well | | | |
| as using self help methods to | | | |
| protect themselves and their | | | |
| properties. | | | |
of
Category of Measures
Timing
Priority
Measure Owner
Plan Type
objective
Statutory or voluntary measure
Critical,
Action owner
Statutory
Source
Very High,
(bold), plan
or
plan
High,
owner and
voluntary
measure
Prevention,
protection, preparedness etc
Moderate,
support
originates
Low
organisations
from
Sewer flooding
FRMP
Planning Cycles e.g. 2015 - 2021; 2021 - 2027 etc
Groundwater flooding
Social
Environment
Economic
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency |
Environment Agency
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency | Environment Agency
FRMP
2015 -
2021
Statutory
FRMP
Moderate
Environment
Agency | Environment Agency
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency | Environment Agency
| Measure Details | Source of flood risk or coastal erosion | Category | Measure |
|-------------------------------------|--------------------------------------------|---------------------------|------------|
| ID | | | |
| Place | Measure | | |
| Name | | | |
| | | | |
| | | | |
| (main river) | | | |
| watercourses) | | | |
| Coastal erosion | | | |
| Flooding from rivers | | | |
| Flooding from Rivers | Flooding from Rivers | | |
| Flooding from the Sea | | | |
| Surface water flooding | | | |
| (ordinary watercourses) | | | |
| (main river plus ordinary | | | |
| Flooding from reservoirs | | | |
| N | N | Y | N |
| Preparedness | | | |
| ACT5868 Chester | DEE07.014 | Encourage and support our | |
| partners to produce local long | | | |
| term plans to manage all sources | | | |
| of flooding at Chester. These | | | |
| plans should include an | | | |
| assessment of the consequences | | | |
| of flooding, including from | | | |
| overtopping of defences, and | | | |
| actions to manage these. They | | | |
| should consider future options | | | |
| and investment needs for | | | |
| defences, emergency planning | | | |
| and response, and development | | | |
| control issues to avoid | | | |
| inappropriate development in | | | |
| high risk areas. | | | |
| ACT6057 Dee Locks, | | | |
| Chester | | | |
| N | N | N | N |
| Protection | | | |
| DEE07.015 | Dee Locks Flood risk | | |
| Management scheme - Improve | | | |
| the stanbdard of protection for | | | |
| Dee Locks gates to bring it in line | | | |
| with the adjacent flood | | | |
| embankments along the lower | | | |
| Dee. | | | |
| ACT7020 NW and | N | N | N |
| Protection | Dee RBD | | |
| wide | | | |
| NWRBD.001 | Incorporate Climate Change | | |
| allowances into flood risk | | | |
| management works | | | |
| ACT7022 NW and | N | N | N |
| Protection | Dee RBD | | |
| wide | | | |
| NWRBD.002 | Identify where working with | | |
| natural processes/natural flood | | | |
| management can help to reduce | | | |
| flood and coastal erosion risk and | | | |
| help catchments both adapt and | | | |
| become more resilient to the | | | |
| impacts of Climate Change | | | |
of
Category of Measures
Timing
Priority
Measure Owner
Plan Type
objective
Statutory or voluntary measure
Critical,
Action owner
Statutory
Source
Very High,
(bold), plan
or
plan
High,
owner and
voluntary
measure
Prevention,
protection, preparedness etc
Moderate,
support
originates
Low
organisations
from
Sewer flooding
FRMP
Planning Cycles e.g. 2015 - 2021; 2021 - 2027 etc
Groundwater flooding
Social
Environment
Economic
FRMP
2015 - 2021
Statutory FRMP
Moderate
Environment Agency |
Environment Agency
FRMP
2015 - 2021
Statutory FRMP
High
Environment Agency | Environment Agency
FRMP
2015 - 2021
Non statutory FRMP
Moderate
Environment Agency | Environment Agency | LLFAs
FRMP
2015 - 2021
Non statutory FRMP
Moderate
Environment Agency | Environment Agency
## 12. Implementing The Plan
This draft FRMP sets out ongoing, agreed and proposed measures to manage flood risk. Implementing the measures set out in the final FRMP will be through a number of established mechanisms, as set out in the National FCERM Strategies for England and Wales.
The Catchment based approach in England The catchment based approach encourages local engagement and participation in decisionmaking. As the Environment Agency finalise and implement this plan we will seek to engage further with relevant catchment partnerships in order to deliver flood risk management outcomes and broader benefits.
Natural Resource Management in Wales Natural Resources Wales is developing its implementation of the ecosystem approach and Area-
Based Natural Resource Management (NRM). The current area of focus is on designing and embedding the ecosystem approach. This has begun with three trial areas which will help to shape future delivery of natural resource management, including flood risk management in Wales.
Monitoring delivery of actions It is a requirement of the Flood Risk Regulations that this Flood Risk Management Plan must be reviewed, and if necessary updated, every 6 years. The Environment Agency and Natural Resources Wales will undertake and publish the review, and will prepare an updated Flood Risk Management Plan if required. In the interim years, RMAs will review the measures within the FRMP on an annual basis. The progress of delivery of each measure will be assessed and updated. There will be no published update from each annual review so for the most up to date information on what actions are happening in your area, please contact us.
## We May Also Need To Add Actions In Response To Flooding That Might Be Experienced During The Six Year Cycle Of This Frmp. If This Is The Case, Measures Will Be Added And Monitored Without An Update To This Report On An Ad-Hoc Basis. Annex 1 - Sources Of Information For The Draft Frmp
| Strategy |
|--------------------------|
| of plan or strategy |
| Catchment Flood |
| Management Plans |
| (CFMPs) |
| Current and future |
| inland flood risk |
| management across |
| all catchments. |
| These plans set out |
| preferred policies for |
| managing river |
| flooding in England |
| and Wales. |
| Shoreline |
| Management Plans |
| (SMPs) |
| Current and future |
| coastal flood and |
| coastal erosion risk |
| management. |
| These plans set out |
| preferred policies for |
| managing the |
| coastline of England |
| and Wales. |
| River, estuary and |
| coastal strategies |
| Outline investment |
| proposals for flood |
| and coastal erosion |
| risk management. |
| Prepared to support |
| an investment |
| proposal for funding. |
| Reservoir Flood |
| plans |
| These include on-site |
| and off-site flood plans |
| that set out |
| procedures for the |
| management of flood |
| risk in the event of an |
| emergency. |
| On-site plans deal with |
| the management of |
| the on-site risk and |
| off-site plans deal with |
| the risk in areas |
| adjacent to the |
| System Asset |
| Management Plans |
| Plans that set out the |
| maintenance regime |
| for asset systems. |
| Drivers | Lead authority |
|-----------------------|----------------------|
| Voluntary plans. | |
| Published in 2009-10. | |
| Natural Resources | |
| Wales and the | |
| Environment Agency | |
| Voluntary plans. | Coastal Groups |
| (comprising NRW, EA, | |
| LLFAs and others) | |
| Second round of | |
| SMPs published in | |
| 2010-13. | |
| Voluntary plans. | Risk Management |
| Authorities | |
| Voluntary plans. | On-site Flood Plans |
| are developed by the | |
| owners of the | |
| reservoir. | |
| Off-site Flood Plans | |
| are developed by the | |
| Local Resilience | |
| Forums. | |
| Voluntary plans. | Owners and operators |
| of assets. | |
## Annex 2 - Cfmp And Smp Policies Catchment Flood Management Plans (Cfmps)
The CFMPs published by the Environment Agency in 2009 set out the preferred policy approach to managing flood risk from the main rivers in England and Wales through broad areas known as policy units. The policy units and associated policies within the CFMPs were determined by considering the extent, nature and scale of current and future flood risk across the whole catchment in order to show the broad area where the policy decision should be applied. The six pre-defined policies that were adopted are illustrated in Figure 11 and can be described as:
- Policy 1 - no active intervention (including flood warning and maintenance). Continue to
monitor and advise.
- Policy 2 - Reduce existing flood risk management actions (accepting that flood risk will
increase over time).
- Policy 3 - Continue with existing or alternative actions to manage flood risk at the current
level.
- Policy 4 - Take further action to sustain the current level of flood risk into the future
(responding to the potential increases in risk from urban development, land use change and climate change).
- Policy 5 - Take further action to reduce flood risk. - Policy 6 - Take action with others to store water or manage run-off in locations that provide
overall flood risk reduction or environmental benefits, locally or elsewhere in the catchment.
It is important to note at this point that these are the current strategic policies for undertaking flood risk management work and will be adopted by this plan. Future review will be included within the overall Flood Risk Regulations cycle of delivery if deemed necessary. The action plans contained in the CFMPs are now largely complete. Where actions are outstanding and yet to be delivered, they have been brought forward into this FRMP. This Plan now contains all the actions applicable to main river flood risk and supersedes those in the CFMP.
## Shoreline Management Plans (Smps)
In addition to CFMPs, SMPs were produced in partnership by Coastal Groups to set the strategic direction for the management of the coast for the next 100 years. SMPs are non-statutory policy documents for coastal defence management planning. They provide a large-scale assessment of the risks associated with coastal evolution and present a policy framework to address these risks to people and the developed, historic and natural environment in a sustainable manner. The first edition SMPs were created in the late 1990s. The second edition plans (SMP2s) were produced by consultants for Coastal Groups from 2005 onwards. There is one shoreline management plan, the North West England and North Wales Shoreline Management Plan, which falls within the Dee RBD. SMP2s address a 100 year timeframe across 3 epochs being Epoch 1 (short-term) = years 0 to 20, Epoch 2 (medium term) = years 20 to 50 and Epoch 3 (long term) = 50 to 100 for proposed management of the coastline. One of four policies can be applied per Epoch to each coastal management unit (i.e. defined length of coastline) and these policies are:
- No Active Intervention (NAI): where there is no planned investment in coastal defences or
operations, regardless of whether or not an artificial defence has existed previously.
- Hold the Line (HTL): an aspiration to build or maintain artificial defences so that the current
position of the shoreline remains.
- Managed Realignment (MR): by allowing the shoreline to move backwards or forwards
naturally, but managing the process to direct it in certain areas.
- Advance the Line (ATL): by building new defences on the seaward side of the original
defences.
As the SMP2s were recently completed, they will remain as plans in their own right and where applicable and appropriate, certain sea flooding actions have been brought forward into this Flood Risk Management Plan.
## Would You Like To Find Out More About Us Or About Your Environment? Environment Agency
Call us on: 03708 506 506 (Monday - Friday, 8am - 6pm)
Email: [email protected] Or visit our website: www.gov.uk/environment-agency Incident hotline: 0800 807 060 (24 hours) Floodline: 0345 988 1188 / 0845 988 1188 (24 hours)
Natural Resources Wales Call us on: 0800 065 3000 (Monday - Friday, 8am - 6pm)
Email: [email protected] Or visit our website: www.naturalresourceswales.gov.uk Incident hotline: 0800 807 060 (24 hours) Floodline: 0345 988 1188 (24 hours)
LIT 10199 | en |
3232-pdf |
Title
Information Management Assessment of [XX Organisation] Terms of Reference
Release
Final
Version date: 15 April 2010
Doreen Charlton
Author:
Oliver Morley, Acting Chief Executive
Owner:
All organisations in the IMA programme
Customer:
## The National Archives' Leading And Transforming Information Management Across Government. 1 Objectives
To provide independent validation of the standards and integrity of the information management processes within [X department] in order to meet their business objectives. To clarify the relationship between The National Archives, Information Management Assessment Team and [X department] in conducting the on-site information management assessment (IMA).
2
Methodology
Pre-Assessment
A pre-assessment risk questionnaire to be completed by [XXX] for
analysis by The National Archives IMA Team four to six weeks prior to the on-site assessment.
The National Archives IMA Team to evaluate and analyse the
completed questionnaire to form the scope of the assessment.
The National Archives IMA Team to review the relevant documentation
relating to information management processes and procedures supplied by the organisation.
A wider evaluation of risks not limited to but impacting on information
and knowledge management for the organisation to feed into the scope of the assessment.
## During The Assessment
Interviews with key personnel, including policy makers, managers,
practitioners, FOI handlers, senior leaders and other relevant staff.
A walk-through of the processes used by [XXX] to handle knowledge
and information.
Investigation of issues identified prior to and during the assessment.
## 3 Scope
To verify the working practices and elicit documentary evidence of how [XXX] is managing its obligations for information management based on the risks identified at the preliminary investigation stage.
## 4 Core Team
| Name | Job Title | Organisation |
|-----------------|-----------------|-----------------|
| | | |
| Role within the | | |
| Assessment | | |
| Team | | |
| | | |
| Team Lead | Doreen Charlton | Standards |
| Archives | Assessment | |
| Manager | | |
| Team Member | Tom Wharton | Standards |
| Adviser | | |
| The National | | |
| Archives | | |
| The National | | |
| Archives | | |
| Team Member | XXXX | Information |
| Management | | |
| Consultant | | |
| | | |
5
Deliverables 5.1
A final report on the current state of the management of information processes reviewed during the visit, based on the priority areas identified prior to the on-site assessment and subsequent on-site assessment. 5.2
The production of highlights of good practice and areas for improvement with subsequent appropriate recommendations where applicable.
5.3
The foundations for an action plan that [XXX] will be able to utilise to fulfil the recommendations as identified in the assessment.
## 6 Timetable
Pre On-site visit.
6.1
The signed commitment to be published on departmental website at least 8 weeks prior to the programmed date of the on-site visit. 6.2
Preliminary meetings with departmental contacts will commence 6-8 weeks prior to the programmed date of the on-site visit. 6.3
The pre-assessment questionnaire will be sent to [XXX] at least 4-6 weeks prior to the programmed on-site visit date. To be completed within 2 weeks. 6.4
On receipt of the completed questionnaire The National Archives IMA Team will analyse the response to form the scope of the on-site assessment.
6.5
The scope (see appendix 1) and Terms of Reference agreed with [XXX] as soon as practicable prior to commencement of on-site visit. Post On-site Visit 6.6
A draft of the findings will be available to [XXX] organisation to review for factual accuracy no later than four weeks after the on-site
assessment and the supply of requested documents that could not be provided at the verification. 6.7
The final report on [XXX] IMA will be published on The National Archives website within 10 working days of agreement. 6.8
The National Archives' Chief Executive, Director of Information Policy
and Services Directorate and IMA Assessment Team member will present findings to the Permanent Secretary/Executive Board Member or Accounting Officer within 3 months of the completion of IMA if so requested. 6.9
Organisations will be reviewed six months after accreditation. Organisation/departments will be expected to have developed an action plan and to show progress with the recommendations made. 6.10 There will be a continuous programme of six-monthly reviews of the
Action Plan until completion of the plan or other appropriate deadline. 6.11 As a result of the six monthly reviews of the Action Plan, where
deemed
appropriate
the
SAM,
relevant
RCMD,
Information
Management Consultant in conjunction with the representative from [XXX], will recommend an on-site progress meeting 12-14 months after the initial assessment visit. 6.12 Thereafter, [XXX] will be incorporated into the ongoing IMA programme
with a re-assessment visit scheduled for 3-5 years time. 6.13 In all other cases the Organisation or Department will have a revisit
scheduled in the on-going IMA programme over the next 3-5 year period.
Appendix 1
Scope of Information Management Assessment of [XXX] dated XXX 2010 The scope of the above assessment is defined below. | en |
3562-pdf |
## Shaid Mahmood Chief Officer, Communities Community Capacity/Social Capital/Asset Based Community Development: Why Is It Important?
"No society has the money to buy, at market prices, what it takes to raise children, make a neighbourhood safe, care for the elderly, make democracy work or address systemic injustices…..
The only way the world is going to address social problems is by enlisting the very people who are now classified as 'clients' and
'consumers' and converting them into co-workers, partners and rebuilders of the core economy"
Professor Edgar Cahn, US-based civil rights lawyer and inventor of Timebanks
## Asset Based Approaches In Leeds
•
Implementing asset based approaches in Leeds
•
Recognising that ABCD work is a spectrum of approaches and ways of working
•
Establishing Pathfinder sites
•
Hard-wiring asset based approaches into how we do things in
Leeds
- Building into Existing Contracts/Specifications/ Relationships - Buy-in from Council Directorates
- Infrastructure and support
# Helen Binns Project Manager Leeds Families First Programme
## What Has Been Different During Covid?
- Working with Community Leaders across
Leeds
- Offering practical support & removing the red
tape
- Working as a 'bridge' with other directorates
## What Have We Learnt?
- 'It takes a village to raise a Child'
- Working together for better outcomes
- Support to develop trust in services
# Carmel Langstaff Chief Officer, Transformation And Innovation, Adults & Health
## Key Learning So Far
- Investment in ABCD Pathfinders - System wide approach
- It takes time:
- To work differently with citizens and communities - To develop different approaches internally and externally - To see the impact in terms of reducing demand
## Next Steps For Abcd In Leeds
We are already:
- Strengthening partnerships - Developing additional pathfinder sites - Developing a different approach to commissioning - Measuring impact
We plan to:
- Co-produce our plans with communities and the third sector - Articulate our ambition more clearly
- Develop our workforce
- Consider how to use our resources differently | en |
1479-pdf | Briefing Note: Independent Advocacy under the Care Act 2014
The Department of Health (DH), with support from Voiceability, have produced this briefing note to support the work of the Winterbourne View Joint Improvement Programme (JIP), and in particular to support a series of regional advocacy workshops being run by the JIP. The JIP was set up as part of the wider Transforming Care programme (following the abuse of people with a learning disability at Winterbourne View hospital) to provide support to local area partners to improve services for people with a learning disability and / or autism with behaviour that challenges or a mental health problem. This briefing note provides a short overview of the key developments around advocacy provision being introduced under the Care Act 2014.
## Introduction
From 1 April 2015, the Care Act 2014 places a new duty on local authorities to provide access to independent advocacy to those who would have substantial difficulty in being involved in care and support 'processes' and have no appropriate individual(s) - carer, family or friend - who can support their involvement.
It applies to adults and also applies to children who are coming up to 'transition' to adult care and support from children's services. Under the Care Act, independent advocacy means a service that is independent of the local authority.
## When The Duty To Provide Independent Advocacy Applies
The duty on local authorities to consider providing access to an independent advocate applies to a person's involvement in **care and support processes**
including:
an adult's needs assessment a carer's assessment the preparation of an adult's care and support plan or support plan a review of an adult's care and support plan or support plan a child's needs assessment as they transition towards adult care a child's carer's assessment (therefore some people below 16 years of age) a young carer's assessment a safeguarding enquiry or safeguarding adults review
## How The Duty To Provide Independent Advocacy Applies
From the first point of contact with a person, the local authority must act to involve that person in the above listed social care processes. Whether raised by the person themselves or otherwise, the local authority must consider (under the new advocacy duty) whether a person would have 'substantial difficulty' in any one of the following areas:
understanding relevant information retaining that information using or weighing that information as part of the process of being involved
communicating the individual's views, wishes or feelings (whether by talking,
using sign language or any other means)
For some people it will be possible to help and support their direct involvement through making reasonable adjustments, as required by the Equality Act, providing information in accessible formats or facilitating the use of video in a needs assessment, for example. When it is considered that a person would have substantial difficulty in being involved in the 'process', the local authority needs to consider whether there is a carer, relative or friend (an 'appropriate individual') who can support their involvement. If not the local authority must arrange an independent advocate to be available to support and represent them. The Care Act Regulations and Guidance set out some rules about who can be judged as an 'appropriate individual' - for example, it should be someone who the person wants to support them and it cannot be someone who is already providing the person with care or treatment in a professional capacity or on a paid basis.
## What About Existing Duties About Access To Independent Advocacy Under Mental Capacity Act And Mental Health Act?
There are already circumstances in law under which a person has a right to access support from an independent advocate. Under the Mental Capacity Act, there are circumstances where an Independent Mental Capacity Advocate (IMCA) may be instructed to work with people who lack the capacity to make a specific decision. There are also circumstances under the Mental Health Act where a person may have access to an Independent Mental Health Advocate (IMHA). These rights are not affected as a result of the new duty under the Care Act.
However, there will be circumstances under which a person is part of a social care 'process' but who may not have access to an independent advocate under the Mental Capacity Act or the Mental Health Act. The duty under the Care Act will increase the availability of independent advocacy to them.
## The Role Of The Independent Advocate
The Care Act Regulations set out the experience and training that an independent advocate should have, as well as the role they should perform. An independent advocate's role is to support and represent the person, always with regard to their wellbeing and interests, including helping a person to:
Understand the process Communicate their wishes, views and feelings Make decisions Challenge those made by the local authority if the person wishes
Understand their rights When appropriate, support and represent them in the safeguarding process
Where an independent advocate is provided the local authority must still consult with those friends or family members when the person asks them to.
## The New Advocacy Duty And Its Relevance To The Transforming Care Work
"Good information and advice, including advocacy, is important to help people with challenging behaviour and their families to understand the care available to them and make informed choices. But it is clear that there is a very wide variety in the quality and accessibility of information, advice and advocacy, including peer advocacy and support to self-advocate."
## Transforming Care - A National Response To Winterbourne View Hospital1
If the law alone could prevent events such as those which led to the abuse of people at Winterbourne View Hospital, it would have done so. However, the law - if it is well implemented - can contribute to people leading fuller and safer lives. Lessons from the events which led to the abuse of people at Winterbourne View were considered in the development of the independent advocacy provisions under the Care Act 2014. Whilst the need for advocacy may often go beyond that which is provided for in law, the following specific features of the Care Act may be especially relevant to those people with a learning disability and / or autism who are part of the Transforming Care programme and who are at risk of or are accessing inpatient settings:
The Care Act integrates the provision of independent advocacy into the key
decision-making points in people's journey through social care. By making it something that needs to be considered as a matter of course (i.e. during
assessments, care and support planning, review and safeguarding processes) rather than an exception, it is envisaged that it is more likely that people get access to advocacy when they require it. This may help ensure access to independent advocacy to support the person's voice and rights, whether they are in an inpatient setting (like an assessment and treatment unit) - or whether they are receiving community based support but may be at risk of moving into somewhere like an assessment and treatment unit.
As noted above, the duty to provide access to independent advocacy applies
when there is no 'appropriate individual' available to support the person's
involvement. There is an exception to this, when as part of the care and
support assessment or planning functions it is likely that the individual will be placed in NHS-funded provision in a hospital for a period of twenty eight days or more (including places like assessment and treatment units) or care home for a period of eight weeks or more. In these cases, the local authority must provide independent advocacy (even if the person has an 'appropriate individual' available to support them) if is satisfied that receiving advocacy would be in the best interests of the individual. This is because it is recognised that the consequences of moving into NHS funded care can be so far reaching to the individual. Often the person needs all the support they can get in relation to such a decision whilst family members can also, for example, feel that they are being ignored, or feel exhausted by the process of supporting their relative alone.
The provision of independent advocacy under the Care Act applies equally to
those people whose needs are being jointly assessed by the NHS and the local authority or where a package of support is planned, commissioned or funded by both a local authority and a Clinical Commissioning Group (CCG)
(a 'joint package' of care). As these processes and arrangements have historically been difficult for individuals, and their family, friends or carers, to understand and be involved in, local authorities (with CCGs) are advised in the Statutory Guidance to consider especially the benefits of providing access to independent advocacy or independent advice beyond the requirements of the Act. In particular, they are encouraged to consider providing access to these supports for people who do not have substantial difficulty and/or those who have an appropriate person to support their involvement.
The Care Act, together with the Mental Capacity Act (including the Deprivation
of Liberty Safeguards) and Mental Health Act set out the minimum legal requirements for ensuring the provision of independent advocacy and access to it. Nothing in the legislation prevents the provision of advocacy outside of, and in addition to, these requirements. This is especially important to consider for people who may also need support to express their views at other
times in their lives, may need long term advocacy support, and for people who will benefit and contribute greatly through self-advocacy.
There are various actions which people can take, dependent on their role, to help ensure that the independent advocacy provisions in the Care Act do make a positive difference. These include:
Ensuring that people using services, family members, friends, carers and
social care, health and other professionals are aware of them.
Drawing to the attention of the Local Authority, or the Local Authority and NHS
and CCGs where a person is being jointly assessed, people who may be
entitled to an independent advocate when that person is due to have an assessment, care or support plan, review or is subject to a safeguarding enquiry or review.
For Commissioners - ensuring that the implementation of the Care Act pays
sufficient regard to the needs of people with learning disabilities in assessment and treatment services or hospitals and those who may need enhanced community support to avoid being admitted to them. The level of advocacy resource available to these people and to their carers needs to reflect the often high level of individual need.
For organisations - providing training and awareness raising for their
members of staff on the Care Act 2014 and the independent advocacy provisions (see training and development materials below).
## Additional Information Care Act 2014 Statutory Guidance:
https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/36610
4/43380_23902777_Care_Act_Book.pdf Final negative Regulations in part 1 of the Care Act: https://www.gov.uk/government/consultations/updating-our-care-and-supportsystem-draft-regulations-and-guidance Care Act 2014: http://www.legislation.gov.uk/ukpga/2014/23/contents/enacted/data.htm Training and development materials: http://www.skillsforcare.org.uk/Standards/Care-Act/Learning-anddevelopment/Learning-and-development.aspx Guidance for commissioners: http://www.scie.org.uk/care-act-2014/advocacy-services/index.asp | en |
2515-pdf |
##
# 2014 To 2020 European Structural And Investment Funds Growth Programme Call For Proposals European Social Fund Priority Axis 1: Inclusive Labour Markets Youth Employment Initiative (Yei)
Managing Authority
Department for Work and Pensions (DWP)
ESI Fund
European Social Fund
Priority Axis:
Priority Axis 1 : Inclusive Labour Markets
Investment Priority:
1.3 Sustainable Integration of Young People into the Labour Market Tees Valley - Youth Employment Initiative (OC34S17P0762)
Call Reference:
Tees Valley
LEP Area:
21st April 2017
Call Opens:
26th May 2017
Call Closes:
Document Submission:
Completed Applications must be submitted to : 2014-
[email protected]
## Contents
1. Call Context
1.1 National Context 1.2 Local Development Need 1.3 Scope of Activity
2. Call Requirements
3. Required Deliverables 4. General Information
4.1 Compliance and Eligibility
4.2 Intervention Rate & Match Funding 4.3 Applicants
4.4 Cross Cutting Themes
4.5 State Aid
4.6 Funding Agreement
4.7 Procurement
5. Application Process & Prioritisation Methodology 6. Support 7. Key Documents 8. Document Checklist 9. Document Submission 10. Timescales
11. Appendix A - Common output indicators
## 1. Call Context
The 2014 to 2020 European Structural and Investment Funds (ESIF) bring the European Regional Development Fund (ERDF), European Social Fund (ESF) and part of the European Agricultural Fund for Rural Development (EAFRD) together into a single European Union (EU) Structural Investment Funds (ESIF) Growth Programme for England supporting the key growth priorities of innovation, research and development, support for Small and Medium Enterprises (SME), low carbon, skills, employment, and social inclusion. European Structural and Investment Funds are managed by the Department for Communities and Local Government (ERDF), Department for Work and Pensions
(ESF) and the Department for Environment Food and Rural Affairs (EAFRD). In London, the Greater London Authority acts as an Intermediate Body for the European Regional Development Fund and European Social Fund programmes.
Unless stated otherwise, the term "Managing Authority" will apply to all these organisations. These Departments are the Managing Authorities for each Fund. The Managing Authorities work closely with local partners who provide:
Practical advice and information to the Managing Authorities to assist in the preparation of local plans that contribute towards Operational Programme priorities and targets;
Local intelligence to the Managing Authorities in the development of project calls (decided by the Managing Authorities) that reflect Operational Programme and local development needs as well as match funding opportunities;
Advice on local economic growth conditions and opportunities within the context of Operational Programmes and the local ESIF Strategy to aid the Managing Authority's assessments at full application stage.
This call is issued by the Department for Work and Pensions (DWP) to commission ESF Funded projects that will support the Priority Axis 1 of the Operational Programme: Inclusive Labour Markets and Investment Priority: 1.3 Sustainable integration into the labour market of young people (YEI) as set out in the Operational Programme. All applications will need to be eligible under the European Social Fund Operational Programme for England 2014 to 2020. The ESF Operational Programme is available for applicants to read. This call for proposal sets out the requirements for any applicants to consider before applying. Applications against this call will be assessed as part of two stage appraisal process and successful applicants will enter into a funding agreement with the DWP. Further information is given in sections 4 to 10. All ESF applicants will need to be aware of the requirement to collect and report data on all participants as per Annex 1 (see Appendix A). This will be as well as the requirement of reporting on output and result indictors referred to in section 3 of the call for proposal.
## 1.1 National Context
This priority axis aims to increase participation in the labour market and thereby improve social inclusion and mobility. The operational programme identifies the need to address high levels of youth unemployment in specific areas of England this will be delivered through the following Investment priority:
Investment priority 1.3 Sustainable integration into the labour market of young people (YEI), in particular those not in employment, education or training, including young people at risk of social exclusion and young people from marginalised communities, including through the implementation of the Youth Guarantee. ESF will not fund activity that duplicates or cuts across national policy on grants and loans for tuition for skills activities. Exemptions to this principle will be considered only where a local specific need and/or market failure has been demonstrated and where the activity falls within the scope of the Operational Programme. Full details of what can and cannot be supported under this Investment Priority are set out in the Operational Programme. Details of the specific objectives have been reproduced below.
Specific Objective
Results that the Member States seek to
achieve with Union support
To support the rise in the participation age by providing additional traineeship and apprenticeship opportunities for 15- 29 year old NEETs in YEI areas, with a particular focus on 15-19 year old NEETs.
The additional support from this investment priority will help more young people aged 15- 29 enter traineeships and apprenticeships. It will be focussed on young people in YEI areas, with a particular focus on 15-19 year old NEETs. The additional support from this investment will support investment in
traineeships and apprenticeships, including improvements to recruitment and assessment and engagement with employers. The main result will be that more young participants aged 15 to 29, male and female, who were NEET, are in traineeships or apprenticeships as a result of ESF interventions and this will support movements into work.
To engage marginalised 15-29 year old NEETs in YEI areas and support them to re-engage with education or training, with a particular focus on 15-19 year olds. The additional support from this investment priority will help to find and engage young people in YEI areas, particularly those aged 15-19, who are disconnected from mainstream activity. Participants could, for example, be members of gangs, care leavers, young lone parents, ex-offenders or young people with learning difficulties. They are likely to require more intensive and tailored interventions. The main result that will be achieved is that more participants will be engaged with education or training on leaving, and this will be measured by the result target.
To address the basic skills needs of 15-29 year old NEETS so they can compete effectively in the labour market;
The additional support from this investment priority will help 15-29 year old NEETs in YEI areas to acquire the basic skills necessary to enable them to progress into an apprenticeship, traineeship or other employment. The main result that will be achieved is that more participants will have gained basic skills. There is an output target for participants without basic skills and a result target for participants gaining basic skills.
To provide additional work experience and pre-employment training opportunities to unemployed 15-29 year old NEETS in YEI areas, with a particular focus on those aged over 18
The additional support from this investment priority will help unemployed 15-29 year olds and particularly those aged 18-29 in YEI areas to transition into training or sustainable employment (or self-employment). The main result that will be achieved is that more participants will enter traineeships, apprenticeships or sustainable employment (including self-employment) on leaving.
To support 15-29 year old lone parents who are NEET in YEI
areas to overcome the barriers they face in participating in the labour market (including childcare).
The additional support from this investment priority will help 15-29 year old lone parents who are NEET in YEI areas to move closer to and into sustainable employment (including self-employment). Support will include assistance with childcare when this has not been covered by public provision, such as Universal Credit. It will also help participants to overcome other barriers, such as low basic skills or lack of confidence. The main result that will be achieved is that more participants will move into sustainable employment (including self-employment). There is an output target for the number of lone parents.
## 1.2 Local Development Need
Projects must deliver activity which directly contributes to the objectives of Priority Axis 1, Investment Priority 1.3 of the Operational Programme, and which meets the local development need expressed in the text and table below.
Call outline Whilst the proportion of young people who are NEET (Not in Employment, Education or Training) in Tees Valley has fallen recently, reflecting concerted efforts by local partnerships, it remains much higher than the national average. For example,
The November 2015 to January 2016 average showed the 16-18 NEET rate
in Tees Valley as 6.4% compared to 4.2% nationally.
Redcar and Cleveland has the third highest NEET rate in the country at 7.6%
and Stockton the seventh highest at 6.6%.
In February 2017, there were 3,870 18-24 year olds claiming either Job
Seekers Allowance or Universal Credit (and available for work) in Tees Valley; 6.4% compared to 2.8% in Great Britain.
Pre-recession there were 45,200 young people (16-24) in
employment/training. This dropped to 36,300 at the last count in September 2016 so more progress is still needed.
Whilst numbers are showing an improvement, we still have persistently high levels of young unemployment and NEETs. Much of the NEET problem exists with young people who successfully move on from school but then drop out of Further Education. This could be for a variety of reasons, e.g.
poor information and career advice now or at an earlier stage; wrong course choice which then results in it not meeting expectations so
individuals lose interest/perform less well;
insufficient places on preferred course so doing an alternative which is not
relevant;
late start date means difficulty maintaining progress; difficulty handling transition from school environment; lack of family support /role models /encouragement to continue; lack of funding to travel to learning; little support at home to steer them in a positive direction; difficulty navigating the education system, optional available; limited or negative peer support.
Despite a national drive towards Apprenticeships the number of young people living in the Tees Valley aged under 25 starting an Apprenticeship has only risen by 1% over the last three years (from 2012/13 to 2015/16) compared to a 2% rise nationally. In their report 'The incidence of apprenticeships in England by industry sector, 2010/11 to 2014/15' released by the Skills Funding Agency in March 2017
they state that "in 2014/15, the highest incidence of apprenticeship starts were in the North West (16% of total) and the least in the North East (7% of total)".
In the Tees Valley 10.3% of people aged 16-64 have no qualifications (2015 Annual Population Survey). This is compared to 8.6% nationally. The Tees Valley also has a low amount of people aged 16-64 with higher level skills 30.4% have a Level 4+ NVQ qualification compared to 37.1% nationally.
## Local Priorities:
The ESF Managing Authority is seeking projects who can deliver targeted, effective activities for participants aged 15-29 years old who are Not in Employment, Education or Training (NEET) and who live in the Tees Valley LEP Area which covers Darlington, Hartlepool, Middlesbrough, Redcar & Cleveland and Stockton-on- Tees. The Youth Employment Initiative (YEI) will end in July 2018. Projects should therefore demonstrate in their applications how they can deliver meaningful, result focused activities within a short delivery window, which could be as short as 6 - 9 months in total. Projects should also be able to demonstrate their ability to stand up their provision quickly, to maximise the delivery window. There are existing YEI projects in the Tees Valley LEP Area. Applications under this call must deliver activities which are in addition to this existing YEI activity in the area. In their application, projects should also be able to demonstrate how they will add value and minimise duplication with those existing YEI projects.
Preferred core project activities include:-
Access to independent and impartial Careers Education, Information Advice
and Guidance, **before** direction and solutions are proposed, to ensure young
people make informed choices which are relevant to current and future labour
market opportunities.
The use of Tees Valley and local economic information to direct activities
towards supporting key sectors and those with realistic sustainable employment opportunities.
Participation in work related experiences and employer based activities to
increase opportunities for employment.
Proactive employer engagement activities on behalf of YEI participants, to
offer a structured and accessible route to employment for these young people.
Additional project activities could also include (as ancillary support to those above):-
Improved access range to a greater range and better quality of training and
local employment opportunities.
Improved training or further education to enable young people to take up
employment, including vocational qualifications for specific jobs.
Improved local pathways to move young people into education, training and
employment.
Opportunities for creativity, innovation and development of entrepreneurial
skills.
Access to new learning and skills provision which can make a real difference
to their employment prospects and is not available via alternative funding
routes
Improved literacy, numeracy, ICT and employability to enable young people to
have the basic skills needed in all jobs or in preparation for Apprenticeships.
Support to tackle gender stereotyping in specific sectors.
Virtual learning services as an alternative to traditional classroom based
provision.
Referrals to other appropriate services to offer expert and on-going support to
best assist the individual with their outcomes.
## Outputs & Results
Applicants will be required to demonstrate how they will achieve the deliverables listed in this call within their proposal along with any methodology that will be used to record achievement.
Details of the local ESIF Strategy can be found at: https://teesvalley-ca.gov.uk/openfunding-opportunities/2124-2/
1.3 Scope of activity This call invites Full Applications which support the delivery of Priority Axis 1, Investment Priority 1.3 Sustainable Integration of Young People (YEI) into the Labour Market of the European Social Fund Operational Programme and responds to the local development need set out in the Tees Valley Local Enterprise Partnership Area European Structural and Investment Funds Strategy. This call aims to address the identified shortfalls listed in section 1.2 Local Development Need above.
## 2. Call Requirements
All applications are competitive.
Indicative Fund Allocation:
Indicatively, through this call the Managing Authority
expects to allocate approximately **£1,600,000 ESF** and approximately £1,600,000 YEI.
Applicants will need to have eligible match funding for the ESF element (excluding YEI) for the balance of costs, which must be from a source other than the European
Union. The Managing Authority reserves the right to increase or decrease the indicative allocation, or support more or fewer projects subject to the volume and quality of proposals received.
Minimum application level
European Social Fund investment is intended to make a significant impact on local growth. Applications are expected to demonstrate appropriate scale and impact. The Managing Authority does not intend to allocate less
than £100,000 of European Social Funding and £100,000 YEI to any single project. All YEI project activity must end by 31/7/18
Duration of project approvals
Geographical Scope
All interventions should be focused on activity and beneficiaries within the Tees Valley Local Enterprise Partnership area. YEI, ESF and match funding must be spent on
participants eligible for YEI residing in areas eligible for YEI This is a call for ESF activity.
Specific call requirements Call Deadlines
For this specific call, applications will be assessed following closure of the call. Applications received after the
published call close date will not be considered.
Application selection
All applications will be scored in line with the ESF scoring criteria, but the MA reserve the right to invite projects to full application stage where they complement other activity or provide niche activity to target groups within the OP.
Applicant proposals
These can only contain activities which are eligible for ESF.
Eligible match funding Applicants will need to have eligible match funding for the
ESF element (excluding YEI) for the balance of costs, which must be from a source other than the European Union.
The intervention rate in the Tees Valley LEP Area is 60% ESF as it is a Transition area, so 40% match funding against the ESF funded elements must be provided by the applicant. This equates to approximately 25% of the overall total project costs.
Separately the YEI funding element should applied at a 1:1 ratio with the ESF funds, not including the match-funding. For example - an application for a YEI project in a Transition area with a total project cost of £320,000 would need to be made up as follows:- £200,000 total ESF funds (made up of £120,000 ESF funding and £80,000 match-funding provided by the project applicant) plus £120,000 YEI funds.
Match funding may be available via the Tees Valley Combined Authority and if so, would be subject to a separate approval process and funding agreement. Applicants should make contact with the Combined
Authority **before** submitting their YEI application to this
programme, to start the process required to secure a letter of support. The Combined Authority will only consider financially supporting applications for match funding, where proposals can clearly demonstrate how they will add value to and minimise duplication with, the existing YEI projects.
For all applications proof of the availability and eligibility of match funding will need to be supplied as part of the full application and appraisal process. Operations must be completed no later than 31 August 2018
Operational completion
Procurement
All procurement must be undertaken in line with EU regulations.
State Aid law
Applicants must demonstrate compliance with State Aid law.
Audit/ Compliance
All expenditure and activities will be subject to rigorous audit and non-compliance may lead to financial penalty.
Calls listing multiple activity
The applicant is required to list each activity they plan to deliver, supported by a clear breakdown of costs. Expected outputs and results per activity should be provided.
ESF cannot be used to duplicate existing activities or activities that do not address market failure. ESF can only be used to achieve additional activity or bring forward activity more quickly. Applicants must be able to demonstrate that proposals are additional to activity that would have occurred anyway or enables activity to be brought forward and delivered more quickly than otherwise would be the case in response to opportunity or demand.
## 3. Deliverables Required Under This Call:
Applications will be expected to achieve the minimum indicative level of Programme Deliverables by contributing to the following Investment Priority. The definitions of which can be accessed at the ESF Operational Programme.
Investment Priority
1.3 Sustainable Integration Of Young People (YEI) Into The Labour Market
Specific Objectives
Sustainable integration into the labour market of young people (YEI), in particular those not in employment, education or training, including young people at risk of social exclusion and young people from marginalised communities, including through the implementation of the Youth Guarantee.
Indicative
Actions
ESF will not support activities that duplicate or replace existing support within national programmes, but may be used to support
additional activities or target groups, including provision codesigned with local partners. Examples of actions for all young people who are NEET include:
Help to re-engage marginalised young people NEET,
including through innovative approaches, customised training and support and volunteering activities.
Activities may be focused on specific target groups such as:
young lone parents: looked after children and care leavers: carers: ex-offenders: those involved in gangs: and young people with learning difficulties and disabilities.
Support traineeships - if it is not displacing already planned
(and funded) provision and it adheres to the Traineeship Framework for Delivery. For Apprenticeships, any activity must comply with the apprenticeship legislation.
Will complement traineeships by enhancing or building on
existing and planned traineeship provision through wraparound activity.
Additional support for disadvantaged young people beyond
the core elements of training (work preparation, English and Maths) and work experience.
Complement apprenticeships (but not provide direct funding
of training or wage costs). This will include supporting improvements to recruitment, assessment and training.
Support for traineeships and apprenticeships may include
increasing uptake through dedicated marketing or outreach work and supporting individuals to remain on the
programme (for example mentoring and paying trainees costs, such as transport).
Enhance local careers guidance services for young people Broker opportunities with local employers to take on young
people who are NEET (including those with complex barriers)
Support and information for employers to establish their
requirements and encourage them to take on young people who are NEET.
## Outputs
| | |
|------------------------|-----|
| ID | |
| | |
| Output Indicator | |
| | |
| Men minimum | |
| target value | |
| Total Minimum | |
| target value for | |
| this call | |
| Women | |
| minimum | |
| target value | |
| 1067 | 566 |
| 25 years of age) | |
| who are | |
| unemployed OR | |
| inactive (not in | |
| education or | |
| training) | |
| | |
| 355 | 188 |
| | |
| Participants (aged | |
| 25-29) who are | |
| unemployed OR | |
| inactive (not in | |
| education or | |
| training) | |
| | |
| 1067 | |
| | |
| Unemployed | |
| (including long term | |
| unemployed) | |
| participants (YEI) | |
| | |
| 355 | - |
| | |
| Long-term | |
| unemployed | |
| participants (YEI) | |
| | |
| 355 | |
| | |
| Inactive | |
| participants not in | |
| education or | |
| training (YEI) | |
| | |
| 114 | |
| | |
| Participants from | |
| ethnic minorities | |
| | |
| 156 | - |
| | |
| Participants with | |
| disabilities (YEI) | |
| | |
| 57 | - |
| | |
| Participants who | |
| live in a single adult | |
| household with | |
| dependent children | |
| (YEI) | |
| | |
| | |
| | |
## Results
| ID | Result Indicator |
|-----------------------------|------------------------------|
| Minimum Target value for | |
| this call | |
| | |
| 70% | CRO1 |
| who complete the YEI | |
| supported intervention | |
| 48% | CRO2 |
| who receive an offer of | |
| employment, continued | |
| education, apprenticeship | |
| or traineeship upon | |
| leaving | |
| 48% | CRO3 |
| who are in | |
| education/training, gaining | |
| a qualification, or in | |
| employment, including | |
| self-employment, upon | |
| leaving | |
| 60% | CRO4 |
| participants who complete | |
| the YEI supported | |
| intervention | |
| 38% | CRO5 |
| participants who receive | |
| an offer of employment, | |
| continued education, | |
| apprenticeship or | |
| traineeship upon leaving | |
| 38% | CRO6 |
| participants who are in | |
| education/training, gaining | |
| a qualification, or are in | |
| employment, including | |
| self-employment, upon | |
| leaving | |
| 60% | CRO7 |
| education or training who | |
| complete the YEI | |
| supported intervention | |
| 32% | CRO8 |
| education or training who | |
| receive an offer of | |
| employment, continued | |
| education, apprenticeship | |
| or traineeship upon | |
| leaving | |
| | |
| CRO9 | Inactive participants not in |
education or training who are in education/training, gaining a qualification, or are in employment, including self-employment,
upon leaving
15%
CR10
Participants in continued education, training programmes leading to a qualification, an apprenticeship or a traineeship six months after leaving
30%
CR11
Participants in employment six months after leaving
3%
CR12
Participants in selfemployment six months after leaving
Applicants will be required to demonstrate how they will achieve the deliverables within their proposal along with any methodology that will be used to record achievement. Applicants will also need to ensure robust systems are in place, and be able to describe them, to capture and record the targets and to report quantitative and qualitative performance across the Tees Valley LEP area. All operations will be required to collect data and report progress against the deliverables with each claim. Where an operation underperforms against their deliverables they may be subject to a performance penalty.
There must be a fully evidenced audit trail for all contracted deliverables.
4.
General Information
Essential information to support the drafting of an application and delivery of a successful ESF funded project is available at the European Growth Funding website pages.
## 4.1 Compliance And Eligibility
When developing an application, Applicants should refer to guidance on eligible Applicants, activities and costs. These are for guidance only and Applicants should take their own specialist advice if in doubt. It is the responsibility of the Applicant to ensure that the rules and guidance are adhered to both at application stage and following approval.
ESIFs are governed by European regulations and national rules. Applicants are advised to familiarise themselves with the relevant documentation listed in the 'key documents' section prior to submitting an application. If successful, Applicants will enter into the standard Funding Agreement and must abide by the standard terms and conditions contained therein. Applicants are therefore strongly advised to read these terms and conditions to ensure that they would be able to enter into such an agreement prior to responding to the call. Once a Funding Agreement has been issued it should be signed and returned within a short timescale.
## 4.2 Intervention Rate & Match Funding
ESF is the funding is used where no other funding can be obtained (the funder of last resort) and the maximum ESF intervention rate for the operation is 75% (inclusive of the YEI allocation). This means ESF can contribute up to 75% of the total eligible project costs, subject to State Aid regulations. The remaining 25% or more must come from other eligible sources. For all applications, the applicant will need to provide information to demonstrate that the operation is likely to have the required level of match funding in place at the point of formal approval.
ESF is not paid in advance and expenditure must be defrayed prior to the submission of any claims. Applicants may be asked to demonstrate how they are able to cash flow the operation.
4.3
Applicants
Applicants must be legally constituted at the point of signing a Funding Agreement, and be able to enter into a legally binding Funding Agreement. The Applicant will be the organisation that, if the application is successful, enters into a contract for ESF and therefore carries the liability for ensuring that the terms of the ESF Funding Agreement are met by them and to all delivery partners. If there is more than one organisation applying for the funds, a lead organisation must be selected to become the Applicant. It is this organisation that carries the responsibility and liability for carrying out a compliant project. The Managing Authority will consider the Applicant's track record, both positive and negative. If the Applicant has been involved in the delivery of previous European grants and any irregularities with this (these) grant(s) have been identified, the Managing Authority will look into these and expect to see how and what steps have been taken to ensure that these have been addressed to mitigate the risk of further irregularities in the future. It is acknowledged that some organisations will be new to ESIF funding and will not have a track record.
## 4.4 Cross Cutting Themes
All applications received under this Call should demonstrate how the Cross Cutting Themes have been addressed in the project design and development. Cross cutting themes for ESF are 'gender equality and equal opportunities' and 'sustainable development'.
For ESF, the project applicants will be required to deliver their services in-line with the Public Sector Equality Duty (as defined in the Equality Act 2010). All projects must have a gender and equal opportunities policy and implementation plan which will be submitted at full application stage and in-line with Managing Authority guidance. Project applicants will also be required to answer a number of ESF- specific equality questions which will be set out in both the full application form and the related guidance. For ESF, all projects will also be required to submit a sustainable development policy and implementation plan (in-line with guidance produced by the Managing Authority).
The ESF programme particularly welcomes projects that have an environmental focus that can meet the strategic fit at local and programme level whilst also adding value by:
supporting environmental sustainability; and/ or complementing the environmental thematic objectives of other
programmes such as ERDF; and/or
using the environment as a resource to help motivate disadvantaged
people
Further information is available in the ESF Operational Programme
## 4.5 State Aid & Revenue Generation
Applicants are required, in the Application, to provide a view on how their proposal complies with State Aid law. Applicants must ensure that projects comply with the law on State Aid.1 Grant funding to any economic undertaking which is state aid can only be awarded if it is compatible aid, in that it complies with the terms of a notified scheme or is covered by the De Minimis Regulation. Guidance for grant recipients, explaining more about State Aid, is available; it is important that Applicants take responsibility for understanding the importance of the State Aid rules and securing their full compliance with them throughout the project, if it is selected into the Programme. The Managing Authority is not able to give legal advice on State Aid. It is the responsibility of the Applicant to ensure that the operation is State Aid compliant. Where the Applicant does not perceive that there is any State Aid, it should state whether or not it considers Articles 61 and 65(8) of regulation 1303/2013 to apply. This revenue should be taken into account in calculating eligible expenditure. Article
1 Article 107(1) of the Treaty on the Functioning of the European Union provides that: "Save as otherwise provided in the Treaties, any aid granted by a Member State or through state resources in any form whatsoever which distorts or threatens to distort competition by favouring certain undertakings or the production of certain goods shall, in so far as it affects trade between Member States, be incompatible with the internal market."
61 refers to monitoring revenues generated after completion of the project, and Article 65(8) how to deal with differences in the forecast and actual revenues at the end of the operation. The details of this will be tested at the full application stage.
## 4.6 Funding Agreement
The Funding Agreement is a standard, non-negotiable and legally binding document. Any successful Applicant will be subject to the terms and conditions contained within this agreement. Applicants are strongly advised to seek their own advice to ensure that they would be able to enter into and abide by the terms of the Funding Agreement. Failure to meet any of the conditions of the agreement or the commitments within the application will result in claw back of funding. Applicants should be aware that additional provisions and securities may be included within the Funding Agreement to protect the investment. These will be further discussed if relevant following the Full Application stage.
## 4.7 Procurement
All costs delivered by the Grant Recipient (the applicant) and/or delivery partners must be delivered on an actual cost basis. Other costs must be procured in line with EU regulations. The most common error identified during audit has been failure to comply with relevant procurement regulations and crucially to maintain a full audit trail to prove that they have complied with the relevant regulation. Robust and transparent procurement is required to ensure that Grant Recipients:
consider value for money;
maximise efficient use of public money; and
maintain competitiveness and fairness across the European Union.
It is recommended that applicants seek their own legal advice pertaining to their procurement and requirements to publicise any tendering opportunities. The Managing Authority is not able to give legal advice on procurement. It is the responsibility of the applicant to ensure the project is compliant in this respect.
## 5. Application Process & Prioritisation Methodology This Yei Call Is Being Assessed Under A 'One Stage' Esf Application Process; And Applicants Will Need To Complete The Full Application Form.
Guidance is available on the European Growth Funding website pages. Applications will be subject to a Gateway Assessment undertaken by the Managing Authority under the following criteria:
Applicant eligibility;
Activity and expenditure eligibility; and
The fit with the ESF OP and the call.
Proposals that pass the Gateway Assessment will move into the Core Assessment which consists of the following:
Strategic fit;
Value for money;
Management & control;
Deliverability;
Procurement / tendering; and
State Aid compliance.
The Managing Authority will seek advice from partners when considering applications to ensure its assessment is informed by local economic growth conditions and opportunities within the context of Operational Programmes and the local ESIF Strategy. This will include the relevant LEP Area ESIF Committee and other partners deemed relevant to the application. The assessment and any prioritisation will be undertaken using only the information supplied as part of the application process. The Managing Authority cannot accept further detail outside this process. Non-public sector Applicants who are successful may be subject to due financial diligence checks by the Managing Authority. Applicants will be required to submit accounts, and to clarify financial or other organisational information. New Applicant organisations may be required to provide details of a guarantor. There is no appeal process for applicants whose Applications are rejected at application stage or for failing to satisfy the MA's Financial Due Diligence checks.
6.
Support Please note that this is a competitive call and to preserve impartiality we are unable to enter into correspondence with applicants over their application. Details of where guidance can be found are contained throughout this calls document. In exceptional circumstances, if there are issues with accessing this guidance, please contact: : [email protected] No applications are to be sent to this email address. Completed applications must be sent to the email address provided in Section 9 - Document submission.
7. Key Documents
Full Application Form; Full Application Form Guidance; Local Enterprise Partnership area's ESIF strategy; and
Eligibility Guidance.
## 8. Document Checklist
The appraisal will be undertaken on the basis of documentation received at the point of closure of the call. Applicants should provide the following documentation. Full Application Stage:
fully completed Full Application (Section 2.7 and 2.8 are not applicable as this
is a "one stage" application process);
fully completed financial table; fully completed Outputs, Results and Indicators table
To enable the Managing Authority to complete the required Financial Due Diligence checks (if private or voluntary and community sector), applicant to provide:
o three years financial accounts o Proof of existence - Certificate of Incorporation, Charities Registration , VAT
Registration Certificate or alternate form of incorporation documentation;
o Proof of trading - Financial Accounts/Statements for the most recent two years
of trading including, as a minimum, Profit and Loss Account and Balance Sheets;
o Completed FVRA Applicant Template (for applications requesting annualised
funding of greater than £1m)
Failure to provide the above documentation could result in the application being rejected.
## 9. Document Submission
Completed Applications must be submitted to : [email protected]
## 10. Timescales
Launch of Call advertised on gov.uk.
21st April 2017
Deadline for submission of Full Application
26th May 2017
Application forms not received by the deadline will not be assessed. Applications which are not fully completed will be excluded.
For this call applications will normally be required to commence delivery/activity within three months of the award of contract.
Any changes related to the deadline for the submission of the Application form will be notified on the European Growth Funding website pages.
## 11. Appendix A - Common Output Indicators Appendix A - Extract From Annex 1 Of The Esf Regulation
Common output and result indicators for ESF investments
(1) Common output indicators for participants
"Participants" refers to persons benefiting directly from an ESF intervention who can be identified and asked for their characteristics, and for whom specific expenditure is earmarked. Other persons shall not be classified as participants. All data shall be broken down by gender. The common output indicators for participants are:
unemployed, including long-term unemployed long-term unemployed inactive Inactive, not in education or training employed, including self-employed below 25 years of age above 54 years of age above 54 years of age who are unemployed, including long-term unemployed, or inactive not in education or training
with primary (ISCED 1) or lower secondary education (ISCED 2) with upper secondary (ISCED 3) or post-secondary education (ISCED 4) with tertiary education (ISCED 5 to 8) participants who live in jobless households participants who live in jobless households with dependent children participants who live in a single adult household with dependent children ethnic minorities Participants with disabilities other disadvantaged homeless or affected by housing exclusion from rural areas
(2) Common immediate result indicators for participants are:
inactive participants engaged in job searching upon leaving participants in education/training upon leaving participants gaining a qualification upon leaving
participants in employment, including self-employment, upon leaving disadvantaged participants engaged in job searching, education/ training, gaining a qualification, in employment, including self-employment, upon leaving
(3) Common longer-term result indicators for participants are:
participants in employment, including self-employment, six months after leaving participants with an improved labour market situation six months after leaving participants above 54 years of age in employment, including self-employment, six months after leaving disadvantaged participants in employment, including self-employment, six months after leaving | en |