Corporate, Customer and Community Services Directorate

Legal and Democratic Services Cumbria House, 107-117 Botchergate, Carlisle, CA1 1RD Tel 01228 606060

Email democratic.services@cumbria.gov.uk

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To: The Council Leader and Members of Cabinet

AgendaCABINET

A meeting of the Cabinet will be held as follows:

Date: Thursday 27 September 2018Time: 10.00 amPlace: County Offices, Kendal

Dawn RobertsExecutive Director – Corporate, Customer and Community Services

Enquiries and requests for supporting papers to: Shamim LindsayDirect Line: 07976 062123Email: shamim.lindsay@cumbria.gov.uk

This agenda is available on request in alternative formats

Serving the People of Cumbria

MEMBERSHIP

Mr SF Young (Leader)Mrs A BurnsMs D EarlMr KA LittleMr DE Southward

Mr P ThorntonMrs C TibbleMr I StewartMrs J WillisMrs S Sanderson

ACCESS TO INFORMATION

Agenda and Reports

Copies of the agenda and Part I reports are available for members of the public to inspect prior to the meeting. Copies will also be available at the meeting.

The agenda and Part I reports are also available on the County Council’s website – www.cumbria.gov.uk

Background Papers

Requests for the background papers to the Part I reports, excluding those papers that contain exempt information, can be made to Legal and Democratic Services at the address overleaf between the hours of 9.00 am and 4.30 pm, Monday to Friday.

A G E N D A

PART 1: ITEMS LIKELY TO BE CONSIDERED IN THE PRESENCE OF THE PRESS AND PUBLIC

1 APOLOGIES FOR ABSENCE

To receive any apologies for absence.

2 DISCLOSURES OF INTEREST

Members are invited to disclose any disclosable pecuniary interest they have in any item on the agenda which comprises

1 Details of any employment, office, trade, profession or vocation carried on for profit or gain.

2 Details of any payment or provision of any other financial benefit (other than from the authority) made or provided within the relevant period in respect of any expenses incurred by you in carrying out duties as a member, or towards your election expenses. (This includes any payment or financial benefit from a trade union within the meaning of the Trade Union and Labour Relations (Consolidation) Act 1992.

3 Details of any contract which is made between you (or a body in which you have a beneficial interest) and the authority

(a) Under which goods or services are to be provided or works are to be executed; and

(b) Which has not been fully discharged.

4 Details of any beneficial interest in land which is within the area of the authority.

5 Details of any licence (alone or jointly with others) to occupy land in the area of the authority for a month or longer.

6 Details of any tenancy where (to your knowledge)

(a) The landlord is the authority; and

(b) The tenant is a body in which you have a beneficial interest.

7 Details of any beneficial interest in securities of a body where

(a) That body (to your knowledge) has a place of business or land in the area of the authority; and

(b) Either –

(i) The total nominal value of the securities exceeds £25,000 or one hundredth of the total issued share capital of that body; or

(ii) If that share capital of that body is of more than one class, the total nominal value of the shares of any one class in which the relevant person has a beneficial interest exceeds one hundredth of the total issued share capital of that class.

In addition, you must also disclose other non-pecuniary interests set out in the Code of Conduct where these have not already been registered.

Note

A “disclosable pecuniary interest” is an interest of a councillor or their partner (which means spouse or civil partner, a person with whom they are living as husband or wife, or a person with whom they are living as if they are civil partners).

3 MINUTES

To receive the minutes of the Cabinet meeting held on 26 July 2018 (copy enclosed). (Pages 7 - 14)

4 EXCLUSION OF PRESS AND PUBLIC

To consider whether the press and public should be excluded from the meeting during consideration of any item on the agenda.

5 STATEMENTS BY THE LEADER OF THE COUNCIL AND CABINET MEMBERS

To receive statements by the Leader of the Council and Cabinet Members.

6 PUBLIC PARTICIPATION

There were no questions, petitions or statements at the time of despatch.

REFERRAL FROM LOCAL COMMITTEES

There are no referrals from Local Committees to this meeting.

REFERRAL FROM SCRUTINY

There are no referrals from Scrutiny to this meeting.

CORPORATE ISSUES

7 2018/19 REVENUE AND CAPITAL BUDGET MONITORING REPORT TO 30TH JUNE 2018 (Q1)

To consider a report from the Executive Director – Corporate, Customer and Community Services (copy enclosed). (Pages 15 - 80)

DIRECTORATE REPORTS - CORPORATE, CUSTOMER AND COMMUNITY SERVICES

8 REGULATION OF INVESTIGATORY POWERS ACT 2000

To consider a report from the Chief Legal Officer/Monitoring Officer. (Pages 81 - 100)

9 CORPORATE PERFORMANCE MONITORING REPORT Q1 2018/19

To consider a report from the Executive Director – Corporate, Customer and Community Services (copy enclosed). (Pages 101 - 150)

DIRECTORATE REPORTS - ECONOMY & INFRASTRUCTURE

10 COUNTY COUNCIL ENFORCEMENT POLICY

To consider a report from the Executive Director – Economy and Infrastructure (copy enclosed). (Pages 151 - 162)

11 COMMUNITY ASSET TRANSFER: VARIOUS PROPERTIES- LAND AND BUILDINGS IN PENRITH (EDEN) AND SEASCALE (COPELAND)

To consider a report from the Executive Director – Economy and Infrastructure (copy enclosed). (Pages 163 - 172)

12 BORDERLANDS INCLUSIVE GROWTH DEAL

To consider a report from the Executive Director – Economy and Infrastructure (copy enclosed).

To Follow: Appendix marked as containing exempt information for consideration in Part 2 of the meeting. (Pages 173 - 180)

DIRECTORATE REPORTS - PEOPLE

13 APPROVAL TO AWARD BY CABINET FOR OPEN FRAMEWORK AGREEMENT FOR THE PROVISION OF SUPPORT FOR INDIVIDUALS WITH A LEARNING DISABILITY AND/OR AUTISM WITH ADDITIONAL NEEDS

To consider a report from the Executive Director – People (Deputy Chief Executive) (copy enclosed). (Pages 181 - 188)

14 2020-2021 SCHOOL ADMISSIONS ARRANGEMENTS

To consider a report from the Executive Director – People (Deputy Chief Executive)(copy enclosed). (Pages 189 - 240)

PART 2: ITEMS LIKELY TO BE CONSIDERED IN THE ABSENCE OF THE PRESS AND PUBLIC

15 EMERGENCY EXEMPTION FROM CONTRACT PROCEDURE RULES

To consider a report from the Chief Legal Officer/Monitoring Officer (copy enclosed).

(Pages 241 - 244)

CUMBRIA COUNTY COUNCIL

Minutes of a Meeting of the Cabinet held on Thursday, 26 July 2018 at 10.00 am at Conference Room A, Cumbria House, Carlisle CA1 1RD

PRESENT:

Mr SF Young (Leader)Mrs A BurnsMs D EarlMr KA LittleMr DE SouthwardMr P ThorntonMrs C TibbleMr I StewartMrs J WillisMrs S Sanderson

In Attendance:

Mr D Whipp – Chair of Eden Local Committee

Officers in attendance:

Executive Director - Economy and Infrastructure, Executive Director - People (Deputy Chief Executive), Executive Director - Corporate, Customer and Community Services, Director of Finance (Section 151 Officer), Chief Legal Officer (Monitoring Officer), Chief Fire Officer, Director of Public Health, Chief Executive, Cumbria County Council and Area Manager - Eden

PART 1 ITEMS CONSIDERED IN THE PRESENCE OF THE PUBLIC AND PRESS

18 APOLOGIES FOR ABSENCE

No apologies for absence were received

19 DISCLOSURES OF INTEREST

There were no disclosures of interest made at the meeting

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Agenda Item 3

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20 MINUTES

RESOLVED that the minutes of the meeting held on 14 June 2018 be approved as a correct record and signed by the Chair.

21 EXCLUSION OF PRESS AND PUBLIC

RESOLVED that the press and public be not excluded during consideration of any items of business.

22 STATEMENTS BY THE LEADER OF THE COUNCIL AND CABINET MEMBERS

The Cabinet Member for Highways and Transport was pleased to announce the success of the Highways Team in winning three prestigious awards, recognising them as best in the industry, in particular recognising the work undertaken in the county relating to flood recovery. An award was given for overall civil engineering project of the year for Broughton Bridge. Craftsmanship and innovation had been recognised. The team would go forward to the National Finals later in the year. He also congratulated the Parking and Enforcement Team who had received an award at the Houses of Parliament, where the Senior Manager - Regulatory Services had received the award on behalf of the County Council.

The Cabinet Member for Customers, Transformation and Fire and Rescue advised that over the last few weeks, firefighters from Cumbria had been helping to tackle the huge moorland fires in Manchester and Lancashire as part of a major incident emergency response. The council’s vehicles and equipment had been used to deal with challenging wildfires; the fire service’s specialised vehicle (Uni-Mog) had been used and the Enhanced Logistical Support Unit based at Penrith Fire Station had been deployed. It was reported that in excess of 70 grass and gorse fires had been responded to in the county. Photographs showing the challenges the fire service faced whilst extinguishing fires at Thirlmere would be circulated after the meeting. The Leader asked that Cabinet’s thanks be conveyed to Fire and Rescue Officers.

The Cabinet Member for Schools and Learning shared positive news about the councils apprenticeship work. Cumbria County Council was recently invited to an event at the Houses of Parliament which included the Skills Minister and the Employment and Skills Funding Agency to recognise and celebrate those employers who had excelled in delivering apprenticeship reforms. The county council had been identified as one of only 200 employers (across the public and private sectors) who had been identified as trailblazers and leading the way in embracing apprenticeships and implementing apprenticeship reforms which was a major achievement.

23 PUBLIC PARTICIPATION

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The Leader advised that a petition had been received regarding Millom swimming pool but that Karen Jackson had been unable to attend the meeting to present it. Jane Micklethwaite had also advised of her attendance to present a statement to Cabinet but had unfortunately been delayed and would not attend the meeting. Members had received the statement from Ms Micklethwaite and the Petition text in advance of the meeting.

The Cabinet Member for Economic Development and Property was invited by the Leader to respond to both the petition and statement, taken in the absence of Ms Jackson and Ms Micklethwaite.

The Cabinet Member for Economic Development and Property stated that he was pleased to receive and acknowledge receipt of the petition and confirmed that he knew Ms Micklethwaite. He gave the history of events at the swimming pool, advising that whilst the council’s budget was stretched, it endeavoured to keep school and residential home buildings watertight. He referred to a previous local member who had tried to resolve the issues at the pool, stating that the District Council had been given the responsibility of looking after leisure facilities. He informed Cabinet of the delegated Officer Decision taken after a survey of the pool had been undertaken and that the Council had closed the pool on safety grounds. He commented on the structure of the roof panels and their deterioration and how the structure was unsafe and had excessive vegetation growth. The building did not adhere to Fire and Health and Safety regulations. A survey had identified that the building required approximately £296k of work.

A group from within the Save Millom Pool Group had been invited to enter the building to make an assessment of the pool as they had contested the cost of repairs. The Council and the school had insisted that the delegation be made up of professionals and the latest planned date was Friday 3 August 2018.

The option of a Community Asset Transfer was not possible. Officers had consulted the Millom Pool Committee and the school on the closure and the Local Committee had noted the course of action at its meeting on 15 May 2018. Due to the risks involved, it had been concluded that access to the swimming pool was not permitted. Next steps included officers working with the community to find a solution and possibly approaching the DfE to help find an alternative site for a new pool on school grounds and close the road.

The Leader thanked the Cabinet Member for Economic Development and Property and looked forward to the findings of the professional people from the Save Millom Pool Group.

24 REFERRAL FROM LOCAL COMMITTEES

a Referral to Cabinet from Eden Local Committee Eden Highways Revenue Budget Allocation

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The Leader welcomed the Chair of Eden Local Committee, Councillor David Whipp to the meeting.

Mr Whipp attended to present the report which had been circulated with the Agenda. He thanked the Leader for the opportunity to present the report which requested Cabinet to consider the funding allocation relating to Eden Local Committee’s Highways’ Revenue Budget. This had been separated into two issues:

a Cabinet is asked to reconsider the funding formula used to calculate the Highways Revenue Budget.

b Cabinet is asked to consider funding the Appleby Horse Fair Traffic Management Plan from a budget other than Eden Local Committee’s Highways Revenue Budget.

In relation to point a, Mr Whipp advised members that the current calculation was based on a formula regarding the length of roads and population number. He stated that Eden was the largest district in the county, and based on road length, it would be expected that there would be a considerable amount of funding but this was counteracted by the low population density. Consequently, the budget was the second lowest in the county. He advised that due to the length of the roads, Eden should have 25% of the allocation for Cumbria but it was reduced to 17% due to the size of the population. He commented on how beautiful the area was which led to the attraction of 5 million visitors in 2016; they used the roads in Eden and also en route to the Lake District National Park which had a considerable impact on the road network. He asked Cabinet to reconsider the funding allocation.

Mr Whipp then advised members that Eden Local Committee was asked to fund the Statutory Responsibilities of Appleby Horse Fair. He appraised members of the history and objectives of the Fair and advised that the travelling community believed they had the right to travel to Appleby and attend the Fair. The population of Appleby was reported as 2048, with 10k travellers visiting in four days in 2017. Mr Whipp stated that there lacked a body to organise the Fair, data was only collected from the counting of caravans and the number of visitors using cars which was then multiplied by historical data. In June 2018, preliminary figures indicated that 48k people were in the area which had an enormous impact on a small number of residents. He acknowledged that some revenue was received but the County Council had to ensure the highway was safe therefore this money came from Eden Local Committee highways budget. It set aside £45k which was one month’s worth of budget. There had been a lot of negative press which could influence future visitors. Following residents’ meetings in Kirkby Stephen and Appleby, the overwhelming response was to make the Fair safer. Mr Whipp informed members about the membership of the Multi Agency Strategic Co-ordination Group (MASCG) which included representatives from the travelling community, who met daily during the Fair and were responsible for implementing statutory duties, however, they had no power to raise funds. In conclusion, Mr Whipp stated that the Fair was an event but no funds could be raised and it could not be identified who dealt with the issues, additionally, he asked Cabinet to find an alternative way to fund the MASCG and not from the Eden Local Committee Revenue Budget

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The Leader thanked Mr Whipp and invited the Cabinet Member for Highways and Transport to respond.

The Cabinet Member for Highways and Transport thanked Mr Whipp for his attendance and referred to his meeting with Local Committees in previous years, in is role as Cabinet Member for Highways and Transport to discuss Highways Budget allocation. He raised that Eden had seven cuts of verges a year, a reduction in that number could afford savings in the budget. He reassured Mr Whipp, stating that if any extra funding was received that it was spread across the Local Committees, referencing that Eden Local Committee had received extra during the storm known as ‘Beast from the East’. In relation to Appleby Horse Fair, he acknowledged the reports of damage to verges and property and had liaised with the Police on the matter. He advised that the County Council worked with the MASCG in order to identify a sustainable solution and explained that the travelling community travelled through other areas who also suffered from similar damage as that experienced in Eden..

The Leader acknowledged Mr Whipp’s representations and commented on the funding formula applied to Local Committees, referencing Barrow as an example. He acknowledged that the funding formula although not perfect, was a matter of balance. He asked Mr Whipp to consider liaising with the organisations who owned car parks in Eden and ask them to share their profits received from the car parking fees. He advised Mr Whipp that if more money was apportioned to a particular Local Committee, it would be to the detriment of others. Mr Whipp questioned the possibility of obtaining funding after making efficiencies such as working differently to which the Leader and Deputy Leader / Cabinet Member for Finance commented that the shortfall in National Government funding was putting pressure on the ability to deliver Council services.

In thanking Mr Whipp, the Leader added that he hoped he would let the Local Committee know of Cabinet’s decision.

RESOLVED that

1 Cabinet does not seek to alter the calculation by which each Local Committee receives its Highways Revenue Budget.

2 Cabinet ensures that work continues to be undertaken through the Multi Agency Strategic Co-ordination Group to seek sustainable long term financial solutions to the costs to public bodies of supporting Appleby Horse Fair.

b Response to Referral from Eden Local Committee Highways Revenue Budget Allocation

Please see Minute 24a.

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25 CARLISLE SOUTHERN LINK ROAD

A report was considered regarding Carlisle Southern Link Road which sought Cabinet’s agreement to the submission of the Outline Business Case to the Ministry of Housing Communities and Local Government (MHCLG). It also sought approval of £5M of financing to support delivery of the CSLR and to recommend to Council the inclusion of this sum in the capital programme 2020/2018.

The Leader welcomed that Carlisle City Council would share the costs and he reported that it was a competitive process with other schemes around the country bidding for money, emphasising that demand for housing would be critical element in the bid.

RESOLVED that Cabinet

a) Agrees to the submission of an Outline Business Case for the Carlisle Southern Link Road to the Ministry of Housing Communities and Local Government in September 2018.

b) Delegates to the Executive Director - Economy and Infrastructure in consultation with the Cabinet Member for Highways and Transport to finalise and submit the Outline Business Case.

c) Recommends to Council that the financial contribution of £5 million, which is included in the financing strategy for the Outline Business Case submission, is included in the capital programme for 2020/21.

26 LEP FUNDING AWARD FROM THE NORTHERN CULTURAL REGENERATION FUND

A report was considered regarding the LEP Funding Award from the Northern Cultural Regeneration Fund. The report sought Cabinet approval for Cumbria County Council to act as the Accountable Body on behalf of Cumbia Local Enterprise Partnership (LEP) for funding from the Department of Culture Media and Sport via its Northern Cultural Regeneration Fund.

RESOLVED that

1 Cabinet agrees to the Council acting as the Accountable Body on behalf of the LEP for the funding from DCMS for the ‘Lakeland Arts World Heritage’ project.

2 Authority be delegated to the Executive Director = Economy and Infrastructure and Director of Finance - S151 Officer for the Council to receive the grant funding from DCMS and to enter into funding agreements for the project on behalf of the LEP.

27 DRAFT LAKE DISTRICT NATIONAL PARK LOCAL PLAN REVIEW

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A report was considered regarding the draft Lake District National Park Local Plan Review. The report sought Cabinet’s agreement to the proposed Cumbria County Council response to the consultation on the Lake District Local Plan Review.

In welcoming the report, the Cabinet Member for Health and Care Services commented on the need for affordable homes in the Lake District. It was raised that The Royalty Cinema and Quarry Mount Car Park was an important cultural facility in Bowness on Windermere.

RESOLVED that

1 Cabinet approves the consultation response contained in Appendix 1 and Appendix 2 of the report.

2 Cabinet agrees that the consultation responses be submitted to the Lake District National Park Authority to inform the continued development of the Local Plan.

28 YOUTH JUSTICE STRATEGIC PLAN 2018-2019

A report was considered regarding the Youth Justice Strategic Plan 2018-19 which advised members about the planning requirements for the Youth Offending Service (YOS) and to seek approval of the Strategic Plan which required submission to the Youth Justice Board. Members had received the draft plan for approval.

The Cabinet Member for Children’s Services advised that before the Plan was considered by full Council in September 2018, Scrutiny would have the opportunity to review it and comment. Consideration was given to the name of the Plan with clarification to be provided by the Executive Director – People (Deputy Chief Executive) before its submission to full Council.

RESOLVED that,

1 subject to any comments from Scrutiny, Cabinet members recommend to full Council that the Cumbria Youth Offending Strategic Plan 2018-19 be agreed

2 Clarification of the name of the Plan to be obtained before its submission to full Council in September 2018.

29 CONSULTATION ON THE PROPOSED AMALGAMATION OF MARYPORT INFANT AND MARYPORT CE JUNIOR SCHOOL

A report was considered which provided analysis on the formal consultation held between 30 April and 8 June 2018 by the County Council, to allow members to decide whether or not to bring forward a statutory proposal to close Maryport Infant School in order to facilitate the proposed amalgamation of Maryport Infant School and Maryport CE Junior School.

The Cabinet Member for Schools and Learning provided the reasoning behind the amalgamation, stating that the school would be Voluntary Controlled CE and asked Cabinet to support the publication of the Statutory Notice.

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The Cabinet Member for Highways and Transport stated that he had been consulted as Local Member on the amalgamation. The Monitoring Officer advised that he would not have to declare an interest as the recommendation referred to the publication of the Statutory Notice rather than to make a decision.

Members were reminded by the Leader to keep an open mind during the Consultation as Cabinet would be asked to make a decision on the amalgamation later in the process.

RESOLVED to publish the statutory notice proposing the closure of Maryport Infant School which is required to facilitate the amalgamation of Maryport Infant School and Maryport CE Junior School.

The meeting ended at 11.10 am

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Committee: Cabinet

Date of Meeting: 27th September 2018

Title of Report: 2018/19 Revenue and Capital Budget Monitoring Report to 30th June 2018 (Q1)

Report by: Julie Crellin, Director of Finance (s151 Officer)

Cabinet Member: Councillor Ian Stewart, Deputy Leader (Portfolio Holder for Finance)

1 What is the Report About? (Executive Summary)

1.1 This report is the first Budget Monitoring Report to Cabinet for 2018/19 and sets out the Council’s financial position at 30th June 2018 (Q1); covering the Revenue Budget, Capital Programme and Treasury Management. Cabinet receive this report each quarter and Directorate and Corporate Management Teams receive detailed reports monthly. As part of the Council’s revised Performance and Risk Management Framework agreed by Cabinet in June, this report links to the Q1 Council Plan Delivery Plan Performance Report which is contained elsewhere on today’s agenda.

1.2 The financial context for the Council remains extremely challenging. 2018/19 represents the ninth financial year of significant funding reductions from central government. Since 2011/12, the Council has agreed a total of c.£250 million of savings in setting annual revenue budgets. In setting the Budget, Council in February agreed the Budget Gap 2018/19 of £34.568m would be met from £38.829m of new savings, having taken account of the impact of one-off savings from previous years of £4.261m, which required replacement in agreeing the Balanced Budget for 2018/19.

1.3 At the end of Q1, the forecast for the Revenue Budget 2018/19 at the year-end is a net pressure of c.£3m. This forecast assumes the delivery of the Budget as set out in this report, including and particularly, the Promoting Independence Programme within People Services, which is shown in Table 4 and explained in paras 4.10 to 4.12.

1.4 The budget position continues to be monitored as part of our integrated approach to managing resources to deliver the Council Plan, provide for our statutory responsibilities and secure the financial sustainability of the Council going forward. Cabinet Members will be aware of budget and service demand pressures being reported by Councils elsewhere. As with other authorities providing social care Cumbria also continues to

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Agenda Item 7

experience service demand pressures. Every effort is being made to be ‘on budget’ at the year end, but this is challenging.

1.5 The starting point for the Revenue Budget is the Medium Term Financial Plan (MTFP) agreed by Council in February 2018. The original Budget for 2018/19 was £375.348m. After taking account of adjustments to General Grants and transfers to and from reserves the revised total net expenditure budget 2018/19 for the Council is £379.121m as at 30th June. This is shown in Table 1.

1.6 The key messages for Cabinet are set out below:

i The financial challenge continues. 2018/19 is the ninth full budget year of significant grant reductions from central government. Tight constraints on local government spending are expected to continue in the medium term.

ii The Quarter One (Q1) Revenue Budget monitoring position is a forecast net pressure of £2.968m at the year end; this forecast assumes the delivery of the Budget as set out in this report, including and particularly, the Promoting Independence Programme within People Services.

iii The net forecast consists of net pressures in the Directorates of £4.117m offset by an underspend in the Other Corporate budgets of (£1.149m). The majority of the underspend in the Other Corporate Budget Items is largely due to an underspend of (£1.000m) on the inflation budget.

iv The Directorate net pressure of £4.117m consists of an overall pressure in People of £5.933m, Corporate, Customer & Community Services Directorate of £0.139m and Fire & Rescue Services of £0.028m. These net pressures are partly offset by underspends in the Finance Directorate (£1.917m) and Economy & Infrastructure of (£0.066m).

v The areas of the Council’s activities subject to the greatest financial pressures are in People services, and in particular, Looked After Children. Table 4 summarises the People pressures and the actions planned and underway to manage them.

vi The opening balance on the General Fund as at 1st April was £10.472m. This has been confirmed following the successful completion of the external audit of the County Council’s Accounts in July. This was reported to Audit and Assurance Committee at its meeting on 27th July.

vii The Council receives S31 Grants to compensate for Business Rates reliefs determined by central government. The final grant for 2018/19 is higher than that assumed when the Budget was set by £1.433m and this has been transferred to General Reserves as this is part of the core revenue funding of the Council. Including the increased Business Rates S31 Grants of £1.433m,

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results in a revised General Fund position of £11.905m as at 1 April 2018. The forecast General Fund Balance for the 31st March 2019 having taken account of the Q1 forecast is £8.938m. The minimum level of General Reserve Balances target set by Council in February 2018 of £10m. It will be necessary to protect the General Fund Balance in the light of uncertainty in relation to Local Government funding in the medium term.

viii The forecast outturn includes delivery against the planned 2018/19 savings target of £34.568m. A total of £32.613m (94.3%) is forecast to be delivered by 31st March 2019, giving a shortfall of £1.955m against this target. The forecast shortfall in the delivery of savings targets is set out within directorate’s appendices and in Appendix 2.

ix The Council approved a capital programme for 2018/19 in February 2018 of £135.135m for Council delivered schemes and £2.000m for schemes where the Council is Accountable Body. There have been changes to the Capital Programme since February. These changes were in respect of expenditure slipped into future years for those schemes part completed at 31st March 2018 to fund completion of schemes in train at the year end position; re-profiling of schemes into future years, and increases to reflect new schemes and increases to existing schemes from additional contributions and grants. Council received an update at its meeting on 5th September which set out a Capital Programme of £141.338m.

x This report seeks agreement to increase the Capital Programme by £0.843m; £0.484m for additional contributions/adjustments to schemes and £0.359m for new schemes funded from external contributions. These are set out in paragraph 8.18. This results in a revised Capital Programme of £142.181m, excluding the Accountable Bodies programme. The changes are summarised in Table 6.

xi The forecast outturn expenditure for the 2018/19 Capital Programme is £142.136m. This represents significant forecast delivery of an extensive capital investment programme. Overall there is a variance against the Council capital budget of £0.045m. This variance is made up of an underspend position of £0.045m on the Provision of Supported Accommodation for 16/17 year olds - Barrow. Details are set out in para 8.9.

2 Recommendation of the Director of Finance

2.1 Cabinet is asked to:

a) Note the Revenue Budget at the provisional outturn for monitoring purposes of £379.121m as a result of the transfers from the Inflation and Contingency budget and agreed transfers from reserves (set out in Appendix 1).

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b) Note the forecast Revenue Budget outturn of a net pressure of £2.968m.

c) Note progress in delivering the new savings for 2018/19 of £38.829m; a total of £36.874m (95.0%) of these 2018/19 savings are forecast to be delivered by 31st March 2019.

d) Note the forecast General Reserve balance at 31st March 2019 of (£8.938m) before additional mitigations throughout the year. This is below the minimum General Reserve Balances target set by Council in February 2018 of £10m.

e) Approve the virement of £0.500m requested within Economy and Infrastructure between Directorate budget lines as set out in paragraph 5.3.

f) Approve the following transfers to reserves

I. £1.433m to the General Reserve from additional Business Rates S31 grants as set out in Table 2 at paragraph 3.3.

II. £1.500m relating to legacy Health income to DSG reserves as set out in paragraph 4.13.

g) Note the following adjustments and transfer to reserves.

I. technical adjustments totalling £8.234m within People as set out in paragraph 4.2,

II. £2.697m transfer to the reserves as set out in paragraph 3.3b following Council’s decision on 15th February 2018 to transfer the net increases / decreases to Sources of Finance announced after the 5th February 2018 to the Council's Volatility Reserve.

h) Approve that £0.359m of new schemes are added to the Capital Programme as detailed in paragraph 8.17.

i) Approve the addition of £0.484m of additional contributions/adjustments to schemes, as detailed in paragraph 8.18, to be included within the capital programme funded from specific grants and contributions.

j) Note the forecast outturn for the Capital Programme 2018/19 of £142.136m against a current budget of £142.181m (excluding Accountable Bodies) resulting in a variance of (£0.045m) which is made up of (£0.045m) underspend, as set out in Table 7.

k) Note Treasury Management activities during Q1 have operated within the treasury limits set out in the Treasury Policy Statement, Treasury Strategy Statement and the Prudential Indicators set by Council in February 2018.

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3 Background to the Proposals

Revenue Budget

3.1 The starting point for the Revenue Budget was the Medium Term Financial Plan (MTFP) agreed by Council in February 2018. After taking account of adjustments to General Grants and transfers to and from reserves the revised total net expenditure budget 2018/19 for budget monitoring purposes is £378.046m as at 30th June. Table 1 sets out these changes.

Table 1 – Net Budget £m £m

Original Total Net Expenditure Budget 375.348

Adjustments to General Grants (See paragraph 3.3) 4.824

Reduction in Business Rates Top Up Grant (see paragraph 3.3) (0.017)

Net transfer to DSG Reserves (See paragraph 4.13) (1.500)

Transfer to earmarked reserves following approval at Council on 15th February 2018, see paragraph 3.2 (2.697)

Drawdowns from earmarked reserves and included in Directorate budgets£0.779m Local Committee Balances£1.201m Public Health reserve£1.225m Volatility reserve£0.300m Transformation and change reserve£0.694m Focussed Families reserve£0.013m Headstart reserve£0.014m Youth Support reserve£0.288m SEN Grant reserve£0.019m Infrastructure reserve£0.063m ICT reserve

4.596

Transfer of additional NNDR S31 Grant to General Fund Balance (Table 2 at paragraph 3.2) (1.433)

Total Q1 Amendments 3.773

Revised Total Net Expenditure Budget 379.121

3.2 Appendix 1 contains detailed information relating to the budget amendments and the allocation to Directorates where applicable. Further information regarding the changes to the net budget since that agreed by February 2018 Council is set out below.

3.3 Adjustments to General Grants Received - the Council received net increased general grants totalling £4.824m since the February Council

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report, these are set out below:

Table 2: Adjustments to General Grants Received £m

Additional Funding in Final Settlement – this relates to additional grant funding announced as part of the 2018/19 Final Settlement. £1.567m (Adult Social Care Grant) and £1.147m Rural Services Delivery Grant. This additional funding has been transferred to an Earmarked Reserve as approved by Council on 15th February 2018.

2.714

Troubled and Focussed Families Grant – this relates to the additional Payment by Results element (£0.212m) of the grant for helping a certain number of families and the also an increased final allocation confirmed for 2018/19 (£0.104m). Budget transferred to People Directorate consistent with previous years.

0.316

School Improvement Grant – this grant is for funding to allow the continued monitoring of the performance of maintained schools, broker the school improvement provision and intervene as appropriate. Budget transferred to People Directorate consistent with previous years.

0.370

Community Right to Challenge – this grant is no longer received in 2018/19. Budget reduction transferred to the inflation budget.

(0.009)

Business Rates S31 Compensation Grant – An increase in the S31 grant which recompenses authorities for any loss of income incurred under the business rates retention scheme.

1.433

4.824

a) The Local Government Finance Settlement 2018/19 announced revisions to the top up grant/tariffs due to/from Authorities due to the need to reflect updated revaluation data. This resulted in a reduction to the top up grant received of (£0.017m). This reduction to a source of finance has been transferred from Earmarked Reserve as approved by Council on 15th February 2018.

b) Recommendation (g) is for Cabinet to approve the transfer to earmarked reserves of £2.697m in respect of the additional grant

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funding announced in the 2018/19 final settlement. This amount is the net impact of the £2.714m additional funding received in the final settlement as detailed in the table above and the (£0.017m) adjustment detailed in (b) above. The net impact being £2.697m.

Revenue Budget Monitoring as at 30th June 2018

3.4 The forecast net expenditure for 2018/19 is £382.089m; resulting in a net pressure of (£2.968m) as summarised in the Table below.

Table 3: Revenue Budget Monitoring 2018/19 (as at 30th June 2018)

ORIGINAL BUDGET As at 30th June 2018 REVISED

BUDGETFORECAST

EXPENDITURE

VARIATION FROM

BUDGET

£000 £000 £000 £000Directorate

186,532 People 192,038 197,971 5,933122,261 Economy & Infrastructure 122,131 122,065 (66)

16,829 Fire & Rescue Service 17,245 17,273 287,936 Local Committees 8,725 8,725 0

29,389 Corporate, Customer & Community 31,240 31,379 13923,658 Finance 23,770 21,853 (1,917)

386,605 Total Service Expenditure 395,149 399,266 4,117

(11,257) Other corporate items (16,028) (17,177) (1,149)375,348 Total Net Expenditure 379,121 382,089 2,968

0 Transfer to/ (from) general reserves 0 (2,968) (2,968)0 Transfer to general reserves 1,433 1,433 0

(4,543) Transfer to/(from) earmarked reserves (4,942) (4,942) 0370,805 Net Budget Requirement 375,612 375,612 0

Sources of Finance26,914 General Grants 31,738 31,73867,096 Top Up Funding 67,079 67,07928,943 Revenue Support Grant 28,943 28,94319,338 Retained Business Rates 19,338 19,338

228,514 Income from Council Tax 228,514 228,514370,805 375,612 375,612

3.5 Appendix 1 sets out the Council’s Net Revenue Budget for 2018/19. It shows the movement in the Net Revenue Budget against which service expenditure is monitored, from an original budget of £375.348m when the budget was agreed by Council in February to £379.121m at 30th June 2018.

3.6 The forecast outturn for the Directorate service budgets shows a net pressure of £4.117m, this relates to directorate net budget pressures in

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People £5.933m, Corporate, Customer & Community Services £0.139m and Fire & Rescue Service £0.028m, these are offset by directorate savings in Economy & Infrastructure (£0.066m) and Finance (£1.917m). The key variances within Directorate budgets are detailed in the relevant Directorate Appendices 3 (1-7) and summarised below:

Directorate Budgets

4 The Directorate net pressures are set out below:

4.1 People - a net pressure of £5.933m

The main factors contributing to the to the People forecast net pressure are summarised in the table below.

Table 4 – People Forecast Net Pressure

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4.2 The budget includes a number of technical adjustments, detailed below, that are within the Directorate cash limit.

Allocation of £1.570m of iBCF Funding to reflect the approved iBCF programme, specifically with regards to the implementation of Shift Based Commissioning within domiciliary care services, to Provider Services.

Allocation of £0.750m of BCF Funding to reflect the approved BCF programme, specifically within the Care Act element of the BCF, to the Director of Public Health in relation to Advocacy contracts.

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Allocation of the £3.244m MTFP reprofiling fund agreed at Council in February 2018 as shown below.

Budget Line Savings Description Total

Older Adults Integrated Reablement 0.500

Older Adults Extra Care Housing 0.410

Older Adults Day Care Service Review 0.121

Younger Adults Day Care Service Review 0.894

AD Provider Services Day Care Service Review 0.577

Younger Adults Direct Payment Review 0.400

Younger Adults Learning Disability Service Review 0.342

TOTAL 3.244

Reprofiling of Cumbria Care modernisation programme due to the pace of delivery is required in 2018/19 only. The adjustment is between both the independent sector purchasing budgets (£2.110m), and personal contribution (£0.560m), budget lines and the Provider Services residential provision of care budget line, £2.670m.

The total of these technical adjustments set out is £8.234m.

The paragraphs below highlight the key areas of variance within the People forecast the detail of which can be found in Appendix 3 (1).

4.3 Demand Pressures within People are forecast to be £12.003m, but the majority are offset by the Promoting Independence Programme. Demand pressures are a significant financial risk to the Council both in terms of delivering a balanced budgetary outturn at year end and also with regards to having the resources, financial, staff and appropriate commissioned provision to meet this increased demand.

4.4 £1.127m is in relation to Direct Payments and Homecare. As at 30th June there were 284 children in receipt of a direct payment. Work is underway to review the process for looking at initial package assessments, and to review the appropriateness of existing packages whilst meeting care needs. The forecast does not currently assume the level of any reductions in cost as it is too early to quantify the potential value of any mitigation.

4.5 Demand related pressures due to Children Looked After (CLA) of £7.309m mainly due to pressures on placement costs, an increase in the number of Children Looked After compared to budget estimates, as well as payments for Special Guardianship Orders and adoption inter agency fees. The creation of a Regional Adoption Agency may mitigate some of these costs in future years but not for 2018/19. The CLA plan, which is looking at both

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practice in placing children, availability of placements, and review of placements is expected to reduce the number of children looked after in year and is expected to deliver a reduction in net expenditure of £0.736m.

4.6 Demand pressures within Older and Younger Adult Services totalling £3.567m are in the main a continuation of 2017/18 pressures which were mitigated last financial year with the use of one off funding streams such as backdated Ordinary Residence contributions and the recovery of Direct Payment balances.

4.7 MTFP Savings – there is a gross under-delivery of savings of £6.797m however at Council on 15th February 2018 additional funding, for one year only, of £3.244m was allocated to reflect the extent of the challenge facing the Council in delivering existing savings following a risk based assessment of the programme in setting the Council’s Budget requirement for 2018/19. It was agreed that this funding be used to re-profile the delivery of existing Adults MTFP savings over a longer period of time, the allocation of which can be seen in Table 4 in paragraph 4.1 above. This funding therefore reduces the under-delivery pressure to £3.553m

4.8 In addition the Promoting Independence programme, paragraphs 4.10 to 4.12, is forecast to provide further mitigation of £1.664m for the non-delivery of Adult savings in the current financial year. A further £0.050m mitigation with regards to the carers support contract saving is provided for from an underspend within the carers purchasing budget.

4.9 As can be seen in Table 4 the resulting net pressure of £1.839m is therefore primarily as a result of the non-delivery of Children Looked After Savings that are unable to be mitigated in 2018/19.

4.10 The Promoting Independence Programme is a transformational change programme which is in the early stages of development. It builds on a number of MTFP workstreams from previous years, ie promoting independence, high cost package review, day care and learning disability service reviews. The aim being to review demand within services, review the individual needs of existing service users as part of the statutory review function to ensure that provision is appropriate in maximising independence and also reviewing the contributions received from appropriate external funding organisations. There is a programme of review that will be undertaken at the midpoint to validate the original assumptions and estimates which form the basis of this budget monitoring estimate. This will be available at the end of September. If the programme is not achieving as anticipated then alternatives will need to be considered and preliminary planning across Directorates is underway.

4.11 The programme will require additional staff capacity to deliver reviews of c

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640 service users across People which is expected to deliver a reduction in the Council’s net expenditure on social care provision within the independent sector in the region of £22.000m per annum with a part year effect of £13.226m (£12.490m relating to adult services and £0.736m relating to the reduction in expenditure due to the CLA plan detailed in paragraph 10 of Appendix 3 (1).)

4.12 The additional staff resource required to deliver the programme is forecast to be £0.370m in the current financial year resulting in a forecast net reduction in expenditure of £12.120m.

4.13 Cabinet is requested to approve a one-off transfer to DSG reserves of £1.500m relating to legacy Health income that recognised that there were a number of children, who are now adults, for whom Health income could have been invoiced for at the time and this was assumed in agreeing the High Needs Recovery Plan in December 2016. Subsequently it is expected that through the promoting independence work and the ongoing Heath Income projects this additional £1.5m will be achieved and invoiced in 2018/19.

4.14 Corporate, Customer & Community Services – a net pressure of £0.139m

This is due mainly to a forecast overspend in Chief Legal Officer of £0.481m offset by underspends in Customer and Community Services (£0.045m) Organisational Change (£0.100m) and Strategic Commissioning (£0.197m).

4.15 Chief Legal Officer: The forecast for the service at Q1 is an overspend of £0.481m. This is due to £0.129m of Legal Services costs relating to Children Looked After, largely the expected volume and mix of cases, £0.159m in Legal Practice fee earners due to staffing pressures and £0.181 in Coroners relating to increases in Coroners salaries and continuing overspends in non-pay areas.

4.16 These are offset by underspends due to the holding of staff vacancies in Customer and Community Services (£0.045m), Organisational Change (£0.100m) and Strategic Commissioning (£0.197m), which is also partly due to an over of Premier Supplier Discount income (£0.126m). More information relating to the directorate position is set out in Appendix 3 (5).

4.17 Fire & Rescue Service – a net pressure of £0.028m

The position is due to forecast overspends of £0.295m on Transport and £0.166m on Supplies and Services which are partially offset by a forecast underspend of (£0.386m) in staffing costs due to the difficulty in recruiting to vacant on call firefighter posts.. More information relating to the directorate position is set out in Appendix 3 (3).

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5 The Directorate underspends are set out below:

5.1 Finance – a net underspend of (£1.917m)

This is mainly due to an underspend on the Treasury Management budget. Annual savings on the net interest budget of £1.741m are currently forecast for 2018/19. This saving is due to the Council’s tactical strategy to utilise internal reserves whilst available rather than externalise borrowing that has already been agreed by Council. More information relating to the directorate position is set out in Appendix 3 (6).

5.2 Economy & Infrastructure – a net underspend of (£0.066m)

The directorate has both areas of pressures and underspend that contribute to the current forecast position.

5.3 Highways & Transportation has a forecast pressure of £0.488m due to under recovery of Street works income £0.363m due in part to improved performance by utilities companies, a forecast pressure in Special Education Needs Transport of £0.401m due to more complex routes being required for users, a forecast pressure of £0.320m for the Windermere Ferry as a result of lost income and the insurance excess after the recent fire, these are partly offset by underspends across different budgets of (£0.596m).

Virement

Cabinet is asked to approve a virement of £0.500m, from the English National Concessionary Transport (ENCTS) underspend to support pressures wihin Special Educational Needs (SEND) Transport. This request follows outturn underspends in both 2016/17 and 2017/18. The Quarter 1 budget position has been prepared reflecting this virement.

5.4 Director has a forecast underspend of (£0.241m) which is predominantly as a result of vacancies remaining unfilled following reshaping within Directorate Support (£0.085m) along with an underspend within Facilities Management of (£0.106m) due to a reduction in costs associated with postage and stationery across the Council in year.

5.5 Capital Programme & Property is forecasting an underspend of (£0.386m). The material elements of which are within Property, predominantly as a result of in year unbudgeted rental income of (£0.200m) and additional income within Industrial Estates (£0.098m). This is alongside a forecast underspend of (£0.439m) on Corporate Landlord costs within Facilities Management, including a reduction in rents payable, and underspends on water rates and cleaning services. Partly offsetting these are forecast overspends on Capital Development, £0.084m, and Corporate

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Maintenance budget of £0.294m, which includes dilapidations costs.

5.6 These are partly offset by net pressures on other budges of £0.073m. More information relating to the directorate position is set out in Appendix 3 (2).

5.7 Local Committee - A forecast net underspend of (£0.435m)

As is usual at Q1, the Local Committees are presenting a forecast balanced budget at year end, this is consistent with previous years. There is however a forecast underspend of (£0.445m) relating to non-highways budgets and forecast accelerated expenditure of £0.010m relating to highways budgets. Local Committee over and underspends require a Council decision to be carried forward into future years. Further details are included in Appendix 3 (4).

5.8 The Other Corporate Items budget is forecast to underspend by (£1.149m)

An underspend of (£1.000m) on the inflation budget and of (£0.149m) on the historic central pensions budget. More information is set out in Appendix 3 (7).

5.9 The original inflation and contingency budget for 2018/19 was £13.988m; this is made up of £1.500m contingency budget and £12.488m for inflation. Inflation is allocated throughout the year as certainty of pay wards/ inflation rates are confirmed.

5.10 At the end of Q1 the majority of the directorate inflation requirements have been allocated with a number of risk areas remaining. For the Q1 position it has been assumed that an underspend of £1.000m is achievable from this budget. However, further underspends could be achieved as the financial year progresses. This budget is subject to tight restrictions.

5.11 In addition there is a General Contingency Budget of £1.500m. None of this budget has yet been allocated in 2018/19, however it is assumed in the forecast that this will be fully utilised.

6 Progress on 2018/19 Savings Propositions

6.1 Appendix 2 sets out the progress on delivering the original planned 2018/19 savings target of £34.568m; this is made up of £38.829m new savings for 2018/19 and a net reduction of £4.261m existing MTFP savings due to one off savings in 2017/18. A total of £32.613m (94.3%) is forecast to be delivered by 31st March 2019, giving a shortfall of £1.955m against this target.

6.2 For some of the savings not planned to be achieved in 2018/19 there are

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plans in place to deliver them in 2019/20, any permanent non delivery of savings will be identified in Q2 monitoring and if required included in the strategic planning process for the 2019/20 budget setting process. Details are included in Appendix 2.

7 General Reserve and Earmarked Balances

7.1 The General Fund Balance at the 1 April 2018 was £10.472m. If Cabinet approves to allocate the additional Business Rates S31 grants of £1.433m to the General Fund, this balance will increase to £11.905m. The forecast General Fund Balance for the 31st March 2019 is £8.936m. This is below the minimum level of General Reserve Balances target set by Council in February 2018 of £10m.

7.2 The balance on Council earmarked reserves (excluding DSG funded reserves) at the 30th June 2018 is £59.145m. Movements on Earmarked Reserves in Q1 are summarised in the table below and the detailed position on reserves is provided in Appendix 4.

Table 5 – Movements in Earmarked Reserves (excluding DSG funded reserves)

£mBalance at 1st April 2018 64.512Budgeted appropriations to reserves 2.046Budgeted appropriations from reserves (6.589) Subtotal 59.969Q1 Transfers to Reserves 2.697Q1 Transfers from Reserves (3.521)Balance at 31st March 2019 59.145

Note: The bulk of Earmarked Reserves relate to the Equal Pay and Modernisation Reserve (£4.906m), revenue grants received for future activities (£4.906m), Insurance (£12.284) and PFI schemes (£28.317m).

7.3 Directorate budgets have been adjusted for transfers to and from earmarked reserves in line with previously approved decisions for use of these reserves.

8 Capital Programme

Revisions to the Programme

8.1 The Council approved a capital programme for 2018/19 in February 2018 of £135.135m for Council delivered schemes and £2.000m for schemes where the Council is Accountable Body.

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8.2 The Capital Budget shows a net increase of £23.881m to £159.016m as a result of the 2017/18 Capital Programme outturn. This is made up of £24.377m slippage and accelerated spend of (£0.496m) brought forward into 2017/18 from 2018/19.

8.3 In June 2018 Council approved the following changes to the 2018/19 capital programme:

• Reprofiling of £12.433m into 2019/20 (£8.136m) and 2020/21 (£4.297m).

• Increase the Pot Hole Action scheme by £1.618m reflecting additional Pot hole Grant received for 2018/19 and include £0.640m for the Carlisle Southern Link Road.

• Increase the Strategic Asset Acquisition Fund by £0.326m funded from the additional capital receipts achieved in 2017/18.

• Include Healthy Pupil Grant of £0.368m.

• Bring forward accelerated spend on the Prioritised Capital Maintenance scheme of £0.360m from 2019/20 to 2018/19 in respect of installation of sprinklers at Sandside school as part of the new build project.

This resulted in a revised budget after June 2018 Council of £149.895m.

8.4 In September, 2018 Council approved the following changes to the 2018/19 capital programme:

• Reprofiling of (£10.546m) from 2018/19 to future years

• Increase the Lead Local Flood Authority Scheme by £0.153m to reflect additional grant funding.

• Include £1.491m for new schemes, £0.491m for the A592/A684 Road Safety Foundation Schemes and £1.000m for the BAE Car Park /18.

• Include accelerated spend from future years to 2018/19 of £0.345m

This resulted in a revised budget after September 2018 Council of £141.338m.

8.5 Cabinet is asked to approve that £0.359m of new schemes be added to the Capital Programme as detailed in paragraph 8.17. Furthermore Cabinet is asked to approve £0.484m of additional contributions/adjustments to schemes, as detailed in paragraph 8.18, to be included within the capital programme funded from specific grants and contributions.

8.6 Therefore the Capital Budget 2018/19 shows a net decrease of £7.714m,

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the majority of which have been reported to Council, from the position following June Council. This reflects a number of changes to the capital programme as outlined below, giving a revised Council capital programme of £142.181m, this excludes the Accountable Bodies programme. The changes are summarised in Table 6.

Table 6: Summary of Capital Budget Changes

Table 6: Capital Budget £m £m2018/19 Capital Programme approved in February 2018 135.1352017/18 Accelerated Spend (0.496)2017/18 Slippage 24.377Capital Programme April 2018 159.016Council June 2018 - re-profiling’s (12.433)Council June 2018 - additional schemes 2.952Council June 2018 - accelerated spend from 2019/20 0.360 Capital Programme Council June 2018 149.895Council Sept 2018 – reprofiling (10.546)Council Sept 2018 - additional schemes 1.491Council Sept 2018 - accelerated spend from 2019/20 0.345Council Sept 2018 – additional contributions 0.153Q1 Changes - Additional Contributions / Adjustments 0.484Q1 Changes - New Schemes 0.359Sub-total (7.714)Total Council Capital Programme 2018/19 142.181

Forecast Outturn Position

8.7 Appendix 5 details the original Capital Budget 2018/19 as approved in February 2018, together with a breakdown of the movement from the original approved programme, expenditure to date, forecast outturn and variances from the revised budget. This is summarised by the main elements of the Capital Programme in the table below.

Table 7 – Capital Programme Provisional Outturn 2018/19 (at 30th June 2018)

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Totals for Services

2018/19 Capital

Programme Per Approved

Budget February 2018

2017/18 Accelerated

Spend / Slippage

2018/19 changes -

Council June 2018

2018/19 changes -

Council Sept 2018

2018/19 changes Quarter 1

monitoring

Revised Budget

Total Spend as at 30th June 2018

Forecast Outturn as

at 31st March 2019

Variance (Outturn to

Budget)

Over / (Under) Spends

estimated at outturn

(Slippage) at outturn

Accelerated Expenditure

at outturn

£000 £000 £000 £000 £000 £000 £000 £000 £000 £000 £000 £000

PEOPLE - CHILDREN 31,864 8,857 (3,321) (3,697) 181 33,884 4,484 33,839 (45) (45) 0 0PEOPLE - ADULTS 10,714 3,794 0 (3,602) 150 11,056 2,202 11,056 0 0 0 0ECONOMY AND INFRASTRUCTURE 85,081 8,568 (5,800) (1,108) 272 87,013 13,807 87,013 0 0 0 0CORPORATE, CUSTOMER AND COMMUNITY 4,000 1,338 0 (150) 0 5,188 93 5,188 0 0 0 0FIRE AND RESCUE SERVICE 3,476 1,324 0 0 240 5,040 8 5,040 0 0 0 0TOTAL FOR CUMBRIA COUNTY COUNCIL 135,135 23,881 (9,121) (8,557) 843 142,181 20,595 142,136 (45) (45) 0 0

ACCOUNTABLE BODIES 2,000 2,750 0 0 0 4,750 0 4,750 0 0 0 0

Grand Total 137,135 26,631 (9,121) (8,557) 843 146,931 20,595 146,886 (45) (45) 0 0

Capital Programme 2018/19

Note: Accountable body expenditure is separate from the Council’s own capital programme

8.8 The forecast outturn expenditure for the 2018/19 Capital Programme is £142.386m. Overall there is a very small variance against the Council capital budget of £0.045m; the £142.431m spend compares to the £142.386m capital budget. This variance is made up of an underspend position of £0.045m.

8.9 The forecast underspend for the 2018/19 Capital Programme is £142.136m. Overall there is a small variance against the Council capital budget of £0.045m.; the £142.136m compares to the £142.181m capital budget. This variance is made up of an underspend of £0.045m on the Provision of Supported Accommodation for 16/17 year olds - Barrow. The scheme was completed below budget costs and therefore, the budget can be allocated elsewhere in the capital programme.

8.10 Since the outturn report in June this year works have started on site for the new Sandside Lodge School on the Ulverston Victoria High School site. Works are also progressing well for the new Campus Whitehaven, with completion still projected to be December 2018.

8.11 Works have now also been completed, on the early education for two year old nursery projects at Beckstone Primary School, Workington and Inglewood Infant School, Carlisle, with works due to be completed at St Mary’s Catholic Primary School, Whitehaven shortly. Furthermore, two new classrooms and a hall extension are now complete at Houghton School.

8.12 Within People (Adults) works are progressing well on site at Carlisle and Whitehaven new care homes with completion forecast ahead of schedule.

8.13 Within the LEP funding projects works have completed in Kendal on the Burton Road Phase 1 and Phase 2 cycleway works, and Maryport Station hub is now open.

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8.14 With regards to the highways portfolio, new welfare facilities have been installed at Skirsgill, Dalston and Millness. Works have now commenced on Jubilee Bridge in Barrow.

8.15 With regards to the National Productivity Investment Fund 2017/18 works have completed at Mintsfeet, Kendal junction with the traffic light signals operational and Hollins Lane in Burneside. Works have now commenced on Warwick Road in Carlisle and North Road, Barrow.

8.16 Work has also completed on the Lonsdale Building demolition in Carlisle.

New Schemes

8.17 It is requested £0.359m of new schemes is added to the capital programme for 2018/19.

Table 8 – New Schemes

2018/19 £mPooley Bridge Bus Stop Infrastructure This is a package of improvements to coach and bus infrastructure in Pooley Bridge, including improvements to bus stops, laybys and passenger waiting areas. This is funded from RDPE’s European Agricultural Fund for Rural Development (EAFRD) Growth Programme.

0.209

Integrated Care Community (NHS Funded)This project will be funded by the NHS and is to remodel internally some space at pilot care homes to more appropriate accommodation.

0.150

Total 0.359

Additional contributions/adjustments to schemes

8.18 It is requested that £0.484m of additional contributions and adjustments to schemes be approved as detailed overleaf.

Table 9 – additional contributions and adjustments to schemes

£mEconomy and InfrastructureLEP - Kendal InfrastructureThe increase in budget is to reflect secured developer contributions.

0.282

Leachate Management – various closed landfill sitesRevenue contribution to finance the South Walney Coastal Feasibility Study.

0.035

CNDR ancillary schemesAdjustment to recognise that the budget has been used to part fund the

(0.277)

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£640k Carlisle Southern Link Road budget which was added to the Capital Programme in June 2018.Infrastructure Deficit Support to District CouncilsRequest to increase the budget to include contributions from partners to the following projects: Carlisle Station (£25k from Carlisle City Council and £25k from Cumbria LEP). Carlisle Southern Link Road (£15k from Carlisle City Council). Kendal Transport Improvement Scheme (£20k SLDC, £10k Kendal Town Council and £20k revenue contribution from South Lakeland Local Committee). Carlisle Station Gateway £25k revenue contribution from the Property Development Fund.

0.140

LEP - South UlverstonLEP externally funded budget reduced in 2018/19 and 2019/20 to reflect the LEP decision in June 18 not to proceed with the Lonsdale Terrace Junction project.

(0.090)

Total Additional Contribution / Adjustments (Economy and Infrastructure)

0.090

People - Children’s

Early Education for two year oldsRequest to increase the budget to include Delivery Support Grant received March 2018 (£10k) and Revenue contributions received in 2017/18 (£144k)

0.154

Total Additional Contribution / Adjustments (People – Children’s) 0.154

Fire and Rescue

Fire Vehicle ReplacementRequest to include Revenue contributions received in 2017/18.

0.240

Total Additional Contribution / Adjustments (Fire and Rescue) 0.240

Total Additional Contribution / Adjustments 0.484

Capital Receipts

8.19 In the original 2018/19 budget, agreed by Council in February 2018, it was estimated that £2.500m of capital receipts would be received during the year, all of which is expected to be used as part of the Council’s Capitalisation Flexibility proposals.

8.20 The Council’s efficiency strategy approved by Cabinet in October 2016 set out how the Council proposes to use the Capitalisation Flexibility Proposals. These proposals allow the Council to identify specific capital assets that can be sold to provide additional capital receipts that can then fund revenue expenditure where it is shown that the investment in the up-front revenue costs will generate future ongoing revenue savings. These capital receipts can also be used to transform service delivery to reduce revenue costs or to improve the quality of service delivery in future years. The original estimate for 2018/19 in February 2018 was £2.500m. These assets have been identified as being available to be used to finance up- front revenue costs to support savings as part of the approved

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capitalisation flexibility which can supplement the Council’s Modernisation Reserve. Capital receipts from sales completed to the end of Q1 are £0.016m. A further £2.484m of sales is expected during 2018/19,£1.397m was carried forward into 2018/19 to give a capital budget of £3.897m. This was included in the capital programme for 2018/19 approved by Council in June 18. No eligible expenditure to date has been incurred and any unspent balances can be carried forward to 31st March 2022.

9 Accountable Bodies

9.1 Accountable Body expenditure does not result in an increase in the value of assets owned by the Council, but it is included in this report for completeness and to support the Council’s monitoring responsibilities as Accountable Body.

9.2 Council approved an Accountable Body capital programme for 2018/19 in February 2018 of £2.000m. Council in June agreed an Accountable Body programme with a net increase of £2.750m to £4.750m. There have been no further changes to the Accountable Body capital programme in Q1.

10 Treasury Management

10.1 The Treasury Management function supports the overall objectives and priorities of the Council, by the use of effective treasury management techniques. The aim is to manage risks and ensure there are sufficient cash resources and long-term borrowings to finance the Council’s activities and capital investment programme whilst balancing this to the secondary objective of trying to minimise the costs of the net interest budget.

10.2 With long term borrowing of £347.2m (£337.2m at 31st March 2018) and investments of £111.3m (£128.1m at March) as at 30th June, there is a significant net interest cost included in the Council’s budget. Successful treasury management reduces the cost of these transactions and helps to relieve the pressure on the revenue budget.

10.3 The Council undertook £50m of new borrowing at the end of March 2018 and a further £10m at the end of May 2018 in accordance with the Treasury Management Strategy. It is expected that the Council will undertake further long term borrowing during 2018/19 in accordance with the 2018/19 Treasury Management Strategy.

10.4 Annual savings on the net interest budget of £1.741m are currently forecast for 2018/19. This reported saving is due to the Council’s new external borrowing being at a lower interest rate than previous debt releasing

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interest savings. This savings is a permanent saving and has been included as part of the strategic planning proposals for 2019/20.

10.5 The annual position in respect to debt recovery is reported to the Audit and Assurance Committee in September as part of the year end reporting routines and this will report on any significant debts (>£10,000) that have been written off for accounts purposes. The 2017/18 debt recovery was reported to Audit and Assurance Committee on the 27th July 2018.

11 Options Considered and Risks Identified

11.1 Cabinet may decide to make alternative recommendations after taking advice from the Director of Finance (s151 officer).

12 Reasons for the Recommendation / Key Benefits

12.1 In accordance with the Constitution the recommendations have been made to Cabinet to enable decisions to be made to enable the preparation of the statutory financial statements of the Council.

13 Financial - What Resources will be required and how will it be Funded?

13.1 The resource and value for money implications are covered throughout this report.

14 Legal Aspects – What needs to be considered?

14.1 Cabinet is responsible for the implementation of the budget approved by Council.

14.2 Cabinet is authorised to approve transfers from an earmarked reserve having regard to the budget and financial strategies in the Policy Framework and provided it is satisfied that any amendment to a revenue budget can be offset by additional income, contingencies, earmarked and general reserves in the revenue budget.

14.3 Cabinet is authorised to approve new capital schemes up to £500,000.

14.4 Proposals to reprofile expenditure on approved capital schemes across financial years must be referred to full Council.

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15 Council Plan Priority – How do the Proposals Contribute to the Delivery of the Council’s Stated Objectives?

15.1 The report links to the strategic planning framework for Cumbria, including supporting the delivery of the Council Plan 2018-22 outcomes agreed by Council in February 2018, which are:

a. People in Cumbria are healthy and safe;

b. Places in Cumbria are well connected and thriving; and

c. The economy in Cumbria is growing and benefits everyone

15.2 The effective management of financial resources is a requirement for making informed decisions when planning and delivering Council services.

16 What is the Impact of the Decision on Health Inequalities and Equality and Diversity Issues?

16.1 Not Applicable

17 Further Information & Background Documents

Appendix 1 – Net Revenue Budget 2018/19 – Movements in Year Appendix 2 – Summary of Progress on 2018/19 Savings PropositionsAppendix 3 – Additional Information from Directorates

Appendix 3 (1) – People Appendix 3 (2) – Economy & InfrastructureAppendix 3 (3) – Fire & Rescue ServicesAppendix 3 (4) – Local CommitteesAppendix 3 (5) – Corporate, Customer & Community ServicesAppendix 3 (6) – Finance Appendix 3 (7) – Other ItemsAppendix 3 (8) – Accountable Bodies

Appendix 4 – Summary of Earmarked Reserves 2018/19Appendix 5 – Capital Programme 2018/19

Report Author:Julie Crellin, Director of Finance (S151 Officer)

Contacts:

Paul Turney, Senior Manager – Accountancy (Deputy S151 Officer), paul.turney@cumbria.gov.uk, 01228 221514,

Pauline Cameron, Group Finance Manager, pauline.cameron@cumbria.gov.uk, 01228 226256

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Appendix 3(1)

Appendix 3 (1) – Additional Information

People Budget Monitoring Report as at 30th June 2018

1. The People Directorate is forecast is to overspend by (£5.933m) as shown in the table below.

NET EXPENDITURE Revised Budget

Year to Date

Budget

Year to Date

Actual

Annual Forecast

Forecast Variance

Forecast Variance

Previous Quarter

Change in Variance

£000 £000 £000 £000 £000 % £000 £000

Director & Support 171 18 64 264 93 54% 0 93

Schools & Learning - School & Nursery Budgets 0 8,275 -59,310 0 0 0% 0 0 - Inclusive Learning 6,211 1,769 2,238 7,548 1,337 22% 0 1,337 - Learning Improvement 2,656 942 509 2,495 -161 -6% 0 -161 - Other Early Help & Learning 464 162 15 450 -14 -3% 0 -14

9,331 11,148 -56,548 10,493 1,162 11% 0 1,162

Early Help 11,119 3,643 1,564 11,074 -45 0% 0 -45

Learning & Skills - Traded Services -80 -2 190 -70 10 -12% 0 10 - Learning & Development 2,863 603 -74 2,858 -5 0% 0 -5 - Community Education -117 47 -709 -115 2 -2% 0 2

2,666 648 -593 2,673 7 0% 0 7

Children & Families - Children Looked After 28,692 7,162 10,661 36,074 7,382 26% 0 7,382 - Child Protection 8,409 2,069 2,354 9,056 647 8% 0 647 - Child & Family Support 4,953 1,306 1,354 6,266 1,313 27% 0 1,313 - Other Children & Families 1,341 262 142 1,072 -269 -20% 0 -269

43,395 10,799 14,511 52,468 9,073 17% 0 9,073

Other Directorate Budgets 2,751 688 687 3,188 437 16% 0 437

AD Adults - Older Adults 82,211 20,553 20,306 83,331 1,120 1% 0 1,120 - Younger Adults 48,557 12,139 15,478 41,848 -6,709 -14% 0 -6,709 - Other Costs 17,688 4,422 4,864 18,127 439 2% 0 439 - Personal Contributions -35,013 -8,753 -7,825 -34,920 93 0% 0 93 - Better Care Fund -39,247 -9,812 -11,263 -39,267 -20 0% 0 -20

74,196 18,549 21,560 69,119 -5,077 -7% -5,077

AD Integration 710 178 125 763 53 7% 0 53

AD Provider Services - CC Older Adults 23,182 5,796 5,551 23,093 -89 0% 0 -89 - CC Younger Adults 10,813 2,703 2,491 10,774 -39 0% 0 -39 - Childrens 0 0 0 0 0 0% 0 0 - Community Equipment 3,013 753 698 3,392 379 13% 0 379 - Management Costs 929 232 95 908 -21 -2% 0 -21

37,937 9,484 8,835 38,167 230 1% 0 230

Director of Public Health 1,613 403 221 1,613 0 0% 0 0

Capital Charges 8,149 2,037 0 8,149 0 0% 0 0

Total People 192,038 57,595 -9,574 197,971 5,933 3% 0 5,933

47

Appendix 3(1)

2. The budget includes a number of technical adjustments, detailed below, that are within the Directorate cash limit.

Allocation of £1.570m of iBCF Funding to reflect the approved iBCF programme, specifically with regards to the implementation of Shift Based Commissioning within domiciliary care services, to Provider Services.

Allocation of £0.750m of BCF Funding to reflect the approved BCF programme, specifically within the Care Act element of the BCF, to the Director of Public Health in relation to Advocacy contracts.

Allocation of the £3.244m MTFP reprofiling fund agreed at Council in February 2018 as shown below.

Budget Line Savings Description Total

Older Adults Integrated Reablement 0.500

Older Adults Extra Care Housing 0.410

Older Adults Day Care Service Review 0.121

Younger Adults Day Care Service Review 0.894

AD Provider Services Day Care Service Review 0.577

Younger Adults Direct Payment Review 0.400

Younger Adults Learning Disability Service Review 0.342

TOTAL 3.244

Reprofiling of Cumbria Care modernisation programme due to the pace of delivery is required in 2018/19 only. The adjustment is between both the independent sector purchasing budgets (£2.110m), and personal contribution (£0.560m), budget lines and the Provider Services residential provision of care budget line, £2.670m.

3. In addition Cabinet is requested to approve a one-off transfer to DSG reserves of £1.5m relating to legacy Health income that recognised that there were a number of children, who are now adults, for whom Health income could have been invoiced for at the time and this was assumed in agreeing the High Needs Recovery Plan in December 2016. Subsequently it is expected that through the Promoting Independence Programme and the ongoing Heath Income projects this additional £1.5m will be achieved and invoiced in 2018/19.

4. Variances within the forecast outturn can be described in one of 3 ways with plans in place to manage each of these key areas.

Demand pressures Delivery of Medium Term Financial Plan savings, including the allocation of the

£3.244m of reprofiling budget agreed by Council in February 2018. Other (smaller) variances across a range of service areas

The table below shows the total forecast outturn of (£5.933m) against these three headings.

48

Appendix 3(1)

Budget Line Description Initial Variance Reprofile

Promoting Independ-

enceTotals

Demand Pressures & Management £m £m £m £mInclusive Learning Direct payments and homecare 1.127 1.127Children & Families Children Looked After 7.309 -0.736 6.573Older Adults Older Adults 1.420 -0.520 0.900Younger Adults Learning Disability 2.731 -7.136 -4.405Younger Adults Mental Health 0.589 -0.420 0.169Younger Adults Other Younger Adults -1.173 -1.250 -2.423

Demand pressures & management total 12.003 0.000 -10.062 1.941

MTFP savings where delivery is not forecastChildren & Families Children Looked After 1.848 1.848Older Adults Integrated Reablement 0.500 -0.500 0.000Older Adults Extra Care Housing 0.410 -0.410 0.000Older Adults Day Care Service Review 0.121 -0.121 0.000Younger Adults Day Care Service Review 0.894 -0.894 0.000AD Provider Services Day Care Service Review 0.577 -0.577 0.000Older Adults Direct Payment Review 0.400 -0.400 0.000Younger Adults Direct Payment Review 0.400 -0.400 0.000Younger Adults Learning Disability Service Review 1.606 -0.342 -1.264 0.000

sub-total 6.756 -3.244 -1.664 1.848

Other Services Carers Support contract, contract efficiencies 0.050 -0.050 0.000

Older Adults Cumbria Care Modernisation -2.110 2.110 0.000Personal Contributions Cumbria Care Modernisation -0.560 0.560 0.000AD Provider Services Cumbria Care Modernisation 2.661 -2.670 -0.009

sub-total -0.009 0.000 0.000 -0.009

MTFP savings total 6.797 -3.294 -1.664 1.839

Other VariancesVarious Children's Services Additional Cost of EPWs 0.640 0.640Various Children's Services Children's employee costs 0.539 0.539Younger Adults High Needs EMR 1.500 -1.500 0.000Other Services Adults Social Care employee costs 0.157 0.370 0.527Various Adult Service Smaller variances across various services 0.397 0.050 0.447

Other variances total 3.233 0.050 -1.130 2.153

People Total 22.033 -3.244 -12.856 5.933

Demand Pressures and Management

5. Demand pressures for Adults and Children’s are forecast to be £12.003m and consist of the following variances. Demand related pressures are a significant risk to the Council in terms of delivering a balanced budget outturn at year end. Therefore, a Promoting Independence Programme is being put in place to ensure that provision is appropriate and targets the most vulnerable.

49

Appendix 3(1)

Inclusive Learning

6. An overspend of £1.127m is forecast in relation to Direct Payments and Homecare. As at 30th June there were 284 children in receipt of a direct payment. Work is underway to review the process for looking at initial package assessments, and to review the appropriateness of existing packages whilst meeting the care needs. The forecast does not currently assume the level of any reductions in cost as it is too early to quantify the potential value of savings.

Children Looked After

7. The total pressure on CLA is £9.157m made up of £7.309m of demand related pressures and £1.848m of MTFP savings forecast as not being met.

8. Included in the £7.309m demand related pressures, £7.249m relates to package costs, the remainder relates to non CLA placement pressure, SGO payments, and adoption inter agency fees, offset by forecast underspends on pathways payments and CLA homes maintenance. Between April and June the number of CLA has increased from 675 to 690 as shown in the table below

9. Demand related pressures due to Children Looked After (CLA) total £7.309m and are mainly due to pressures on placement costs, as well as payments for Special Guardianship Orders (SGO) (£0.521m) and adoption inter agency fees (£0.777m). Adoption grants totalling £0.860m were previously received by the authority but the grant has now ceased. The creation of a Regional Adoption Agency may mitigate some of these costs in future years but not for 2018/19. The CLA plan, which is looking at both practice in placing children, availability of placements, and review of placements is expected to reduce the number of children looked after in year.

Older Adults

10. Demand Pressures in 2018/19 for Older Adults are forecast at £1.420m which reflects the full year impact of increased demand for services during 2017/18 together with increases forecast in the current financial year.

11. Of the total quoted at paragraph 10 above new demand pressures and forecast growth are forecast to total £0.771m which includes an increase to both residential

50

Appendix 3(1)

placements and support at home hours with a reduction in the number and total value of Direct Payments.

12. The balance of £0.649m relates to pressures arising last financial year which were largely mitigated in 2017/18 through one off mitigations such as the review of Direct Payments and underspends within the Better Care Fund.

Younger Adults

13. Demand Pressures in 2018/19 for Younger Adults - Learning Disability are forecast at £2.731m as detailed in the table below which as with Older Adults reflects the full year impact of increased demand for services during 2017/18 together with increases forecast in the current financial year.

14. Of the total quoted at paragraph 12 above new demand pressures and forecast growth are forecast to total £0.594m which as with Older Adults includes an increase to both residential placements and support at home hours with a reduction in the number and total value of Direct Payments

15. Pressures arising last financial year of £5.597m, largely mitigated in 2017/18 through one off mitigations such as the review of Direct Payments and securing contributions from responsible funding organisations, were funded to the value of £3.460m by Council in February 2018 as a result of pressures associated with the Transforming Care programme.

16. The Younger Adults Mental Health budget overspend is forecast to be £0.589m. This largely reflects the full year effect of growth to Support at Home hours reported during 2017/18.

17. These pressures are in part offset by an under spend against other younger adults services of (£1.173m) which has arisen due to younger adults progressing into older adult services.

Promoting Independence Programme Children

18. The pressures discussed above relating to CLA are to be mitigated by a cost reduction of £0.736m which will be delivered through the Promoting Independence Programme. Recruitment of Family Support Workers is due to commence imminently as the first phase of this programme, which will allow review of existing placements, and prevention of new placements through working with children on the edge of care.

19. In People (Children) Promoting Independence Programme it is anticipated that additional staff capacity to deliver c 110 reviews over 3 months will be required at a cost of £0.050m which will be funded from the savings delivered. It is expected that full year savings of £3.000m can be achieved with part year savings of £0.736m to be delivered in the current financial year.

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Appendix 3(1)

Promoting Independence Programme Adults

20. Demand pressures are a significant financial risk to the Council both in terms of delivering a balanced budgetary outturn at year end and also with regards to having the resources, financial and staff, to meet this increased demand.

21. This area is therefore the focus of a transformational change programme which is in the early stages of development and currently referred to as the Promoting Independence Programme. The aim being to review demand within services, review the individual needs of existing service users as part of the statutory review function to ensure that provision is appropriate in maximising independence and also reviewing the contributions received from appropriate external funding organisations.

22. A strength based approach will be adopted in delivering the Promoting Independence Programme focussing on the core principles contained within the Council Plan of managing demand, focussing on the most vulnerable and supporting communities to thrive.

23. The programme will require additional staff capacity to deliver the c 530 reviews of adult service users which is expected to deliver a reduction in net expenditure on social care provision within the independent sector in the region of £19.000m per annum with a part year effect of £10.990m. An additional £1.500m will be delivered in relation to the High Needs EMR described in paragraph 3 bringing the total to £12.490m.

24. The staff team required to deliver these reviews over a period of 3 months consist of 14 social workers, 6 social care assistants, 4 occupational therapists and 2 team leaders. The expected additional cost to the Council of these staff is £0.370m which is to be funded from the savings delivered.

Medium Term Financial Plan savings

25. Within the Medium Term Financial Plan are a number of savings plans with delivery against the financial targets being monitored on a monthly basis.

26. At Council on 15th February 2018 additional funding, for one year only, of £3.244m was allocated to reflect the extent of the challenge facing the Council in delivering existing savings. It was agreed that this funding be used to re-profile the delivery of existing Adults MTFP savings over a longer period of time.

27. The table at paragraph 3 details how this funding is proposed to be allocated with a technical adjustment having been made to reflect this.

52

Appendix 3(1)

28. In addition the previously described Promoting Independence Programme will also mitigate forecast under delivery against the following MTFP savings schemes, also shown in the table on page 3.

MTFP Saving £mDirect Payment Review 0.400Learning Disability Service Review 1.264

1.664

29. The Cumbria Care modernisation programme continues with the two new residential homes forecast to open towards the end of the current financial year. Reprofiling of Cumbria Care modernisation programme due to the pace of delivery is required in 2018/19 only. The adjustment is between both the independent sector purchasing budgets (£2.110m), and personal contribution (£0.560m), budget lines and the Provider Services residential provision of care budget line, £2.670m.

30. The budget approved by Council in February 2018 included savings related to Children Looked After of £3.182m. As at 31st May 2018 only £1.334m is forecast to be delivered resulting in a pressure of £1.848m. The CLA plan is in place and work is progressing to review packages and practice. Further savings may be achievable but are not included in the forecast at this stage until there is greater certainty about their delivery.

31. Also included in the MTFP were spending pressures of £7.657m relating to the international recruitment of social workers (£0.500m), uplift of CCC foster carers fees (£1.157m) and the estimated impact of the current CLA (£6.000m). The forecast assumes that the additional funding will be spent in full.

Public Health and Ways to Welfare Earmarked Reserves

32. Public Health pressures in relation to budget increases to the 2018/19 Prevention, LA Role in Health Protection (re flu vaccines) and sexual Health Budgets (national specification for delivering mandated emergency hormonal contraception services) have been mitigated by a planned draw down from the Public Health Reserve as outlined below.

Balance of PH Reserve at 01/04/18

Planned Drawdown

Forecast Balance as at 31/03/2019

£0.694m (£0.173m) £0.521m

53

Appendix 3(1)

33. £0.185m has been drawn down from the Ways to Welfare reserve in the base budget leaving a balance on that reserve at 1st April of £0.148m. The forecast in relation to the £0.185m budget as at Q1 is to be fully spent, however any under spend at the end of 2018/19 will be returned to the earmarked reserve, and added to the remaining balance, a breakdown of which is shown in the table below.

Balance of WTW Reserve at 01/04/18

Planned Drawdown

Forecast Balance as at 31/03/2019

£0.148 £0.000m £0.148m

Dedicated Schools Grant

34. As at 1st April 2018 the Dedicated Schools Grant (DSG) had an accumulated deficit of £3.553m excluding balances held within individual schools. As at 30th June 2018 the forecast deficit is £5.741m which represents an increase of £2.188m.

35. The deficit on the High Needs block is forecast to increase by £2.301m to £7.141m as at 31st March 2019. This is due to ongoing levels of expenditure greater than anticipated in the High Needs recovery plan, including expenditure on independent day placements (£4.982m forecast outturn) and residential provision (£4.436m forecast outturn). A working group has been established by School Forum to look at options that can be worked up into proposals for future savings.

36. The table below shows the deficit position on both the central DSG and High Needs block.

37. From 2018/19 outturn statements, any local authority that holds a deficit of the DSG greater than 1.00% will be required to submit a recovery plan to ESFA. This will be mandatory under the conditions of the grant. Cumbria’s current forecast is for a deficit of 1.62% with the DfE due to consult with local authorities about the details of the reporting requirements in the autumn of 2018. Schools Forum and Cabinet will be updated accordingly.

Central DSG High Needs Block

Total

DSG Balance at 01 April 2018 £1.289m (£4.840m) (£3.553m)

Forecast (over)/ under spends on DSG in 2018-19 £0.114m (£2.301m) (£2.188m)

DSG Balance as at 31 March 2019 £1.401m (£7.141m) (£5.741m)

54

Appendix 3(1)

School Balances

38. Individual maintained schools can carry forward their balance (either surplus or deficit) each financial year. As at 31st March 2018 the net surplus balances on maintained schools was £1.686m which consists of surplus balances of £8.067m and deficit balances of £6.381m. The net surplus balance position represented a reduction of £1.599m (49%) from the position at 31st March 2017. As not all school budget plans for 2018/19 have been received it is too early to analyse the likely net position for this financial year.

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Appendix 3(2)

Appendix 3 (2) – Additional Information

Economy and Infrastructure Budget Monitoring ReportAt 30th June 2018

The provisional forecast outturn position as at 30th June 2018 is summarised in the table below:

NET EXPENDITUREOriginal Budget

Revised Budget

Year to Date Budget

Year to Date Actual

Outturn Variance Variance Variance P02 Change in Variance

£000 £000 £000 £000 £000 £000 % £000 £0002,938 Director 2,962 704 616 2,722 (241) (8.1%) 0 (241)

43,520 Highways & Transportation 41,998 9,969 8,046 42,486 488 1.2% 0 48840,078 Economy & Environment 41,329 12,388 8,520 41,396 67 0.2% 0 6714,046 Capital Programme & Property 14,153 4,253 2,395 13,768 (386) (2.7%) 0 (386)

0 Planning Performance Agreements (PPAs) 0 0 55 0 0 0.0% 0 021,867 Capital Charges and Insurance 21,867 0 0 21,867 0 0.0% 0 0

0 Adverse Weather Costs 0 0 (80) 51 51 0.0% 0 51(170) Port of Workington (160) (40) (63) (126) 34 (21.2%) 0 34

0 Connecting Cumbria 0 0 20 0 0 0.0% 0 0320 Carbon Tax 320 0 (246) 241 (79) (24.8%) 0 (79)

(338) Cross cutting (338) 0 0 (338) 0 0.0% 0 0122,261 Total 122,131 27,275 19,263 122,065 (66) (0.1%) 0 (66)

The Economy and Infrastructure Directorate at 30th June is forecasting an outturn position of £122.065m, giving an underspend of (£0.066m).

The directorate has both areas of pressure and underspend that contribute to the current forecast position:-

Key Pressures:

Highways & TransportationThe service is forecasting an overspend of £0.488m, this is after the virements and technical adjustments below, the material elements of the overspend are:

- Streetworks is forecasting an under recovery of income of £0.363m, partly due to the improved standard of work undertaken by utilities providers, and the resulting decline in the level of chargeable failed inspections. The service continues to review how the pressure can be mitigated going forward.

- Special Educational Needs (SEND) Transport is forecast to overspend by £0.401m due to commissioning more complex and therefore costly routes to meet service user needs, this takes account of the virement request set out in the report.

- There is an overspend forecast on Windermere Ferry of £0.320m predominantly as a result of an expected loss of income and insurance excess following the recent fire.

The forecast position of £0.401m overspend for SEND Transport assumes that a virement of £0.500m, from the English National Concessionary Transport (ENCTS) underspend, is approved by Cabinet. This request follows outturn underspends in both 2016/17 and 2017/18. In addition, the Executive Director has approved within their delegation a virement within the same budget book

57

Appendix 3(2)

line, of £0.250m from Other Transport Services to SEND, both of these partly mitigate the underlying £1.1m pressure on SEND transport.

The Executive Director has also approved a permanent virement of £0.200m from the Road Safety Partnership to Streetworks, the forecast position for Streetworks reflects this and an underspend on Road Safety Partnership of (£0.132m) remains.

Economy & EnvironmentThe forecast position for the service is an overspend of £0.067m. The material element of this is £0.073m against Waste, which includes a forecast for the remaining SRF pressure of £0.400m, after £1.400m was funded as part of the 2018/19 MTFP. However, this is expected to be mitigated in part, by underspends relating to Kendal Fell along with additional Commercial waste income. There is also a forecast underspend of (£0.077m) on Regulatory Services largely due to the one off release of a prior year provision that is no longer required. This is offset in part by a forecast overspend against Development Management as a result of a reduction in income.

Within Parking there is a forecast underspend of (£0.036m) due to higher income levels expected to be achieved along with a surplus of (£0.058m) that has been carried forward into 2018/19. The forecast assumes that any surplus will transfer to earmarked reserves for future utilisation within Highways.

Cross cutting savingsThe directorate has £0.338m of cross cutting savings to deliver in year, £0.300m of which relate to the Integrated Transport Planning saving proposal. The forecast currently assumes that these will be met; however the ongoing demand and pressure on SEND transport could put this at risk.

Adverse Weather costsThere were a number of adverse weather events in 2017/18 and due to the recent heatwave; £0.051m is currently forecast for 2018/19, this relates to road dusting. With the warm weather predicted to continue beyond Q1, the service will continue to review its response. There is also the potential for further costs as the year progresses, as the risk from future extreme weather events remains.

Port of WorkingtonThe Port of Workington has a forecast overspend of £0.034m, which is after allowing for the contribution to central costs of £0.160m.

As with prior years the forecast overspend is due to income pressures. Any surplus or deficit generated would be transferred to/from reserves, however due to prior year shortfalls there is no longer a specific reserve held to mitigate any forecast overspend.

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Appendix 3(2)

Key underspends:Offsetting the key pressures above, the Economy and Infrastructure Directorate has a number of areas where the forecast outturn position is an underspend or there is additional income compared to budget for 2018/19, as stated below.

DirectorThere is a forecast underspend of (£0.241m) which is predominantly as a result of vacancies remaining unfilled following reshaping within Directorate Support (£0.085m) along with an underspend within Facilities Management of (£0.106m) due to a reduction in costs associated with postage and stationery across the Council in year.

Capital Programme & PropertyCapital Programme and Property is forecasting an underspend of (£0.386m). The material elements of which are within Property, predominantly as a result of in year unbudgeted rental income of (£0.200m) and additional income within Industrial Estates (£0.098m). This is alongside a forecast underspend of (£0.439m) on Corporate Landlord costs within Facilities Management, which includes a reduction in rents payable (£0.054m), along with underspends on water rates (£0.112m) and cleaning services (£0.230m).

Partly offsetting these is a forecast overspend on Capital Development of £0.084m, along with an overspend on the Corporate Maintenance budget of £0.294m, which includes dilapidations costs.

The position assumes that a virement for this year only of £0.442m from Corporate Landlord to Capital Development and Property, is approved by Cabinet.

Carbon TaxAn underspend of (£0.079m) has been identified for Carbon Tax, which is largely due to a managed reduction of the Council’s property estate i.e. fewer properties and the impact of the more energy efficient street lighting replacement programme.

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Appendix 3(3)

Appendix 3 (3) – Additional Information

Cumbria Fire and Rescue Service Budget Monitoring Report as at 30th June 2018

Original Budget

NET EXPENDITURE

Revised Budget

Year to date

Budget

Quarter 1 forecast

Quarter 1 Variance

Forecast Variance

Previous Variance

Change in Variance

£000 £000 £000 £000 £000 % £000 £00015,318 Fire & Rescue Service 15,736 3,806 15,764 28 0.2% 0 281,509 Capital Charges & Insurance 1,509 252 1,509 0 0.0% 0 0

16,827 Total 17,245 4,057 17,273 28 0.2% 0 28

The budget for Cumbria Fire and Rescue Service approved at February 2018 Council was £16.827m. This has since increased by £0.416m, the material element, £0.379m, being due to inflation with the balance £0.037m as a result of changes to the ELT structure within the Council. The resulting budget is £17.245m at 30th June 2018.

The forecast outturn at Quarter 1 is £17.273m to give an overspend of £0.028m.

The position is due to forecast overspends of £0.295m on Transport and £0.166m on Supplies and Services however, these are partially offset by a forecast underspend of (£0.386m) in staffing costs.

The staffing underspend reflects the difficulty in recruiting to on-call firefighter vacancies but proactive steps are being taken to fill these posts and this is reflected in the current forecast, this is slightly offset by a staffing overspend in the Resilience Unit following a budget reduction due to a voluntary redundancy, this position will be closely monitored.

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Appendix 3 (4)

Appendix 3 (4) – Additional Information

Local Committees Budget Monitoring Report At 30th June 2018

The forecast outturn position is summarised in the table below and detailed in the appendix.

Original Budget

Revised Budget

Year to Date Budget

Year to Date Actual

Annual Forecast

Forecast Variance

Forecast Variance

Variance Reported

Change in Variance

£000 £000 £000 £000 £000 £000 % £000 £000

Highways

5,845 Highways Maintenance - Basic Allocation 5,863 1,258 1,104 5,873 10 0.2% 0 10

Non Highways 0 0

1,116Discretionary Budget, incorporating General Provision, School Crossing Patrols and 0-19 Services

1,730 892 289 1,373 (357) (20.6%) 0 (357)

0 Individual Local Member Schemes 64 64 12 55 (9) (14.8%) 0 (9)

614Neighbourhood Development-Area Support Teams 614 614 614 614 0 0.0% 0 0

317 Money Advice - CAB 317 317 203 317 0 0.0% 0 0

44 Miscellaneous other 137 107 9 59 (78) (57.2%) 0 (78)

2,091 Sub Total Non Highways 2,862 1,994 1,127 2,417 (445) (15.6%) 0 (445)

Total Highways & Non Highways 8,725 3,252 2,231 8,290 (435) (5.0%) 0 (435)

Variance assumed to be carried forward 0 0 0 435 435 0.0% 0 435

7,936 Total Local Committees 8,725 3,252 2,231 8,725 0 0.0% 0 0

The original budget for Local Committees at 1st April 2018 was £7.936m, the revised budget of £8.725m has been updated to reflect the budget carried forward from 2017/18.

At this stage of the financial year it is anticipated that all budgets will be fully spent.

The current forecast under and overspends are summarised below by key area of spend and local committee.

Highways Maintenance

Analysis of Variance £000'sHIGHWAYS OVERSPENDALLERDALE LOCAL COMMITTEE (0)BARROW LOCAL COMMITTEE 3 CARLISLE LOCAL COMMITTEE 0 COPELAND LOCAL COMMITTEE 0 EDEN LOCAL COMMITTEE 7 STH LAKELAND LOCAL COMMITTEE 0

TOTAL 10

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Appendix 3 (4)

Discretionary Budget

Analysis of Variance £000's Variances (over £5K) £000'sDiscretionary Budget NEIGHBOURHOOD FORUMS (82)GENERAL GRANTS (1) Allerdale 5 NEIGHBOURHOOD FORUMS (82) Barrow (14)0 - 19 SERVICES (135) Carlisle (56)SCHOOL CROSSING PATROLS (29) Copeland 0 ECONOMIC INITIATIVES 0 Eden (17)LOCAL COMM GENERAL PROVISION (143) South Lakes 0 INTEGRATED YOUTH SUPPORT 33 0 - 19 SERVICES (135)TOTAL (357) Allerdale 0

Barrow (49)Carlisle (44)Copeland 0 Eden (42)South Lakes 0 SCHOOL CROSSING PATROLS (29)Allerdale 1 Barrow (2)Carlisle (1)Copeland 0 Eden (0)South Lakes (27)LOCAL COMM GENERAL PROVISION (143)Allerdale 0 Barrow 0 Carlisle (80)Copeland 0 Eden (24)South Lakes (40)INTEGRATED YOUTH SUPPORT 33 Eden 33

Individual Member Schemes

Individual Local Member Schemes - Grants £000'sMEMBER SCHEMES - ALLERDALE (7)MEMBER SCHEMES - BARROW 0 MEMBER SCHEMES - CARLISLE 0 MEMBER SCHEMES - COPELAND (2)MEMBER SCHEMES - EDEN 0 MEMBER SCHEMES - STH LAKES 0 TOTAL (9)

Misc Other

Miscellaneous other £000'sCOMMUNITY WASTE PREVENTION FND (27)SANDGATE POOL (50)TOTAL (78)

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Appendix 3 (5)

Appendix 3 (5) – Additional Information

Corporate, Customer and Community Services Budget Monitoring Report as at 30thJune 2018

The forecast position as at 30th June 2018 is summarised in the table below:

NET EXPENDITUREOriginal Budget

Revised Budget

Year to Date

Budget

Year to Date Actual

Outturn Variance Variance Previous Variance

Change in Variance

£000 £000 £000 £000 £000 £000 % £000 £000418 Director and Chief Executive 419 105 161 419 (0) (0.1%) 0 (0)

6,036 Chief Legal Officer 6,011 1,524 1,280 6,492 481 8.0% 0 481

13,198 Organisational Change 13,579 5,008 4,570 13,479 (100) (0.7%) 0 (100)

2,291 Strategic Commissioning 2,385 756 545 2,188 (197) (8.2%) 0 (197)

7,304 Customer and Community Services 8,517 1,625 1,010 8,472 (45) (0.5%) 0 (45)

884 Capital 884 221 0 884 (0) (0.0%) 0 (0)

(742) Cross Cutting Savings (642) (642) 0 (642) 0 0.0% 0 0

29,389 Total 31,153 8,597 7,567 31,292 139 0.4% 0 139

The Corporate, Customer and Community Services Directorate is forecasting at 30th June 2018, an outturn position of £31.292m to give an overspend of £0.139m.

The position is due mainly to a forecast overspend in Chief Legal Officer of £0.481m offset by underspends in Organisational Change (£0.100m) Strategic Commissioning (£0.197m) and Customer and Community Services (£0.045m).

Key Pressures:

Chief Legal OfficerThe forecast for the service at Q1 is an overspend of £0.481m. The main areas of overspend are Legal Services - Children and Families which is forecasting an overspend of £0.129m and is linked to the increased legal costs relating to Childrens and Families - Children Looked After, the forecast is based on the current volume and mix of cases; staffing pressures in Legal Practice fee earners with an overspend of £0.159m; and Coroners with an overspend of £0.181m, £0.130m due to continuing overspends on court and public inquiry costs, professional services, lab tests, mortuary and post mortem fees as well as £0.018m due to increases in Coroners salary and on costs.

A review of the 18/19 legal fees forecast model is continuing to be undertaken with Legal Services to test the assumptions built into it relating to the complexity and cost of cases.

Key Underspends:

Director and Chief ExecutiveThe forecast position for the service is a balanced one.

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Appendix 3 (5)

Organisational ChangeThe forecast underspend of (£0.100m) is primarily through the considered management of vacancies. Some of these posts are forecast as being held vacant to the end of the year but changes in demand for service delivery could impact on this. The position also reflects the saving of £0.050m from the merger of Records Management and Information Governance functions being met as well as a £0.030m contribution to the Customer Service Transformation saving.

Strategic CommissioningThe forecast position for the service is an underspend of (£0.197m), this is primarily due to Corporate Purchasing, and from a forecast over recovery of Premier Supplier Discount income of (£0.126m) due to higher volume of transactions and vacancy savings of (£0.071m).

Customer and Community ServicesThe forecast position for the service is an underspend of (£0.045m).

The underspend is largely within Customer Services; Policy and Scrutiny has a (£0.228m) underspend mainly relating to the holding of vacancies, some of these are forecast as being held vacant to the end of the year but changes in demand for service delivery could impact on this. This is offset by overspends in the Service Centre, a net position of £0.035m relating to staffing pressures offset by vacancies and is after a £0.020m contribution to the Customer Service Transformation cross cutting saving.

Within Community Services there is an underlying pressure of £0.126m, which relates to staffing pressures in the Community Teams, Libraries and Archives underachievement of budgeted income. A plan is to be put in place to mitigate the overspend and bring the service to a balanced position.

Cross Cutting Savings£0.100m of the (£0.742m) cross cutting saving has been delivered and the forecast assumes that the remainder will be fully achieved; however, there are challenges in delivering the savings.

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Appendix 3 (6)

Appendix 3 (6) – Additional Information

Finance Budget Monitoring Report as at 30th June 2018

The forecast position as at 30th June 2018 is summarised in the table below:NET EXPENDITURE

Original Budget

Revised Budget

Year to Date Budget

Year to Date Actual Outturn Variance Variance Previouse

Variance Change in Variance

£000 £000 £000 £000 £000 £000 % £000 £0002,620 Finance 2,675 725 365 2,575 (100) (3.7%) 0 (100)1,033 Permormance and Risk 1,090 273 233 1,014 (76) (7.0%) 0 (76)

16,799 Treasury Management 16,799 4,200 384 15,058 (1,741) (10.4%) 0 (1,741)3,206 Insurance 3,206 3,206 1,671 3,206 (0) 0.0% 0 (0)

23,658 Total 23,770 8,403 2,654 21,853 (1,917) (8.1%) 0 (1,917)

Finance Directorate at 30th June 2018, has a forecast of £21.853m to give an underspend of £1.917m.

FinanceThe forecast position for the service is an underspend of (£0.100m) this is largely due to underspends from staffing vacancies of (£0.090m) and increased income of (£0.010m).

Performance and RiskThe forecast for the service is an underspend of (£0.076m). This is largely due to the management of vacancies. Some posts are forecast as being held vacant to the end of the year but changes in demand for service delivery could impact on this.

Treasury ManagementThe Treasury Management function supports the overall objectives and priorities of the Council, by the use of effective treasury management techniques. The aim is to manage risks and ensure that there are sufficient cash resources and long-term borrowings to finance the Council’s activities and capital investment programme whilst balancing this to the secondary objective of trying to minimise the costs of the net interest budget.

With long term borrowing of £347.2m at 31st May 2018 (£10m increase from 31st March) and investments of £111.3m (£128.1m at 31st March), there is a significant net interest cost included in the Council’s budget. Successful treasury management reduces the cost of these transactions and helps to relieve the pressure on the revenue budget.

An annual saving on the net interest budget of £1.741m is currently forecast for 2018/19. This reported saving is due to the Council’s tactical strategy to utilise internal reserves whilst available rather than externalise borrowing that has already been agreed by Council.

The Council undertook £50m of new borrowing at the end of March 2018 and a further £10m at the end of May 2018 in accordance with the Treasury Management Strategy. It is expected that the Council will undertake further long term borrowing during 2018/19 in accordance with the 2018/19 Treasury Management Strategy.

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Appendix 3 (6)

Treasury Management includes a budget of £0.647m for interest received on cash holdings. Income received is influenced by the value of cash held in money markets and the interest rates at which the Council can lend. The Treasury Management Strategy notes that the Council operates on the principle of ensuring the security and liquidity of investments and then consideration is given to the potential return on these assets, no forecast variance is assumed for this area of activity. As at 30th June, this budget is forecast to be £1.7m underspent.

InsuranceThe Insurance budget is currently forecast to spend to budget. Claims experience at the end of 2017/18 and early in 2018/19 has indicated an increase in the number of claims against the Council, primarily related to highways incidents. It is considered that there is sufficient capacity within the insurance budget to fund any of these claims that are not repudiated. This budget will be kept under close review during the year to assess the claims experience and the potential impact on the outturn for this service.

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Appendix 3(7)

Appendix 3 (7) – Other Corporate Items Budget Monitoring ReportAt 30th June 2018

The forecast outturn position is summarised in the table below.

Original Budget

NET EXPENDITURE Revised Budget

Year to Date

Budget

Year to Date Actual

Forecast Outturn

Variance

Variance Previous Forecast Reported

Variance

£000 £000 £000 £000 £000 £000 % £000 £000(32,454) Depreciation Charge to Services (32,454) (8,114) 0 (32,454) 0 0.0% 0 0

827 Precepts Paid 843 211 843 843 0 0.0% 0 013,988 Inflation & Contingency 5,104 1,276 0 4,104 (1,000) (19.6%) 0 (1,000)1,336 Second Homes Discount 1,358 340 0 1,358 0 0.0% 0 04,838 Residual Pension Costs 4,838 1,210 1,263 4,945 107 2.2% 0 1076,174 Past Service Pension Contributions 6,174 1,544 16,370 5,918 (256) (4.1%) 0 (256)

(5,000) Cross Cutting Savings (2,000) (500) 0 (2,000) 0 0.0% 0 0(1,000) Dividend from Cumbria County Holdings (1,000) (250) 0 (1,000) 0 0.0% 0 0

0 Innovation Fund 1,075 269 0 1,075 0 0.0% 0 034 Other items 34 9 (5,283) 34 0 0.0% 0 0

(11,257) Total (16,028) (4,007) 13,193 (17,177) (1,149) 7.2% 0 (1,149)

The forecast outturn for the year for the directorate is (£17.177m) an anticipated surplus of (£1.149m) against a revised budget of (£16.028m) for the year.

Residual & Past Service Pension Costs On the Residual Pension budget costs are payable to the Pension Schemes and are a legacy of decisions taken prior to 2008 to pay enhanced pensions. The payments increase each year with inflation but that is offset by ceasing to make payments where pensioners and their spouses reduce in number. An anticipated saving of £0.250m was removed from the budget for 2018/19 although there is now an anticipated deficit of £0.107m on this budget. This is offset by an anticipated surplus on the Past Service contributions of £0.256m which is due to paying the full year in advance and receiving a reduction in the payment for doing so.

Cross Cutting SavingsThe cross cutting saving was a new saving shown in the Other Items budget in 2018/19 for £5.0m. £3.0m has been achieved from Contract Management and the remaining £2.0m will be allocated to Directorates in relation to service reviews based on permanent savings once identified.

Inflation and Contingency BudgetsThe original inflation and contingency budget includes provision for pay awards and inflation related increases on specific contracts, premises expenditure and other inflationary pressures and risks.

There is an anticipated underspend of £1.000m on the Inflation and Contingency budget.

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Appendix 3(7)

General ContingencyThe general contingency included in this budget is £1.5m. There have been no allocations from this to date.

Dividend from Cumbria County Holdings Cumbria County Holdings Ltd are expected to pay a dividend of £1.0m over to the Council for 2018/19.

Innovation FundIn June 2018 Cabinet approved the transfer of £1.075m from the Volatility Reserve to a new Innovation Fund in 2018/19. The Innovation Fund will be used to provide investment to support the development of new ways of working, drive innovation and support the achievement of savings in future years. Appropriate governance to approve utilisation of the Fund is being established through the Strategic Investment Group. Cabinet delegated authority to approve the use of the Fund to the Director of Finance (S151 officer) up to a value of £0.250m and to approve the use of the Fund to the Director of Finance (S151 officer) in consultation with the Leader and Deputy Leader and relevant Portfolio holder for values greater than £0.250m. The fund is expected to support innovation for the three year period 2018/19 – 2020/21. Where available the Innovation Fund will be increased to support new ways of working and innovation.

Other ItemsThe other items year to date expenditure of (£5.283m) includes corporate provisions made at the end of 2017/18 for ill health retirements that are in progress of £0.686m; £0.636m for the possible repayment of Business Recovery flood grant to MHCLG; £0.395m for the backdating portion arising from the re-grading of posts. In addition there is £2.9m on Council suspense and control accounts this is a timing issue and the income will be reallocated.

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Appendix 3 (8)

Appendix 3 (8) – Additional Information

Accountable Bodies Budget Monitoring Report at 30th June 2018

The Council acts as the Accountable Body for a number of organisations and projects, the largest are Copeland Community Fund and Growing Places Fund. These transactions are not included in either the Council’s single entity or the group accounts as the Council acts as an agent for these transactions. For completeness and to support the Council’s monitoring responsibilities as Accountable Body they are included in the quarterly budget monitoring report. This appendix excludes the LEP Growth Deal funding which is reported as part of the Capital monitoring in Appendix 5.

The table below details the outturn position of the revenue and capital spend as at 30th June 2018

NET EXPENDITURE Balance brought Forward

Income for year

Expenditure for Year

Balance to Carry Forward

£000 £000 £000 £000 REVENUE :-

Copeland Community Fund (10,681) (1,635) 2,632 (9,684)LEP Core & Strategic Funding (208) (827) 935 (100)LEP Growing Places Fund (339) (6) 0 (345)LEP Rural Growth Network (12) 0 12 0LEP Business Growth Hub 0 (246) 246 0 Total (11,240) (2,714) 3,825 (10,129) CAPITAL :- LEP Growing Places Fund (5,241) (69) 100 (5,210)

Copeland Community FundThe Nuclear Decommissioning Agency (NDA) established the Copeland Community Fund in January 2008 to recognise the unique role Copeland plays in hosting a low level nuclear waste storage facility on behalf of the nation.

The cash balance of the fund at 31st March 2018 was £10.681m. Income is received from the NDA each year to top up the fund, and from the Council in respect of interest due for funds invested.

For 2018/19 income of £1.635m is anticipated, this is made up from contributions from the Nuclear Decommissioning Agency (NDA) of £1.545m and interest on the fund balance. Anticipated expenditure is £2.632m and is in the form of grants or loans to organisations within the Copeland area covered by the fund and fund management costs. This gives an expected balance to carry forward of £9.684m.

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Appendix 3 (8)

Local Enterprise Partnership (LEP)Core and Strategic FundingIncome is largely received from BEIS with some match funding from other authorities and 3rd parties, there is £0.208m balance brought forward from 2017/18 and anticipated income for 2018/19 of £0.827m and expenditure of £0.935m which relates to the running costs of the LEP. This gives an anticipated carry forward to 2019/20 of £0.100m Part of this income and expenditure will be reported in the Council’s figures as the LEP commission work from the County Council.

Growing Places Fund (Cumbria Investment Fund – CIF)The CIF is identified to help create jobs and homes in Cumbria, through support for infrastructure projects to unlock housing and workspace developments and for capital projects within businesses. The CIF is managed as a revolving fund and support to projects is primarily in the form of loans, as a minimum providing a return of the funds invested and in most cases with interest added, however in some cases support has been in the form of non-repayable grants. Returns to the fund are recycled to support further developments.

Cumbria County Council holds the funding as the Accountable Body for the CIF and the Cumbria LEP Board agree the fund priorities. As accountable body, Cumbria County Council enters into formal agreements with the applicants (and if required the relevant District Councils) before the CIF is invested to ensure that projects are delivered within the agreed timescales or against agreed milestones and loan funding is repaid.

Currently there are 9 ‘live’ CIF projects in the delivery or repayment phases (1 Large Infrastructure Repayable Grants and 8 Small Business Development Loans). Income in 2018/19 relates to the interest (revenue) and principal (capital) repayments to be received during the year from loans. Both revenue and capital returns are available to the LEP for reinvestment. In 2018/19 £143,877 in returned interest was used to support production of two strategic road studies.

The revenue balance brought forward from 2017/18 is £0.339m, at present there is income of £0.006m anticipated and no expenditure in 2018/19. This gives an anticipated carry forward balance of £0.345m. The capital balance brought forward was £5.241m, with loan repayments of £0.069m expected and expenditure of £0.1m. This would leave a balance of £5.210m to carry forward to 2019/20.

Rural Growth NetworkA total of £3.576m in capital and revenue grant funding was received from DEFRA to support delivery of a programme of activities designed to address barriers to business creation and growth in rural areas of Cumbria. The programme provided business support services, specialist advice and business

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Appendix 3 (8)

networking, including a network of ‘business hubs’ in key locations where businesses could access facilities such as hot desking and these were also used as locations for delivery of business support activities. The programme has also created 4,500m2 of employment space at 9 ‘employment sites’ for occupation by new and expanding rural businesses. The revenue balance carried forward from 2017/18 was £0.012m, this has been used to cover programme closure activities by the accountable body including monitoring of job creation outcomes within employment sites and also to assist the LEP in developing a rural economy action plan.

Business Growth HubIncome is in the form of a grant from BEIS to fund the co-ordination and running of the Cumbria Business Growth Hub on behalf of the LEP it is forecast to be fully spent.

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APPENDIX 4

SUMMARY OF EARMARKED RESERVES

As at 31st March 2019

Description

Balance at

31/3/18

Budgeted

appropriations to

reserves 2018/19

Budgeted

appropriations

from reserves

2018/19

Transfers

Between

Reserves

Transfers

from

reserves

Transfers

to

Reserves

Balance at

31/3/19

£000 £000 £000 £000 £000 £000 £000

RING FENCED EARMARKED RESERVES:

DSG FUNDED RESERVES

Delegated Funds - Schools (1,685) 0 0 0 0 0 (1,685)

Central HQ Budgets - DSG 3,553 0 0 0 0 (1,500) 2,053

DSG FUNDED RESERVES 1,868 0 0 0 0 (1,500) 368

REVENUE GRANTS & CONTRIBUTIONS RESERVES

CNDR Grant in Advance (27,349) (366) 0 0 0 0 (27,715)

Fire PFI Reserve (1,524) (78) 0 0 0 0 (1,602)

Waste Contract (Shanks Unitary Charge) (710) 0 0 0 0 0 (710)

Directorate Revenue Grants in advance (3,203) 0 0 0 1,704 0 (1,499)

TOTAL REVENUE GRANTS RESERVES (32,786) (444) 0 0 1,704 0 (31,526)

CAPITAL FUND - Earmarked Revenue Reserves for Capital Purposes (1,796) 0 0 0 0 0 (1,796)

LONG TERM INVESTMENT RESERVE (2,813) 0 0 0 0 0 (2,813)

INSURANCE RESERVE (12,284) 0 0 0 0 0 (12,284)

TOTAL RING FENCED EARMARKED RESERVES (47,811) (444) 0 0 1,704 (1,500) (48,051)

OTHER RESERVES:

CENTRALLY HELD RESERVESElections 0 (119) 0 0 0 0 (119)

Improvement & Efficiency Reserve (9) 0 0 0 0 0 (9)

Highways Fleet Replacement (875) (875) 0 0 0 0 (1,750)

NNDR Volatility Reserve share (380) 0 0 0 0 0 (380)

MRP saving to support 2017/18 budget (6,404) 0 6,404 0 0 0 0

Volatility Reserve 0 (954) 346 0 1,225 (2,697) (2,080)

CENTRALLY HELD RESERVES (7,668) (1,948) 6,750 0 1,225 (2,697) (4,338)

MODERNISATION RESERVE (4,906) 0 0 0 0 0 (4,906)

DIRECTORATE RESERVES (5,072) 0 185 0 1,667 0 (3,220)

TOTAL OTHER EARMARKED RESERVES (17,646) (1,948) 6,935 0 2,892 (2,697) (12,464)

TOTAL REVENUE EARMARKED RESERVES (65,457) (2,392) 6,935 0 4,596 (4,197) (60,515)

Movement in total reserves 4,942

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Committee: Cabinet

Date of meeting: 27 September 2018

Title of Report: Regulation of Investigatory Powers Act 2000

Report by: Iolanda Puzio, Chief Legal Officer/Monitoring Officer

Cabinet Member: Stewart Young, Leader of the Council

What is the Report About? (Executive Summary)

1. The report seeks approval to the policy document at Appendix 1, which sets out how Cumbria County Council will comply with the Regulation of Investigatory Powers Act 2000 (RIPA).

2. The report also provides Cabinet with an update on surveillance activity since the last report to Cabinet in September 2017. The Council rarely makes use of the powers available under RIPA and no authorisations have been applied for or granted in the last year.

Recommendation of the Corporate Director

3. Cabinet note the work being undertaken by officers and the communications plan for better embedding RIPA within the organisation.

4. Cabinet approve the attached updated Policy in respect of how Cumbria County Council will comply with the Regulation of Investigatory Powers Act 2000.

5. Cabinet delegates authority to the Chief Legal Officer/Monitoring Officer in consultation with the Leader and Deputy Leader to make amendments to the policy in line with changes to legislation.

Background to the Proposals

6. Cumbria County Council will on occasion need to use covert surveillance in order to carry out its functions effectively. RIPA provides the framework under which authorised regulators are able to carry out surveillance activities and access communications data which would otherwise not be legal because of the impact on human rights. Examples of enforcement activities which may require the use of RIPA include trading standards enforcement activities against rogue traders and loan sharks, community and fire safety, fraud investigations and child protection.

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Agenda Item 8

7. RIPA applications must go through a prescribed process which involves authorisation by one of the specified authorising officers. The authorised RIPA application must then be presented to a Magistrate for judicial approval.

8. Guidance states that elected members of a local authority should review the authority’s use of RIPA and set the policy at least once a year. The proposed policy document at Appendix 1 represents an updated policy, taking into account recent changes from the date of the last report in September 2017.

9. New Codes of Practice which came into force in August 2018 have been considered when proposing the revised RIPA policy however further changes to RIPA as a result of the Investigatory Powers Act 2016 are expected within the next few months. The Council’s policy will be further updated to take these changes into account once they are implemented.

10. Authorities who use RIPA are inspected by the OSC and the Council was last inspected on 28th June 2016. The findings of the inspection and recommendations of the inspector were provided to Cabinet in September 2016. The next likely date for an inspection will be 2019. The investigatory regime is expected to change with a new supervisory body, the Investigatory Powers Commissioner.

11. One of the main focusses of the inspection in 2016, and a continuing focus of the inspectors is the increasing use of the internet and social networking sites to gather information. It is the view of the OSC that whilst this activity may fall outside of the RIPA regime, good practice would suggest that appropriate guidance and advice should be available and that that guidance and the RIPA policy should be well communicated to staff across all departments.

12. The OSC sent out a letter on 20 March 2017 drawing attention to the use of social media sites and the internet and the dangers of using open source material drifting into covert surveillance which falls under the RIPA regime. They have also issued updated guidance on their website for Local Authorities and informed Local Authorities that future inspections will be focused on this issue.

13. In September 2017 Cabinet approved a policy on the use of social media sites which does not need revisiting. Guidance has been issued to all managers on this policy and the RIPA policy, most recently in December 2017.

14. A log of the use of all investigations carried out by social media is maintained by Trading Standards, there are no reports of social media investigations across the Council over the last 12 months. A communications plan has been developed to ensure that all managers are aware of the requirements for reporting all social media investigations. This consists of further training, corporate messages to managers via Heads Up, a training pack for targeted managers who are likely to conduct investigations to deliver at team meetings and quarterly meetings with authorising officers, the Monitoring officer and senior manager, regulatory services to monitor the embedding of the RIPA and social media policy within the Council.

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15. There have been no RIPA authorisations applied for or granted since the date of the last report in September 2017. This is not unexpected and is in line with national trends. A log is maintained of when use of RIPA is considered, even if it is not pursued because the Council has found a less intrusive method than surveillance. The log shows that RIPA was considered on 8 occasions but not pursued as alternatives such as test purchases were able to be used,

16. Options Considered and Risks Identified

17. In order to comply with relevant legislation and guidance, the Council must have a policy. The options are therefore:

18. Option (a)

That Cabinet approves the Policy attached at Appendix 1 and delegates authority to the Chief Legal Officer/Monitoring Officer in consultation with the Leader and Deputy Leader to make amendments to the policy in line with changes to legislation.

Option (b)

That Cabinet approves the Policy at Appendix 1 with amendments.

Reasons for the recommendation/Key benefits

The approval of the policy as drafted will ensure the Council’s compliance with relevant legislation and guidance.

Ensuring that an up to date and accurate policy and guidance is available will assist the Council to balance the needs of undertaking work to safeguard individuals and local communities whilst ensuring that it does not unnecessarily infringe the human rights of individuals.

Financial – What Resources will be needed and how will it be Funded?

19. There are no financial implications as a result of approving the updated policy to ensure the Council’s compliance with the Regulation of Investigatory Powers Act 2000.

Legal Aspects – What needs to be Considered?

20.The Regulation of Investigatory Powers Act 2000 sets out a regulatory framework for the use of covert surveillance techniques by public authorities.

21. Statutory guidance states that elected members of a local authority should review the authority’s use of the RIPA and set the policy at least once a year.

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Council Plan Priority – How do the Proposals Contribute to the Delivery of the Council’s Stated Objectives?

22.The Council is required by law to set a policy in respect of the Council’s use of RIPA.

What is the Impact of the Decision on Health Inequalities and Equality and Diversity Issues?

23.There is a positive impact on individuals and local communities of the Council undertaking investigative work that enables it to safeguard the vulnerable and fulfil its responsibilities as a regulatory authority. However, to ensure that benefit, any action taken needs to be lawful, necessary and proportionate and the recommendations is this report will assist to achieve an appropriate balance by providing clear guidance to staff.

Appendices and Background Documents

(a) Appendix 1 – Cumbria County Council Policy Document – The Regulation of Investigatory Powers Act 2000

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Key Facts

Electoral Division(s): …..

Executive Decision

Key Decision Included in Forward Plan

Exempt from call-in

Exemption agreed by scrutiny chair

Considered by scrutiny, if so detail below

Environmental or sustainability assessment undertaken?

Equality impact assessment

undertaken?

NO NO NO N/A No N/A NO

Previous relevant Council or Executive decisions

Consideration by Overview & Scrutiny

Background Papers

Report Author: Iolanda Puzio, Chief Legal Officer/Monitoring Officer .

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Cumbria County Council Policy Document

The Regulation of Investigatory Powers Act 2000

September 2018

187

GENERAL STATEMENT OF POLICY

This policy document explains how Cumbria County Council will comply with the Regulation of Investigatory Powers Act 2000 (‘RIPA’) in relation to directed surveillance, use of covert human intelligence sources and the acquisition of communications data. This Policy is supplementary to the legislation and to the statutory Codes of Practice.

1.0 Background

1.1 The primary function of central and local government regulation and enforcement is to protect the individual, the environment, and a variety of groups such as consumers and workers. At the same time, carrying out regulatory functions in an equitable, practical and consistent manner helps to promote a thriving national and local economy, and to prevent and detect crime and disorder.

1.2 The Regulation of Investigatory Powers Act 2000 (RIPA) came into effect in September 2000. RIPA sets out a regulatory framework for this use of covert surveillance techniques by public authorities. RIPA does not provide any powers to carry out covert activities. If such activities are conducted by the Council officers then RIPA regulates them in a manner which is compatible with the European Convention on Human Rights (ECHR), particularly Article 8, the right to respect for private and family life.

1.3 Sections 37 and 38 of the Protection of Freedoms Act 2012 (the Act) came into force on 1 November 2012. Under the Act local authority authorisations and notices, for the use of particular covert techniques, can only be given effect once an order approving the authorisation or notice has been granted by a Justice of the Peace (JP).

1.4 In addition amendments to the Regulation of Investigatory Powers (Directed Surveillance and Covert Human Intelligence Sources) Order 2010 (“the 2010 Order”) mean that a local authority can now only grant an authorisation under RIPA for the use of directed surveillance where the local authority is investigating particular types of criminal offences. These are criminal offences which attract a maximum custodial sentence of six months or more or criminal offences relating to the underage sale of alcohol or tobacco.

1.5 Communications data is governed by RIPA and the Investigatory Powers Act 2016 (IPA 2016). A request for a RIPA authorisation or notice will be scrutinised by a single point of contact (a ‘SPoC’). Local Authorities are not able to intercept communications data. Where communications data is required then responsibility for its acquisition rests with the National Anti-Fraud Network (NAFN) who provide the SPoC service. Cumbria County Council has an agreement with NAFN for this service.

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1.6 Responsibility for oversight of investigatory powers, including inspection and audit is now with the Investigatory Powers Commissioner (IPC) and no longer rests with the Interception of Communications Commissioner’s Office (IOCCO), the Office of Surveillance Commissioners (OSC) and the Intelligence Services Commissioner (ISComm) from September 2017.

1.7 Revised Codes of Practice relating to covert surveillance and property Interference and for the investigation of protected electronic information came into force on 15 August 2018. These reflect changes introduced by the IPA 2016 including the introduction of equipment interference warrants under Part 5 of the IPA 2016 Act and the new oversight framework establishing the Investigatory Powers Commissioner.

1.8 Cumbria County Council will on occasion need to use covert surveillance in order to carry out its enforcement functions effectively. Examples of enforcement activities which may require the use of RIPA include trading standards, Regulatory and fire safety, fraud investigations and child protection.

1.9 The Council takes seriously its responsibilities as a regulatory authority and will at all times act in accordance with the law, ensuring that any regulatory and enforcement action it takes is lawful, necessary and proportionate.

2.0 Scope and Definitions

2.1 This policy applies to all Cumbria County Council services.

2.2 The main purpose of RIPA is to ensure that the relevant investigatory powers are used in accordance with human rights. These powers are:

i. Interception of communications ii. Acquisition of communications data (e.g. billing data) iii. Intrusive surveillance (on residential premises/in private

vehicles) iv. directed surveillance in the course of specific operations v. use of covert human intelligence sources (informants etc.) vi. Access to encrypted data

2.3 By working in conjunction with other, pre-existing legislation, the Act ensures the following points are clearly covered:

i. purposes to which relevant powers may be used ii. which authorities can use the powers iii. authorisation of the use of the powers iv. the use that can be made of material gained v. independent judicial oversight

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vi. a means of redress for the individual where powers are breached

2.4 RIPA limits local authorities to using three covert techniques for the purposes of the prevention or detection of crime or prevention of disorder. These techniques are:

i. Directed surveillance - surveillance which is covert but not intrusive, and which is undertaken for the purposes of a specific investigation or a specific operation, in such a manner as is likely to result in obtaining information about a person – whether or not the target of the investigation/operation.

ii. A covert human intelligence source (CHIS) - undercover officers, public informants and people who make test purchases.

iii. Communications data (CD) is the ‘who’, ‘when’ and ‘where’ of a communication, but not the ‘what’ (i.e. the content of what was said or written). RIPA groups CD into 3 parts:

iv. ‘traffic data’ (which includes information about where the communications are made or received);

v. ‘service use information’ (such as the type of communication, time sent and its duration); and

vi. ‘Subscriber information’ (which includes billing information such as the name, address and bank details of the subscriber of telephone or internet services).

2.5 Under RIPA a local authority can only authorise the acquisition of the less intrusive types of communications data: service use and subscriber information. Under no circumstances can local authorities be authorised to obtain traffic data under RIPA.

2.6 The council must be satisfied that there is an identifiable offence before Authorising any covert surveillance. In addition the key tests in an application for authorisation are:i. Necessityii. Proportionality andiii. Risk of collateral intrusion

3.0 PART 1 – DIRECTED SURVEILLANCE

3.1 Directed surveillance is defined in Section 26(2) of RIPA as surveillance which is covert, but not intrusive, and undertaken:

i. for the purposes of a specific investigation or specific operation;

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ii. in such a manner as it is likely to result in the obtaining of private information (Section 13) about the person (whether or not one specifically identified for the purposes of the investigation or operation); and

iii. otherwise than by way of an immediate response to events or circumstances, the nature of which is such that it would not be reasonably practical for an authorisation under Part II of RIPA to be sought for the carrying out of the surveillance

3.2 The council will only use directed surveillance to investigate a crime and where the criminal offence being investigated meets one of the following conditions:

i. The offence is punishable, whether on summary conviction or on indictment to a maximum term of at least 6 months of imprisonment, or

ii. Section 146, 147 or 147A of the Licensing Act 2003 (sale of alcohol to children) or

iii. Section 7 of the Children’s and Young Persons Act 1933 (sale of tobacco to children)

3.3 The crime threshold applies only to the authorisation of directed surveillance by local authorities under RIPA, not to the authorisation of local authority use of CHIS or their acquisition of CD.

3.4 No officer of the council will undertake intrusive surveillance. Intrusive surveillance is covert surveillance that is carried out in relation to anything taking place on residential premises or in any private vehicle and which involves the presence of an individual on the premises or in the vehicle or is carried out by means of a surveillance device.

3.5 Surveillance operations will only be carried out by officers who have received appropriate training in human rights and the Act.

3.6 No officer within the Council will undertake directed surveillance without prior authorisation.

3.7 Authorisation will only be given by the Assistant Director – Economy and Environment or the Assistant Director Integration and Partnerships.

3.8 The use of directed surveillance under RIPA will not be authorised to investigate matters that do not involve criminal offences or to investigate low-level offences that do not meet the threshold test.

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4.0 PART 2 - COVERT HUMAN INTELLIGENCE SOURCE (CHIS)

4.1 A covert human intelligence source (CHIS”) is defined by section 26(8) of RIPA as a person who:

i. establishes or maintains a personal or other relationship with another person for the covert purpose of facilitating the doing of anything falling within the following two paragraphs;

ii. covertly uses such a relationship to obtain information or to provide access to any information to another person: or

iii. covertly discloses information obtained by the use of such a relationship or as a consequence of the existence of such a relationship

4.2 The authorisation for the conduct and use of a CHIS may include:

i. someone employed or engaged by the Council to hide their true identity or motivation and covertly use a relationship to obtain information and disclose it to the local authority (an undercover officer); or

ii. A member of the public who provides a tip-off to a local authority and is asked to go back and obtain further information by establishing or continuing a relationship whilst hiding their true motivation (an informant).

4.3 Vulnerable individuals (a person who is in need of Regulatory care services by reason of mental or other disability, age or illness and who is or may be unable to take care or protect himself against significant harm or exploitation) may be authorised to act as a CHIS only in the most exceptional circumstances. Authorisation must be given by the Chief Executive or in his/her absence the Deputy Chief Executive and he or she will only do so after taking advice from the Assistant Director – Economy & Environment or the Assistant Director Integration and Partnerships.

4.4 Authorisation will only be given for the use of a covert human

intelligence source, when the activity is necessary to prevent or detect crime.

4.5 Authorisations will only be given to officers who have undergone appropriate training in human rights and the Act.

5.0 PART 3 - COMMUNICATIONS DATA

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5.1 The term ‘communications data’ embraces the ‘who’, ‘when’ and ‘where’ of a communication but not the content, not what was said or written. It is information about a communication - not the communication itself.

5.2 The Council will only authorise the acquisition of service use and subscriber information. Under no circumstances will the council obtain traffic data or intercept communications data under RIPA.

5.3 Communications data is governed by RIPA and the Investigatory Powers Act 2016. A request for a RIPA authorisation or notice will be scrutinised by a single point of contact (a ‘SPoC’). Local Authorities are not able to intercept communications data. Where communications data is required then responsibility for its acquisition rests with the National Anti-Fraud Network (NAFN) who provide the SPoC service. Cumbria County Council has an agreement with NAFN for this service

5.4 Under RIPA it is against the law for a business to intercept any electronic communication on its, or anyone else’s, system. There are some exceptions to this:

Interception is authorised under a warrant (this does not apply to local authorities)

where the interception takes place with consent where the interception is connected with the operation of the

communications service itself

5.5 Interception for business related workplace monitoring may be applicable in certain circumstances by the Telecommunications (Lawful Business Practice) (Interception of Communications) Regulations 2000. The regulations are designed to meet the legitimate needs of businesses to manage their information systems, making use of the capabilities of modern communications technology, but in a way that is consistent with high standards of privacy.

5.6 Interception of County Council telecommunications will only be made in accordance with the Regulations, and following procedures agreed by the Executive Director Economy and Infrastructure Interception may be carried out in the following circumstances:

i. To establish the existence of facts or to ascertain compliance with regulatory or self-regulatory practices (e.g. to keep records of communications where the specific facts are important, such as being able to prove that a customer has been given certain advice

ii. To check the standards are being achieved or ought to be achieved (e.g. to check the quality of e-mail responses sent

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by members of staff to customer enquiries or for staff training).

iii. To prevent or detect crime (e.g. to check that employees or others are not involved in defrauding the Council).

iv. To investigate or detect unauthorised use of the telecommunications system. Note that interception that is targeted at personal communications that do not relate to the business is not allowed regardless of whether the use of the system for such communications is authorised.

v. To ensure the security of the system and its effective operation (e.g. to check for viruses or other threats to the system or to enable automated processes such as caching or load distribution).

5.7 The Council will make all reasonable efforts to inform potential users that interceptions may be made.

6.0 Internet and Social Networking Sites

6.1 The use of the internet and social networking sites may be required to gather information prior to and/or during an investigation, which may amount to directed surveillance, and may interfere with a person’s Article 8 rights.

6.2 If an overt account on a one off occasion is used to gather information or evidence then no authorisation is considered necessary.

6.3 If a service intends to conduct covert surveillance on an individual or site by regularly visiting and monitoring activity and it is considered that private information is likely to be obtained then a RIPA Directed Surveillance Authorisation will be required. The service would also have to consider creating a covert account to carry out this work. In addition where a service may need to communicate covertly online, for example contacting individuals, a CHIS authorisation will be required.

6.4 Further advice is available for Council Officers in an advice note entitled “Guidance on the Use of Social Networking Sites for Investigations/Evidence Gathering”, which is attached as Appendix 1 and the Office of the Surveillance Commissioner Procedures and Guidance Document issued in July 2016.

7.0 Authorisation

7.1 At the start of an investigation, council officers will need to satisfy themselves that what they are investigating is a criminal offence. Directed surveillance is an invasive technique and at the point it is

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decided whether or not to authorise its use it must be clear that the threshold is met and that it is necessary and proportionate to use it.

7.2 The applicant will complete a written RIPA authorisation or notice form setting out for consideration by the Assistant Director Economy & Environment or the Assistant Director Integration and Partnerships why use of a particular technique is necessary and proportionate in their investigation. The Assistant Director Economy & Environment or the Assistant Director Integration and Partnerships will consider the application, recording his/her considerations and countersign the form if he/she believes the statutory tests are met.

7.3 Where the request relates to the acquisition of communications data the completed forms will be sent to the National Anti-Fraud Network (NAFN) in the role as appointed Single Point of Contact (SPoC). NAFN will review the application and if satisfied will return the application to the Assistant Director Economy & Environment or the Assistant Director Integration and Partnerships to make any necessary application to the magistrates court.

7.4 In cases where, through the use of surveillance, it is likely that knowledge of confidential information will be acquired, the use of surveillance is subject to a higher level of authorisation. The Chief Executive or in his/her absence the Executive Director Economy and Infrastructure will authorise surveillance activity where confidential information is likely to be acquired, he or she will do so only after taking advice from the Assistant Director – Economy & Environment or the Assistant Director Integration and Partnerships.

7.5 “Confidential information” is defined for the purposes of RIPA as matters subject to legal privilege, confidential personal information or confidential journalistic material. Confidential material must not be copied or retained unless for a specific purpose – e.g. use in evidence in proceedings and may only be disseminated following advice from the Assistant Director – Economy & Environment or the Assistant Director Integration and Partnerships.

7.6 After the form has been countersigned the local authority will seek judicial approval for their RIPA authorisation or notice. The Justice of the Peace (JP) will decide whether a local authority grant or renewal of an authorisation or notice to use RIPA should be approved and it will not come into effect unless and until it is approved by a JP.

7.7 The time limits for authorised applications are three months for directed surveillance and twelve months for a CHIS (one month if the CHIS is under 18). Authorisations and notices for communications data will be valid for a maximum of one month from the date the JP has approved the grant. This means that the conduct authorised should have been commenced or the notice served within that month.

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8.0 Responsibilities 8.1 Executive Directors to:

i. Ensure all regulatory staff are aware of and trained in the Act.

ii. Delegate the task of authorising surveillance operations.

iii. Provide procedures to be adopted in the application for, granting etc. of, and recording of authorisation.

iv. Ensure copies of the Codes of Practice for Covert Surveillance, The Use of Covert Human Intelligence Sources, and Acquisition and Disclosure of Communications Data are available for public reference at council offices or by post or e-mail on public request. https://www.gov.uk/government/organisations/home-office

v. Ensure that details of the complaints procedure involving the Investigatory Powers Tribunal are readily available for public reference purposes at council offices or by post or e-mail on public request.

8.2 Monitoring Officer to:

Fulfil the role of senior responsible officer for RIPA and will be responsible for:

i. The integrity of processes for the management of CHIS.

ii. Compliance with Chapter II of Part I of RIPA (Acquisition and Disclosure of Communications Data).

iii. Compliance with Part II of RIPA (Surveillance and Covert Human Intelligence Sources).

iv. Oversight of the reporting of errors to the Surveillance and Communications Commissioners, identification of the cause(s) of errors and the implementation of processes to minimise repetition of errors.

v. Engagement with the Commissioners’ inspectors when they conduct their inspections.

vi. Oversight of the implementation of post-inspection action plans approved by the relevant Commissioner.

vii. Maintaining a log of all RIPA applications, authorisations etc. including copies of all completed forms, and reviewing the quality of applications, authorisations etc.

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viii. Ensuring that all authorising officers are of an appropriate standard in light of any recommendations made by Inspectors’ reports.

ix. Ensuring that Cabinet Members and members of the Audit & Assurance Committee have sufficient understanding of human rights and RIPA to be able to discharge their responsibilities

x. Ensuring that this Policy is reviewed by Cabinet at least once a year and any Authorisations granted are reported to the Audit and Assurance Committee annually.

xi. In the absence of the Assistant Director – Economy & Environment or the Assistant Director Integration and Partnerships, act as authorising officer to receive and consider applications, and issue, renew, cancel or refuse such applications relating to investigations of County Council employees, in accordance with the criteria set out in the Act.

8.3 Assistant Director – Economy and Environment or the Assistant Director Integration and Partnerships to:

i. Act as the authorising officer for CHIS or DS or for communications data the designated person to consider applications, and issue, renew, cancel or refuse authorisations relating to investigations of County Council employees, in accordance with the criteria set out in the Act and in Guidance from the Investigatory Powers Commissioner (IPC).

ii. Ensure applications are complete and are made out on the appropriate pro forma, except in the case of emergency applications.

iii. Maintain a record of applications and authorisations, and provide copies to the Deputy Monitoring Officer within 5 working days of the application, irrespective of whether the authorisation is granted, and copies of all cancelled authorisations within 5 working days of the cancellation.

iv. Ensure all staff involved in surveillance operations has access to the relevant draft Codes of Practice.

v. Review authorisations at least weekly and record the review on the authorisation and ensure that authorisations are cancelled as soon as they have either served their original purpose or no longer meet the criteria for issue, whichever is the earlier.

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8.4 Senior Manager – Regulatory Services to:

Ensure that the forms and procedures detailed in the Trading Standards Investigations Manual are kept up to date and comply with RIPA and the draft Codes of Practice.

8.5 All staff involved in surveillance operations to:

i. Be familiar with Act, the relevant Codes of Practice, and the Investigatory Powers Commissioner Guidance for Inspections.

ii. Ensure that the authorising officer is provided with all relevant information available to the investigation to enable an informed decision to be made.

iii. Advise the authorising officer as soon as practicable when an operation unexpectedly interferes with the privacy of an individual who is not the subject of the surveillance.

iv. Cease the surveillance operation immediately it no longer meets the authorisation criteria.

v. Ensure that they follow the appropriate service work instructions and guidance.

Relevant Background Papers

The Regulation of Investigatory Powers Act (RIPA) 2000: http://www.legislation.gov.uk/ukpga/2000/23/contents

Codes of Practice made under RIPA issued by the Home Office: https://www.gov.uk/government/collections/ripa-codes

Guidance to local authorities RIPA Codes:https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/118173/local-authority-england-wales.pdf

Home office guidance for Magistrates Courts in England & Wales for Local Authoritieshttps://www.gov.uk/government/uploads/system/uploads/attachment_data/file/118174/magistrates-courts-eng-wales.pdf

Office of Surveillance Commissioners Procedures and Guidance, July 2016 (now held by the Investigatory Powers Commissioner) https://osc.independent.gov.uk/wp-content/uploads/2017/01/OSC-Procedures-Guidance-July-2016.pdf

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Committee: Cabinet

Date of meeting: 27th September 2018

Title of Report: Corporate Performance Monitoring Report – Quarter 1 2018/19

Report by: Julie Crellin, Director of Finance (s151 Officer)

Cabinet Member: Councillor Stewart Young, Leader of the Council

What is the Report About? (Executive Summary)

1. The purpose of this report is to provide Cabinet with a progress update on corporate performance, incorporating progress on:

o The Council Plan Delivery Plan 2018/19 for the three month period from 1st April 2018 to 30th June 2018.

2. This report focuses on the Council Plan Delivery Plan for 2018/19 that was agreed by Cabinet in June 2018. The Council Plan Delivery Plan for 2018/19 sets out a series of actions and indicators relating to how the Council will deliver the three outcomes and implement the new ways of working; as identified in the Council Plan 2018-22 which was agreed by Council in February 2018.

3. Where performance is below target or baseline, action will be taken to improve performance to bring performance back on track. In these instances, remedial action is highlighted in the detailed commentary attached within Appendix 1.

Recommendation of the Director

4. That Cabinet note overall performance relating to delivery of the three Council Plan outcomes and implementation of new ways of working, focusing on progress against the actions and metrics identified in Council Plan Delivery Plan 2018/19 for the 1st quarter ending 30th June 2018.

Background to the Proposals

5. The Council Plan Delivery Plan 2018/19 was agreed by Cabinet in June 2018. The purpose of the Delivery Plan was to set out the key actions and indicators which were agreed by Council in February 2018 that the Council has committed to deliver during 2018/19 to support the Council’s three outcomes and new ways of working set out in the Council Plan 2018-22.

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Agenda Item 9

6. This report sets out the progress made between 1st April 2018 to 30th June 2018 (Quarter 1) and Appendix 1 contains more detailed commentary on actions and indicators.

7. Reporting of performance is essential so that Cabinet are informed about progress that is being made, where improvements need to be made and what action is being taken to address performance challenges. With continued progression of reporting, in line with the Performance and Risk Management framework, an organisational dashboard and publicly accessible performance and risk at a glance are being developed.

8. This covering report includes a summary table for each outcome, the areas where there has been positive progress and areas where further focus and improvement is required.

9. The format for the performance reporting of the delivery of the Council Plan Delivery Plan has been revised since last year. Cabinet agreed a new Performance and Risk Management Framework at its meeting in June. Cabinet are keen to see a more integrated and streamlined approach to the reporting of service performance (the actions and measures), management of strategic risks and the management of budget resources in the delivery of the Council Plan. Taken together these provide an overview of the resource and management of the Council in delivering the Council Plan and fulfilling its statutory duties.

10. The development of the Council’s integrated approach to performance reporting will be an iterative process, but the revised format of Appendix 1 provides a focused and visual summary of progress.

11. The commentary by Directorates, led by Directors and Assistant Directors, focuses on the areas of progress and areas for improvement with detail of ongoing action (i.e. those indicators which are either red, amber or with a declining direction of travel). In relation to each action or indicator, there are detailed commentaries from managers informing this report. These have been considered by Directorates and Corporate Management Team (CMT).

12. This report also includes a summary of links for each supporting outcome between Council plan delivery plan progress, the Corporate Risks and financial impacts. All of the above information is provided in Appendix 1. Cabinet are briefed on the Corporate Risk register on a quarterly basis which is then subject to assurance review by the Audit & Assurance Committee. The agenda today also considers a detailed quarterly financial monitoring report for Cabinet.

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Corporate Performance Overview

13. The Council Plan Delivery Plan 2018/19 includes both a description of 82 actions that the Council will undertake with target dates for delivery, and 36 performance indicators which provide a measure of how well the Council is performing.

14. A summary of the position of these actions and measures as at the end of Quarter 1 2018/19 is provided in Figures 1 and 2.

15. The overall position by the end of Quarter 1 2018/19 was that 81 of the 82 (99%) Council Plan Delivery Plan actions had delivered, met or on track to meet the planned milestone, or were at risk of missing the planned milestone with a recovery plan in place. These are therefore rated green or amber. For the same period, 1 action (1%) had missed a key milestone, did not fully deliver as intended and has therefore been rated red.

Figure 1- CPDP 2018/19 Summary Position of Actions at End of Quarter 1

Green (50)61%

Amber (31)38%

Red (1)1%

16. In terms of the measures used to track performance, the overall position for Quarter 1 was that 26 of 36 measures (72%) demonstrated positive, exceeding the target or within 10% of the target which results in a green or amber rating. 10 indicators (28%) were more than 10% off the target and therefore rated red.

Figure 2- CPDP 2018/19 Summary Position of Measures at End of Quarter 1

Green (20)55.6%

Amber (6)16.7%

Red (10)27.8%

17. Of these actions and indicators some key areas with progression and improving performance highlighted in Quarter 1 relate to the following :

Safe and well visits enhancing support to a broad prevention and public health approach progressed. (Action 1.7, Appendix 1)

Reduction in Delayed Transfers of Care in line with Better Care Fund targets achieved in Quarter 1. (Indicator M1.8, Appendix 1)

New service standards for highways repairs adopted by December 2018 on track. (Action 2.2, Appendix 1)

Work undertaken to build on action lists to reduce flooding across Cumbria. (Action 2.5, Appendix 1)

Expanding role of libraries in communities with area planning continues developing. (Action 2.9, Appendix 1)

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The review and implementation of the Cumbria Alliance of System Leadership (CASL) Plan to deliver school improvement and pupils outcomes carried out. (Action 2.24, Appendix 1)

Council commissioned spend with Cumbrian Small and Medium Enterprises increased. (Indicator M3.6, Appendix 1)

A programme of customer training, to support the delivery of the Council's Customer Service Strategy, implementation begun. (Action 4.3, Appendix 1)

A refreshed Council website on track to be launched by September 2018. (Action 4.5, Appendix 1)

Wellbeing strand of the Councils new workforce plan at work progressed. (Action 4.12, Appendix 1)

18. Key areas for improvement highlighted in Quarter 1 where actions are in place relate to the following:

The number of Children Looked After in Cumbria has not reduced in Quarter 1 with the risk of impact on the sufficiency of appropriate placements. (Indicator M1.2, Appendix 1)

All services delivered in line with their 2018/19 revenue budget is not expected to be achieved and requires savings from other areas to be achieved to ensure the budget is not overspent at the year end. (Action 4.7, Appendix 1)

19. A more detailed overview of the position of actions and measures by Outcome and in relation to New Ways of Working and achieving Financial Sustainability is provided in Table 1 as at the end of Quarter 1 2018/19. Table 1 highlights actions and measures for improvement (i.e. those rated as red). Details of mitigating actions to reduce the risks surrounding these indicators are included in Appendix 1.

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Table 1 – CPDP Progress, Quarter 1 2018/19

Quarter 1 2018/19 CPDP Action Status % (number) CPDP Outcome Measure Progress % (number)

GRAND TOTAL82 Actions, 36

Measures

Green (50)61%

Amber (31)38%

Red (1)1%

Green (20)55.6%

Amber (6)16.7%

Red (10)27.8%

Green (15)52%

Amber (14)48%

Red (0)0%

Green (4)33.3%

Amber (4)33.3%

Red (4)33.3%

Area of progress No Areas for Improvement Areas of progress Areas for improvement

PEOPLE IN CUMBRIA ARE HEALTHY AND

SAFE

29 Actions12 Measures Plans for improving emotional wellbeing

and mental health support services for children and young people in place

Training and guidance to improve Personal Education Plans for Children Looked After provided

New joint Public Health Strategy produced Cumbria Fire and Rescue Service

supporting a broad prevention and public health approach

New integrated 0-19 years Early Help and Public Health Services

A statement of intent for Community Safety and partnerships developed

Children’s Improvement Plan delivered A joint strategy for services for people with

a learning disability and/or autism, developed

Construction of new residential care

Reduction in delayed transfers of care

Reduction in accidental primary dwelling fires

Reduction in Road Traffic Collisions fire service required to attend

10,000 safe and well visits carried out.

Reduction in proportion of children overweight and obese

Reduction in numbers of Children Looked After

Reduction in numbers of children & young people subject to a child protection plan

Increase in Cumbria Care residential occupation rates.

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homes for adults in Carlisle and Whitehaven completed

A new Integrated Risk Management Plan agreed

Consideration of approach to re-launch the Cumbria Care brand

Implementation of actions in response to the Care Quality Commission’s Local System Review

Resources aligned to deliver Blue Light Collaboration Agreement.

Alternative models of delivery of children and family services identified

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Quarter 1 2018/19 CPDP Action Status % (number) CPDP Outcome Measure Progress % (number)

Green (11)52%

Amber (10)48%

Red (0)0%

Green (8)67%

Amber (1)8%

Red (3)25%

Area of progress No Areas for improvement Areas of progress Areas for improvement

PLACES IN CUMBRIA ARE

WELL-CONNECTED

AND THRIVING21 Actions

12 Measures

New service standards for highways repairs

Prioritised school maintenance programme delivered

Ways to expand the role of libraries in communities and a programme of activity identified

Equalities Action Plan delivered Review of area planning and locality

working Rail based initiatives which improve

services identified Easily accessible information on local

services New arrangements for highway

maintenance implemented A new approach to support communities

to access funding Cumbria Alliance of System Leadership

(CASL) Plan to deliver school improvement and pupils outcomes.

Early Years outcomes improved Increase in pupils in Key Stage 2,

achieving the expected standard Increase in GCSE attainment Decrease in proportion of 16-17

year olds Not in Employment, Education and Training

Participation of education, training and employment of 16-17 year olds

Increase in pupils attending an outstanding or good school

Increase in outstanding or good schools

Maintenance of Band 3 Incentive Fund rating.

Improvement in overall progress 8 score

Improvement in outcomes for SEND (school support pupils) at Key Stage 2

Reduction in permanent exclusions from 0.1%.

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Quarter 1 2018/19 CPDP Action Status % (number) CPDP Outcome Measure Progress % (number)

Green (17)85%

Amber (3)15%

Red (0)0%

Green (5)71%

Amber (1)14%

Red (1)14%

Area of progress No Areas for improvement Areas of progress Areas for improvement

THE ECONOMY IN CUMBRIA IS GROWING AND

BENEFITS EVERYONE

20 Actions7 Measures

New opportunities for the introduction of professional development programmes

A programme of activity to reduce digital exclusion

Learning shared from pilots preventing young people becoming not in education, employment or training

A more strategic role to improving skill levels

Traineeships opportunities within the Council increased

People from priority groups trained through our Community Learning Service

Annual contribution to public sector apprenticeships target

All providers encouraged to pay the Living Wage Foundation’s Living Wage rate

Increase in the numbers of social enterprises formed and their survival rates

Local libraries as entrepreneurial libraries identified

To support the county’s tourism industry Local Industrial Strategy for Cumbria

produced Investment programme to promote

Cumbria as cultural and creative destination

Developer contributions secured to deliver

Increase in employment rate of 16-64 year olds

Reduction in claimant count rate Increase in proportion of people in

Cumbria with skill level 2 or above Increase in the number of offers of

work experience made to Children Looked After within the Council Increase in spend with Cumbrian Small and Medium Enterprises.

Increase in adult social care providers paying the Living Wage Foundation’s Living Wage.

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local transport, digital and social infrastructure

Take up of school clothing grant New ways in working with public and

private sector partners to maximise support for communities.Opportunities for work experience and apprenticeship increased for Children

Looked After

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Quarter 1 2018/19 CPDP Action Status % (number) CPDP Outcome Measure Progress % (number)

Green (7)58%

Amber (4)33%

Red (1)8%

Green (3)60%

Amber (0)0%

Red (2)40%

Area of progress Areas for improvement Areas of progress Areas for improvement

NEW WAYS OF WORKING AND

ACHIEVING FINANCIAL

SUSTAINABILITY12 Actions

5 Measures

General Data Protection Regulations responsibilities fulfilled

New 'My Account' platform for customers using services online launched

Programme of customer training implemented

New recruitment approaches implemented

Refreshed Council website launched Review of the Council's customer

service standards completedImprovements to customer services

designed and delivered.

All services delivered in line with their 2018/19 revenue budget.

Externally provided Workforce marginal cost reduction

Corporate complaints dealt with satisfactorily at informal stageAll Subject Access Requests

responded to within 1 calendar month.

Freedom of Information (FOI) and Environmental Information Regulation (EIR) requests dealt with within 20 day statutory timescale.

Sickness Absence

GRAND TOTAL82 Actions, 36

Measures

Green (50)61%

Amber (31)38%

Red (1)1%

Green (20)55.6%

Amber (6)16.7%

Red (10)27.8%

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Options Considered and Risks Identified

20. Where performance is flagged red or amber, Service Managers will consider options to ensure performance is back on track, within target, or to increase the pace of improvement.

21. Where performance is flagged green, Service Managers will consider the options for delivering further improvement, setting more ambitious targets, or reducing performance in some areas to an acceptable level to invest in other lower performing services

22. A number of performance risks have been flagged red in Appendix 1. These indicators could have an adverse impact on the Council’s reputation, service standards and / or Council budget and therefore mitigating actions are required to reduce these risks; details of which are included and linkage to corporate risks are highlighted in Appendix 1 (where appropriate).

Reasons for the recommendation/Key benefits

23. The recommendations are intended to:

Ensure public accountability for corporate performance and that the Council can demonstrate a good level of public performance reporting.

Enable Cabinet to celebrate areas of Council services that are performing well and to consider appropriate action if performance is not at an acceptable level, or the pace of improvement is slower than expected.

Ensure that there is accountability at officer level for corporate performance and for the delivery of Council Plan priorities.

Financial – What Resources will be needed and how will it be Funded?

24. The Council’s Corporate Performance Report provides progress on the 2018/19 Council Plan Delivery Plan for the 3 month period ending 30th June. The Council Plan 2018-2022 sets out the Council’s priorities and aspirations. The resource and value for money implications of the plan are considered as part of the annual budget planning process.

25. Appendix 1 includes summary commentary in relation to direct financial impacts of those actions and measures set out against the Outcomes, New Ways of Working and achieving Financial Sustainability. More detailed commentary regarding overall financial monitoring is contained in the report elsewhere on today’s agenda.

111

Legal Aspects – What needs to be considered?

26. This is a report for Cabinet to note and does not have specific legal implications. It is a function of Cabinet to consider and review reports on the Council’s performance (Part 2B 2.1(H)).

Council Plan Priority

27. The Council Plan Delivery Plan 2018/19 sets out the Council’s key programmes of work and activity to deliver on the outcomes set out in the Council Plan 2018-2022. The content of this report highlights the extent to which commitments and targets have been met.

What is the Impact of the Decision on Health Inequalities and Equality and Diversity Issues?

28. An Equality Impact Assessment was carried out in respect of the Council Plan 2018-2022.

29. It is the responsibility of the relevant Assistant Director to ensure that the considerations raised in any Service Equality Impact Assessment are considered when planning and delivering services.

Appendices and Background Documents

Appendix 1 – Council Plan Delivery Plan progress Report - Quarter 1 2018/19.

Key Facts

Electoral Division(s): All

Executive Decision

Key Decision Included in Forward Plan

Exempt from call-in

Exemption agreed by scrutiny chair

Considered by scrutiny, if so detail below

Environmental or sustainability assessment undertaken?

Equality impact assessment undertaken?

√ √

Approved by the relevant Cabinet Member/s on 04/09/2018

Previous relevant Council or Executive decisions - None

Consideration by Overview & Scrutiny - None

Background Papers - None

112

Report Author

Emma Graham, Performance and Intelligence ManagerEmma.Graham1@cumbria.gov.uk (07880 014854)17 Sept 2018

113

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Appendix 1 27 September 2018 Cabinet Report

COUNCIL PLAN DELIVERY PLAN PROGRESS REPORT Quarter 1 2018/19

COUNCIL PLAN DELIVERY

PLAN PROGRESS REPORT

(Progress to 30th June 2018 - Quarter 1)

RAG Alert

RED

AMBER

GREEN

Off target by greater than 10% (urgent action

required to improve performance)

Off target but within target by 5-10% (some action

required to improve performance)

On target, exceeding target, or within 5% of target

(action may be required to achieve further

improvement)

Metric Progress

Has missed or is expected to miss a key

milestone date in the current plan

At risk of missing a key milestone date but

recovery plan in place

On schedule or key milestone date met

Action Progress

Direction of Travel arrows indicates whether performance is better worse stayed the same since the last quarter

115

Ref Action for 2018/19 Milestone RAG (against target)

Direction of travel

since last report

(improving/

sustained/ declining)

1.1

Activities to tackle the causes of poverty across the Council

undertaken; and through partnership working - community-

based solutions put in place.

From June 2018 A →

1.2Integration of health and care services within Integrated Care

Communities in Cumbria planned.By July 2018 A →

1.3

Cumbria’s Local Transformation Plan priorities for improving

emotional wellbeing and mental health support services for

children and young people refreshed and implementation

plans in place.

By December 2018 G →

1.4

Training and guidance to improve the consistency of high

quality PersonalEducation Plans for Children Looked After

provided to practitioners.

By March 2019 G ↑

1.5An all-age carers charter to support all carers to achieve their

aspirations developed.By March 2019 A →

1.6A new joint Public Health Strategy with the 6 District Councils

produced. By March 2019 G →

1.7

The role of the Fire and Rescue Service in supporting a broad

prevention and public health approach enhanced and

expanded, including:

• a programme of 10.000 a year safe and well visits carried

out

• a Multi Service Officer role piloted

By March 2019 G ↑

1.8

New, integrated early help and public health services for

young people aged 0-19 commissioned and the new model

put in place.

By April 2019 G →

1.9The initial integration of health and care services within

Integrated Care in Cumbria implemented. By April 2019 A →

1.10A new approach to delivery of community focused public

health and prevention services established. By October 2019 A →

OUTCOME 1: PEOPLE IN CUMBRIA ARE HEALTHY AND SAFE

Delivery of Council Plan Delivery Plan: 2018/19

Key Action Updates

Supporting outcome: Cumbria's environment and society will support people to be healthy and safe

and manage their own physical and mental wellbeing

116

Commentary for Risk updates:

In relation to actions 1.2 & 1.9 a Corporate Risk (CR12) is in place to address the Council's ability to maintain the pace

required to fully integrate Health & Care Services within the context of competing priorities within the Council.

Commentary for Finance updates:

No items by exception to report.

Commentary for areas of progress:

In relation to action 1.4 for the academic year 2018-2019 changes have been made to the Personal Education Plans

(PEPs). There is one primary PEP to cover both KS1 and KS2 and one secondary PEP to cover both KS3 and KS4

which is hoped will make the process more straightforward for schools to complete. The Virtual School website has

information, guidance, FAQs and sample PEPs so that carers, schools, social workers and other professionals know

how to complete a good quality PEP and training across the county planned for later in the year. The Early Years Team

(part of the  Learning Improvement Service)  are  now linked in with the 0-4 year old PEPs and the whole team have

received training so that they are able to support child minders and early years settings in completing a good quality

PEP.

For action 1.7 Safe and Well continues to support the Prevention and Public Health agenda, now further enhanced with

the introduction of Atrial Fibrillation (AF) tests/referrals, plus the remodelling of the falls prevention assessment delivery

process in line with the Public Health requirements. Safe and Well targets are being accomplished.

Multi Service Officer (MSO) Role is a priority for CFRS in line with the IRMP 16-20 and the parameters of the project

have been identified with the intention to begin scoping the MSO posts in Quarter 2 18/19.

Commentary for areas for improvement and detail of ongoing action:

Actions 1.2 and 1.9 refer to health and care integration and Planning for Integrated Care Communities (ICCs)

continues to progress with most ICCs now having Multi-Disciplinary Team meetings (MDT). Work continues to be made

across the county looking at how health and care services can better join up to improve outcomes for people in

Cumbria. This includes opportunities to co-locate our services.

In the North of the county a significant amount of work has been undertaken to develop Integrated Health and Care

Teams in ICCs. This has included the setting up of a Local Multi-Disciplinary Team; the local health and care leaders

from across the NHS and social care coming together to progress this work. In the south of the county ICC’s continue

to develop around GP practices with emerging MDT working across health and care services.

Key Action Updates

OUTCOME 1: PEOPLE IN CUMBRIA ARE HEALTHY AND SAFE

Supporting outcome: Cumbria's environment and society will support people to be healthy and safe

and manage their own physical and mental wellbeing

117

Ref Action for 2018/19 Milestone RAG (against target)

Direction of travel

since last report

(improving/

sustained/ declining)

1.15The Children Looked After Strategy updated and the Children

Looked After Recovery Plan implemented. By December 2018 A ↑

1.16

A statement of intent setting out the Council’s approach to

Community Safety and partnerships, including Safer Cumbria

and the Children’s Trust Board, developed.

By December 2018 G →

1.17 The 2018/19 Children’s Improvement Plan delivered. By March 2019 G ↑

1.18A joint Council and NHS commissioning strategy for services

for people with a learning disability and/or autism, developed. By March 2019 G →

1.19

Corporate Parenting activity expanded across the whole

Council and contracted to support our Looked After Children

and Care Leavers.

By March 2019 A ↑

1.20A strengths-based practice model, including Signs of Safety,

implemented and embedded across the People Directorate. By March 2019 A ↑

Delivery of Council Plan Delivery Plan: 2018/19

Key Action UpdatesOUTCOME 1: PEOPLE IN CUMBRIA ARE HEALTHY AND SAFE

Supporting outcome: Children, young people and the most vulnerable will be protected from harm

118

Commentary for areas for improvement and detail of ongoing action:

For action 1.15 the CLA and leaving care Strategy process has been agreed by CMT and the Corporate Parenting

Board. First draft to go to CPB end of July 18, on track to go to Cabinet in December for sign off. CLA Recovery plan in

place and been tracked by monthly DMT programme board. Weekly tracking of all new entries, exits from care and any

placement moves and their associated costs. Placement Commissioning Board meets monthly to track all savings in

relation to MTFP and additional savings required regarding CLA budget pressures. Corporate Parentling activity

expansion (action 1.19) will be incorporated in the CLA Strategy and Care Leavers Offer which will be in place by

December 2018.

Commentary for Risk updates:

In relation to actions 1.15, a Corporate Risk (CR1) is in place to address the Council's ability to implement sufficient

preventative measures to enable the reduction of looked after children impacting on the sufficincy of appropriate

placements. This will be achieved through the effective delivery of the CLA Recovery Plan, the effective recruitment and

retention of foster carers, effective case planning & Management and the effective implmentation of the 'Signs Of Safety'

practise Model.

Commentary for Finance updates:

No items by exception to report.

Commentary for areas of progress:

To support delivery of the Childrens Improvement Plan (Action 1.17) a new Board has been established and met for the

first time in July comprising of the chairs of the Children’s Trust Board, LSCB, Corporate Parenting Board, Adult

Safeguarding Board and Children’s Scrutiny. The Board received all of the updates against the plan and were satisfied

with progress. First update of Actions in the Plan show that 48 Actions are RAG rated GREEN, 13 are AMBER and 2

require no update. Quality assurance and feedback mechanisms have been agreed and work is underway to gather

baselines.

Partnership Board is in place to support development of the joint commissioining strategy (Action 1.18). A project group

in place to ensure strategy is co- produced. Work is underway with both CCGs to ensure a joined up strategy. This is in

line with CQC action plan Workstream 4 action B2.

Key Action Updates

OUTCOME 1: PEOPLE IN CUMBRIA ARE HEALTHY AND SAFE

Supporting outcome: Children, young people and the most vulnerable will be protected from harm

119

Ref Action for 2018/19 Milestone RAG (against target)

Direction of travel

since last report

(improving/

sustained/ declining)

1.25

Increase In-house delivery of high quality support at home,

enabling us to achieve our ambition of a mixed market

economy of domiciliary care in Cumbria, delivered.

From June 2018 A →

1.26 Frontline services for adults redesigned. By March 2019 A →

1.27Construction of a new residential care home for adults in

Carlisle completed. By March 2019 G ↑

1.28Construction of a new residential care home for adults in

Whitehaven completed.By March 2019 G ↑

1.29

Rapid response teams who work together to respond quickly

to a person’s rapid or significant change in health condition

introduced across Integrated Care

Communities in Cumbria.

By March 2019 A →

1.30

A new 4-year Integrated Risk Management Plan agreed to

ensure the best possible prevention, protection and response

arrangements are in place.

By March 2019 G ↑

1.31The ‘falls pathway’ implemented in every Integrated Care

Community in South Cumbria. By March 2019 A →

1.32Consider appropriate approach to re-launch the Cumbria Care

brand. By March 2019 G ↑

1.33

The implementation of the Council’s actions required to deliver

the improvements set out in the Health and Wellbeing Board’s

response to the Care Quality

Commission’s Local System Review of Cumbria completed.

By July 2019 G ↑

Delivery of Council Plan Delivery Plan: 2018/19

Key Action Updates

OUTCOME 1: PEOPLE IN CUMBRIA ARE HEALTHY AND SAFE

Supporting outcome: Those who need specialist or emergency services will receive them when they

need them

120

Commentary for areas for improvement and detail of ongoing action:

In relation to action 1.25 the Council is in the process of recruiting care staff within Allerdale, Carlisle, Copeland and

Furness to deliver domiciliary care as part of the Council’s in-house provision with Cumbria Care. The majority of

recruitment will be undertaken towards end of July / early August. There are potential risks around the lack of

workforce availability in key areas of the county and the ongoing Trade Union disputes, both these risks may impact

on the level of recruitment and implementation timescales.

For redesign of adult frontline services analysis of the activity at the Single Points of Access and the pathways into

Adult Social Care has been completed however this requires some refinement and this work will inform future

workforce modelling. It is anticipated online needs / carers / financial assessments going live in September on the

Council website.

Commentary for Risk updates:

In relation to actions 1.25 & 1.33, Corporate Risks are in place to address these; CR3 is in place to address the

Council's ability to meet care needs and delivery continuity of care in context of increasing demand, market challenges

and insufficient capacity in the care market whilst at the same time CR10 is in place to ensure the Council continues

to meet the regulatory standards as set by the CQC as well as addressing the 10 areas of improvement highlighted in

the CQC Local System Review Action Plan.

Commentary for Finance updates:

No items by exception to report.

Commentary for areas of progress:

For both actions 1.27 and 1.28 works have started on both residential care homes and to date progressing on

schedule.

For a new Integrated Risk Management Plan (action 1.30), in respect of Cumbria Fire and Rescue Service, a full

project plan is being developed and will be in place by August 2018. Staff engagement sessions for the IRMP have

been completed. Public and Member engagement sesssions are currently underway and will be completed by end of

August 2018. Supporting documents are being developed including the Risk Based Evidence Profile to understand

the profile of risk and demand across the county.

Work is ongoing to determine an appropriate time and approach to potentially re launch Cumbria Care brand (action

1.32).

In response to CQC Local system review the action plan has been completed (action 1.33). This was presented and

agreed at the Health and Wellbeing Board on the 2nd July 2018 and subsequently passed to the CQC.

Key Action Updates

OUTCOME 1: PEOPLE IN CUMBRIA ARE HEALTHY AND SAFE

Supporting outcome: Those who need specialist or emergency services will receive them when they

need them

121

Ref Action for 2018/19 Milestone RAG (against target)

Direction of travel

since last report

(improving/

sustained/ declining)

1.39

Resources aligned with Blue Light partners to deliver the

Council’s commitment in the Blue Light Collaboration

Agreement.

From June 2018 G ↑

1.40A new Council website launched with a refreshed Information,

Advice and Guidance offer. By September 2018 A →

1.41

Effective triage arrangements established through the

Council’s Service Centre to resolve customer queries in as few

contacts as possible.

By March 2019 A →

1.42Alternative models of delivery of children and family services

identified. By March 2019 G →

Delivery of Council Plan Delivery Plan: 2018/19

Key Action Updates

OUTCOME 1: PEOPLE IN CUMBRIA ARE HEALTHY AND SAFE

Supporting outcome: People will be able to access advice and support to help keep themselves safe

122

Commentary for areas for improvement and detail of ongoing action:

For action 1.40 the website refresh is on track for launch in September 2018. An audit of current content is being

undertaken to ensure information is fit for purpose. A portal for adult social care, which will include information advice

and guidance is also scheduled to go-live in September 2018. Further work is planned to scope the rest of the IAG offer.

In relation to action 1.41 the programme prioritisation for the service centre is to be agreed by the Customer Programme

Board. Workforce will be led and include Service Centre, Digital and Transformation officers scoped with adding pace

and capacity to targeted areas of the programme including the early adopter.

Commentary for Risk updates:

No Corporate Risks have been identified for these specific activities.

Commentary for Finance updates:

No items by exception to report.

Commentary for areas of progress:

For action 1.39 the Blue Light Executive Leaders Board has been established with the Cumbria Blue Light Collaboration

agreement signed on 29th May 2018. Strategic priorities have been agreed.

Signs of safety and promoting independence work has begun to identify alternative model of delivery of children and

family services as required in action 1.42

Key Action Updates

OUTCOME 1: PEOPLE IN CUMBRIA ARE HEALTHY AND SAFE

Supporting outcome: People will be able to access advice and support to help keep themselves safe

123

Ref Measure for 2018/19 RAG (against target)

Direction of travel since

last report

(improving/ sustained/

declining)

M1.1 A reduction in proportion of children overweight and obese

from 28.2% at Reception stage and 35.5% at Year 6.R →

M1.2A reduction in numbers of Children Looked After from 666 to

bring us in line with our statistical neighbours.R ↓

M1.3An increase in the number of Cumbria County Council foster

care households by 15 per year.A ↑

M1.4

A reduction in numbers of children & young people subject to a

child protection plan to 520 (rate of 56/10,000) by

end of March 2019.

R ↓

M1.5An increase in Cumbria Care residential occupation rates to

95%.R ↑

M1.6Reduction in A&E admissions in line with Sustainability and

Transformation Plan targets.A →

M1.7Increase proportion of those receiving reablement being at

home at 91 days following discharge to 91.1%. A →

M1.8Reduction in delayed transfers of care from 49,578 delayed

days in line with Better Care Fund targets. G ↑

M1.9 The number of accidental primary dwelling fires to be less

than 246 in 2018/19.G ↑

M1.10The number of RTCs fire service required to attend to be less

than 258 in 2018/19.G →

M1.11 10,000 safe and well visits carried out by 31st March 2019. G →

M1.12Assistive technology utilisation increased from 2666 service

users in 2017/18.A ↑

Delivery of Council Plan Delivery Plan: 2018/19

OUTCOME 1: PEOPLE IN CUMBRIA ARE HEALTHY AND SAFE

Key Outcome Indicators

124

Commentary for Risk updates:

In relation to M1.2 & M1.3 Corporate Risk (CR1) is in place to address Council's ability to implement sufficient preventative

measures to enable the reduction of looked after children impacting on the sufficiency of appropriate placements. One of

the core causes of this risk is linked to the effective recruitment and retention of foster carers and therefore the recruitment

campaign and increased fees for Foster Carers is having a postive impact on foster care numbers across the County.

Commentary for Finance updates:

Budget forecasting to the year end indicates a total overspend of £8.4 million in relation to Children Looked After

Commentary for areas of progress:

For Delayed Transfers of Care in Quarter 1 (Measure M1.8) the total number of delayed days was 7,790, a decrease

(ie. improvement) of -3,622 days from 11,412 in Quarter 4. The rate of delayed days in Quarter 1 is 1,922 per

100,000, a decrease from 2,815 per 100,000 in Qtr4. There has been a decrease in delayed days each month of the

quarter. There are currently several work streams which are ongoing between partners to reduce the overall numbers

of DTOC attributable to both health and social care. These are being monitored on a weekly basis through a

governance structure set up, of which both health and social care are working in a much closer way, at all levels. This

has resulted in a marked reduction in the overall number of DTOC. There are currently plans to further develop this

work through the implementation of reviews and diagnostic work to identify where cross cutting systems can be

improved and streamlined to make better use of resource and joint capacity.

The number of accidental primary dwelling fires (M1.9) for Quarter 1 (53) is 13.8% lower than the target (61.5) and

13.1% lower than Quarter 4 17/18 (61). Safe and Well visits continue to be delivered with numbers above target and

contribute to the ongoing decrease in accidental primary dwelling fires.

The number of Road Traffic Collisions (M1.10) in Quarter 1 (58) is also 10.1% lower than the target (64.5), and in line

with the previous quarter (Qtr 4 17/18, 59 collisions).

Commentary for areas for improvement and detail of ongoing action:

For measure M1.1 a Healthy Weight summit was held in March 2018; actions are being taken forward through a

Healthy Weight Steering group and also feeding into the Early Years Strategy Group. There is a Specialist Registrar

Public Health in place to lead this work. 5-19 Public Health Service have a key priority for Healthy Weight in Schools

and are actively engaged with Children’s Centres who also have a remit for Healthy Weight through targeted early

help interventions with families who are eligible. Healthy Weight support and pathway is a priority within the 0-19 HCP

/EH integrated model. Annual measure will be updated in Autumn 2018.

June 2018 saw a slight decrease in the number of looked after children (M1.2) from May (694 to 690) - equivalent to

a rate of 74.5/10,000). The figure remains above target, statistical neighbour and national comparators, with a

declining trend over the year. At a district level, rates remain highest in Allerdale & Copeland with 294 CLA

(94.4/10,000) although there was a small decrease in the district in June after 8 months of consistent increases.

Numbers in Barrow & South Lakeland (221, 71.3/10,000) have been relatively unchanged over the last year whilst

Carlisle & Eden remained unchanged at 175(74.5/10,000) albeit with an increasing trend over the year. The CLA

recovery plan is yet to evidence the decrease in numbers of children looked after. Controls are in place – for any

emergency placement permission is by Assistant Director (AD) only. Use of external residential placement is by

agreement by AD. Performance meetings are held on a weekly basis and track all new entries and exits to care and

any placement moves and all associated costs. All external residential placements are being tracked within the

monthly Placement Commissioning Board and tracking new foster carers being approved and any transfer of external

foster carers to internal provision. The number of Cumbria County Council foster carers has increased by 4 at end of

Quarter 1 and expected to meet the target increase of 15.

In relation to M1.5 occupancy rate at Quarter 1 is 66% at June 2018 against the target of 95%, the Modernisation

Programme is continuing to be progressed and this figure excludes the homes affected. Figures adjusted to reflect

those that couldn’t be occupied as at 30 June due to staff recruitment issues/maintenance works ongoing/used for

NHS beds then the occupancy rate increases to 85%. Work is ongoing to support increased residential occupancy

rates across Cumbria Care Residential Homes where it is cost effective to do so and demand is evidenced.

OUTCOME 1: PEOPLE IN CUMBRIA ARE HEALTHY AND SAFE

Key Outcome Indicators

125

Ref Action for 2018/19 Milestone RAG (against target)

Direction of travel

since last report

(improving/

sustained/ declining)

2.1Superfast broadband infrastructure provided to over 9,000

premises, through the Connecting Cumbria contract.By December 2018 A →

2.2 New service standards for highways repairs adopted. By December 2018 G →

2.3

£62m of highway capital works to maintain our roads and

bridges and continue the repair work required as a result of

the winter 2015 floods delivered.

By December 2018 A →

2.4

A prioritised maintenance programme of £8m to help keep our

schools maintained to a safe, wind and watertight standard

delivered.

By March 2019 G →

2.5

Work undertaken to build on action lists to reduce flooding

across Cumbria, working with partners through the Cumbria

Strategic Flood Partnership.

Ongoing G →

Delivery of Council Plan Delivery Plan: 2018/19

Key Action Updates

OUTCOME 2: PLACES IN CUMBRIA ARE WELL-CONNECTED AND THRIVING

Supporting outcome: The physical and digital infrastructure that people need to access services,

learning, employment, business and leisure will be in place

126

Commentary for Risk updates:

No Corporate Risks have been identified for these specific activities.

Commentary for Finance updates:

No items by exception to report.

Commentary for areas of progress:

For the action in relation to new service standards for highways repairs (action 2.2) the draft specification has been

produced by the project team and progressing through SMT and DMT. The Structure has been identified and being

costed. Expected completion in October 2018.

The prioritised maintenance programme of work on 75 schools across the county during this financial year is Action 2.4.

Of these, 57 projects will be delivered over the summer holiday period. Types of work includes:

- Remedial works to Victorian lath and plaster ceilings

- Reroofing and window renewal

- Rewiring works including new lighting, electric and fire alarms

- Replacement boilers and heating pipework/radiators

- Renewal of domestic hot and cold water distribution

For action 2.5 the three Catchment Management Groups (CMGs) have all met and partners are working to develop a

pipeline of flood risk reduction projects. Currently there are 195 catchment projects being managed through the Project

Working Groups – 99 in the South, 40 in the West and 56 in the East. These projects cover channel maintenance,

community resilience, strengthening defences, study, upstream land management, water board level management.

Further flood risk reduction projects are being developed through the local partnerships.

Commentary for areas for improvement and detail of ongoing action:

In relation to action 2.1 there is some risk to the superfast infrastructure delivery target, but a recovery plan is in place

and this is monitored weekly with the supplier.

Overall the highways capital programme (action 2.3) is progressing well. Across the programme there are individual

projects and programmes that are experiencing greater degrees of success with a number being at green status being on

budget and programme with minimal risk. However examples also exist of projects and programmes which are

experiencing challenges.

Key Action Updates

OUTCOME 2: PLACES IN CUMBRIA ARE WELL-CONNECTED AND THRIVING

Supporting outcome: The physical and digital infrastructure that people need to access services,

learning, employment, business and leisure will be in place

127

Ref Action for 2018/19 Milestone RAG (against target)

Direction of travel

since last report

(improving/

sustained/ declining)

2.9

Ways to expand the role of libraries in communities and a

programme of activity 2018 to take forward the findings

identified.

From July 2018 G ↑

2.10

A Digital Inclusion Programme developed with partners,

including Citizens Online, as part of our journey to make digital

so good it becomes our customers channel of choice.

By September 2018 A →

2.11 Year 1 of the Council’s Equalities Action Plan delivered. From Sept 2018 G ↑

2.12

A comprehensive review of the Council’s area planning and

locality working approach, including the mapping of the

Council’s universal and specialist offers, completed.

By March 2019 G →

2.13Work started to develop community based customer service

hubs, for example, Barrow and Whitehaven Libraries. By March 2019 A →

2.14

Rail based initiatives which involve local communities and

improve services in Cumbria identified through work with

Community Rail Partnerships.

Ongoing G →

Delivery of Council Plan Delivery Plan: 2018/19

Key Action Updates

OUTCOME 2: PLACES IN CUMBRIA ARE WELL-CONNECTED AND THRIVING

Supporting outcome: Locally responsive services will be in place to meet the different needs of

different communities across Cumbria

128

Commentary for Risk updates:

No Corporate Risks have been identified for these specific activities.

Commentary for Finance updates:

No items by exception to report.

Commentary for areas of progress:

This work to expand the role of libraries (action 2.9) via Area Planning and working with different communities / needs.

The library network already works with partners and has a schedule of activities aligned to local need / opportunities and

national programmes and continues to be developed.

The Equalities Plan is on track to be agreed by Cabinet in October and start delivery (action 2.11)

In relation to action 2.14 a number of initiatives are being developed including working with train operators to increase

information screens/ticket vending machines, work to identify sites for hubs, work with operators and communities to

increase station adoption groups, response to stakeholder consulations for May/Dec timetable reviews, host 304

commuity rail partnership meetings, work with major employers to encourage modal shift to rail based travel habits, work

with local schools to raise awareness of safe rail travel, work with socially disadvantaged and vulnerable groups to

provide opportunities for increasing awareness of and access to travel.

Commentary for areas for improvement and detail of ongoing action:

For action 2.10 discussions are ongoing with potential partner organisations and internal stakeholders, including

Community Learning and Policy and Scrutiny, around the development of a digital inclusion programme.

In relation to action 2.13 there are various projects in development through Area Planning to develop community based

customer service hubs. Both Barrow and Whitehaven Libraries are being supported as specific projects by the Capital

Team whilst others are in development. Discussions about embedding this work into the customer services programme

and area planning are taking place.

Key Action Updates

OUTCOME 2: PLACES IN CUMBRIA ARE WELL-CONNECTED AND THRIVING

Supporting outcome: Locally responsive services will be in place to meet the different needs of

different communities across Cumbria

129

Ref Action for 2018/19 Milestone RAG (against target)

Direction of travel

since last report

(improving/

sustained/ declining)

2.20The information on local services which is easily accessible to

communities improved and increased. By March 2019 G →

2.21New arrangements surrounding the undertaking of

maintenance activities on the highway implemented. By March 2019 G →

2.22A new approach to support communities to access funding

and maximise the benefits for each community in place. By March 2019 G →

Delivery of Council Plan Delivery Plan: 2018/19

Key Action Updates

OUTCOME 2: PLACES IN CUMBRIA ARE WELL-CONNECTED AND THRIVING

Supporting outcome: Communities will be confident and have access to the support they need to

design and deliver the services they need

130

Commentary for Risk updates:

No Corporate Risks have been identified for these specific activities.

Commentary for Finance updates:

No items by exception to report.

Commentary for areas of progress:

In relation to action 2.20 the website refresh includes the development of improved 'find my nearest' functionality,

allowing people to search for services based on their location. The website refresh also includes a workstream

around improving the content and information provided, with proposals for a greater level of user engagement in

supporting the continuous improvement of this information.

For action 2.21 arrangments for undertaking maintenance activities has progressed with the project team having

been established with dedicated resource. Initial draft agreements have been produced and are currently being peer

reviewed. A meeting is being arranged with a representative group of parish councils and the support of CALC. A

brief progress update has been drafted to go to each Local Committee.

An Asset Based Community Development approach continues to be delivered to support communities (action 2.22).

Communities are supported and encouraged to co-produce or directly deliver local services appropriate for their

community of place and or interest. Community groups are ultimately less reliant on public sector support.

Commentary for areas for improvement and detail of ongoing action:

No actions relevant to this area

Key Action Updates

OUTCOME 2: PLACES IN CUMBRIA ARE WELL-CONNECTED AND THRIVING

Supporting outcome: Communities will be confident and have access to the support they need to

design and deliver the services they need

131

Ref Action for 2018/19 Milestone RAG (against target)

Direction of travel

since last report

(improving/

sustained/ declining)

2.24

The review and implementation of the Cumbria Alliance of

System Leadership (CASL) Plan to deliver school

improvement and pupils outcomes carried out.

Start in June 2018 G ↑

2.25

In consultation with the Schools Forum, policies and activities

updated and reviewed to manage concerns around the

financial sustainability of the schools and schools related (e.g.

high needs) budgets in response to national challenges.

Start in June 2018 A →

2.26A review to identify improvements to the Pupil Referral Unit

service completed. By December 2018 A ↑

2.27

Construction of two new schools at Campus Whitehaven

completed as part of delivery of the Council’s inclusion

strategy involving the co-location of secondary and special

schools.

By January 2019 A ↑

2.28Ways to increase Special School capacity in Cumbria

identified and Resourced Provision reviewed.By March 2019 A ↑

2.29

A review to extend the Alternative Provision offer for

vulnerable children and young people in the South and North

of the county completed.

By March 2019 A ↑

2.30

The Early Years Strategy to secure an improvement in

educational outcomes in the Early Years and to diminish

variations implemented, monitored and reviewed.

By March 2019 A →

Delivery of Council Plan Delivery Plan: 2018/19

Key Action Updates

OUTCOME 2: PLACES IN CUMBRIA ARE WELL-CONNECTED AND THRIVING

Supporting outcome: Children and young people will receive the best education possible

132

Commentary for Risk updates:

No Corporate Risks have been identified for these specific activities.

Commentary for Finance updates:

No items by exception to report.

Commentary for areas of progress:

In relation to action 2.24 the CASL Structure has been reviewed in December/January 2017/18. New board structure

now in place and several meetings have been held. A new leaner management structure is in place, and a cluster

event in June is in the planning stages.

Commentary for areas for improvement and detail of ongoing action:

School Forum informed of intention to update policies at 03 July meeting in line with progression of action 2.25. Work

to review policies and update activities will commence late July 2018. Consultation required with schools is expected

to commence Autumn 2018.

In relation to action 2.30 the development stage is complete of the early years strategy and the implementation stage

is underway. Questions around structure and team organisation still leave a risk around delivery.

Key Action UpdatesOUTCOME 2: PLACES IN CUMBRIA ARE WELL-CONNECTED AND THRIVING

Supporting outcome: Children and young people will receive the best education possible

133

Ref Measure for 2018/19 RAG (against target)

Direction of travel

since last report

(improving/

sustained/ declining)

M2.1Early Years outcomes improved from 68.5% to be in line with

the national level.G ↑

M2.2

The percentage of pupils in Key Stage 2, achieving the

expected standard in Reading, Writing and Mathematics

combined to show continued upward trend from 61.3% and to

be at least in line with the national level.

G ↑

M2.3

The percentage of pupils of pupils attaining GCSE 9-5 in

English and Mathematics to increase from 42.2% and be in line

with or better than the national level.

G n/a

M2.4The overall progress 8 score continues to improve from -0.13

and is at least in line with the national level.R ↑

M2.5

Outcomes for SEND (school support pupils) at Key Stage 2

achieving the expected standard in Reading, Writing and

Mathematics to improve from 17.9% to be in line with national

level.

R ↑

M2.6The proportion of 16-17 year olds Not in Employment,

Education and Training to be 3.75% or lower for 2018/19. G ↑

M2.7

The ‘September Guarantee’ duty (where all young people aged

16 and 17 receive a suitable offer of learning)

increased to 98% for 2018/19.

A ↑

M2.8The Participation in education, training and employment of 16-

17 year olds to reach 93% for 2018/19.G →

M2.9 The proportion of permanent exclusions reduced from 0.10%. R ↓

M2.10The percentage of pupils attending an outstanding or good

school increased to at least 87%.G ↑

M2.11The percentage of outstanding or good schools increased to

92%.G →

M2.12Maintenance of Band 3 Incentive Fund rating for highways

asset management from the Department for Transport.G →

Delivery of Council Plan Delivery Plan: 2018/19OUTCOME 2: PLACES IN CUMBRIA ARE WELL-CONNECTED AND THRIVING

Key Outcome Indicators

134

Commentary for Finance updates:

A continued increase in permanent exclusions has the potential to impact on the spend of high needs

block.

Commentary for areas of progress:

For measure M2.6 the proportion of 16-17 year olds reported as NEET or whose status was Not Known

in Jan-Mar 2018 was 3.8% in Cumbria, down from 4.4% in the same quarter last year (due to seasonal

factors, it is not appropriate to compare quarter on quarter change). This represents an average of 385

young people, down from 459 for the same period last year. The NEET rate in Jan-Mar 2018 was 1.8

lower than nationally and 1.8 lower than Cumbria's statistical neighbours. NB: the official DfE annual

scorecard figure is measured over the Dec-Feb period which is considered the most representative

time period. The scorecard figure for 2017/18 (Dec 17-Feb 18) is not expected to be published until

October 2018.

In June 2018, the proportion of children attending a good or outstanding school in Cumbria (measure

M2.10), at 85.2%, shows an improvement compared to March 2018 (84.8%) and is closer to our April

2019 target of 87%. This measure is therefore RAG rated as green against the target.

For measure M2.11 in June 2018 there were 286 schools judged by Ofsted to be good or outstanding

(88.8%), remaining the same as the end of Q4 17/18. The proportion of good and outstanding schools

nationally at the end of the 2016/17 academic year was 87%. Cumbria’s standing in this regard is good

in all phases except secondary, and our target is to increase the proportion overall to 92% by May

2018.

Commentary for areas for improvement and detail of ongoing action:

For measure M2.9 in the 2016/17 academic year the annual rate for permanent exclusions across all

schools was 0.1%. This is higher than the annual figure for 2015/16 (0.07%). The year-to-date figure

from September 2017 to June 2018 is 0.15%. As the target is to reduce the rate from 0.1% per annum,

or 0.01% per month but the annual figure is on a worsening trajectory over the last two years. The

latest monthly figures are for June and are 0.023%, which is also above target. There has been an

increase in exclusions nationally. In Cumbria, Access and Inclusion officers provide support and

advice to individual schools. Training for Governors who review exclusions is planned for the Autumn

term 2018. Access and Inclusion officers will be reviewing the 2017-18 exclusions data in August 2018

to look at exclusion levels within individual schools as a percentage of the school population. The

highest excluding schools will be contacted to discuss this. Wider data in relation to pupils being taken

off roll during the school year will also be considered.

M2.4 and M2.5 annual figures will be updated in Quarter 2.

Commentary for Risk updates:

No Corporate Risks have been identified for these measures.

OUTCOME 2: PLACES IN CUMBRIA ARE WELL-CONNECTED AND THRIVING

Key Outcome Indicators

135

Ref Action for 2018/19 Milestone RAG (against target)

Direction of travel

since last report

(improving/

sustained/ declining)

3.1

New opportunities for the introduction of professional

development programmes,

similar to the Council’s social work academy, to support ‘hard

to fill’ recruitment and succession planning challenges

identified and implemented.

From June 2019 G →

3.2

A programme of activity to reduce digital exclusion - focusing

on providing ways for those who are currently excluded due to

their income, skills or lack of access to digital technology - put

in place.

From July 2018 G →

3.3

Learning shared from local pilots aimed at preventing young

people becoming NEET (Not in Education, Employment or

Training) and implemented.

By December 2018 G →

3.4

A more strategic role for the Council in supporting the LEP-led

approach to improving skill levels across the county identified

and plans in place for implementation.

By December 2018 G ↑

3.5

Traineeships opportunities within the Council increased by 25,

and ways to increase traineeships available across other

employers in Cumbria

identified with partners.

By March 2019 G →

3.6

5000 people from priority groups trained through our

Community Learning Service to acquire new skills and/or new

qualifications.

By July 2019 G ↑

Delivery of Council Plan Delivery Plan: 2018/19

Key Action Updates

OUTCOME 3: THE ECONOMY IN CUMBRIA IS GROWING AND BENEFITS EVERYONE

Supporting outcome: Everybody will have access to learning opportunities throughout their life and

career

136

Commentary for Risk updates:

No Corporate Risks have been identified for these specific activities.

Commentary for Finance updates:

No items by exception to report.

Commentary for areas of progress:

In relation to professional development programmes (3.1), following approval of the Workforce Plan at Cabinet on the

14th June, initial scoping work has commenced to identify potential opportunities for programmes to support 'hard to fill'

recruitment and succession planning challenges.

For action 3.4 progress includes LEP Chief Executive to attend CMT.  Senior Manager, Learning & Skills now a member

of the LEP Cumbrian Local Industrial Strategy Steering Group to contribute on skills issues.

In relation to action 3.6, 1,721 people attended Community Learning courses from 1st April to 30th June 2018.

Commentary for areas for improvement and detail of ongoing action:

No actions relevant to this area

Key Action Updates

OUTCOME 3: THE ECONOMY IN CUMBRIA IS GROWING AND BENEFITS EVERYONE

Supporting outcome: Everybody will have access to learning opportunities throughout their life and

career

137

Ref Action for 2018/19 Milestone RAG (against target)

Direction of travel

since last report

(improving/

sustained/ declining)

3.9

Annual contribution to the four-year (2017-21) public sector

apprenticeships target of 2.3% of the Council’s headcount of

staff achieved.

By March 2019 G ↑

3.10An integrated workforce strategy for the county’s health and

care services developed. By March 2019 A →

3.11

All providers delivering services to, and on behalf of, the

Council encouraged to pay the Living Wage Foundation’s

Living Wage rate of pay to their staff.

Ongoing G ↑

3.12

An increase in the numbers of social enterprises formed and

their survival rates

achieved through work with Cumbria Social Enterprise

Partnership - focusing on creating pathways to local

employment.

Ongoing G ↑

Delivery of Council Plan Delivery Plan: 2018/19

Key Action Updates

OUTCOME 3: THE ECONOMY IN CUMBRIA IS GROWING AND BENEFITS EVERYONE

Supporting outcome: Everybody will have access to good quality employment opportunities

138

Commentary for Risk updates:

In relation to actions 3.10 Corporate Risk (CR2) is in place to address Workforce capacity, skills and relatonships,

ensuring that the Workforce Plan Delivery Plan is delivered across the Council and specifically workforce for Health &

Care Services.

Commentary for Finance updates:

No items by exception to report.

Commentary for areas of progress:

In relation to action 3.9, 11 new apprenticeships started April 2018.  70 new apprenticeships currently under

recruitment for September 2018 start.  Schools currently recruiting their September 2018 apprentices, no indicative

numbers at this stage.  124 Internal staff apprenticeships currently under recruitment.  Total indicative Council

numbers are predicted to exceed the target  of 144 by March 2019.

For action 3.10 for an integrated workforce strategy a joint planning meeting between County Council and health

colleagues is scheduled for early August to scope the approach.

In relation to action 3.12, 5 starts ups have been commenced in Quarter 1 and 4 existing enterprises have

commenced support packages. Reporting on enterprises achieving incorporation status will be provided Quarter 2-4,

jobs created/safeguarded will be reported in Quarter 4. Survivability is not monitored until 12 months after

incorporation (industry standard metric).

Commentary for areas for improvement and detail of ongoing action:

No actions relevant to this area

Key Action Updates

OUTCOME 3: THE ECONOMY IN CUMBRIA IS GROWING AND BENEFITS EVERYONE

Supporting outcome: Everybody will have access to good quality employment opportunities

139

Ref Action for 2018/19 Milestone RAG (against target)

Direction of travel

since last report

(improving/

sustained/ declining)

3.15Ways to establish local libraries as entrepreneurial libraries

identified. From July 2018 G →

3.16

To support the county’s tourism industry by delivery of

infrastructure and events:

• support to the delivery of the Tour of Britain 2018 in Cumbria

provided

• over £1 million of improvements to the Rights of Way

network delivered

By Sept 2018

By April 2019

G ↑

3.17 Local Industrial Strategy for Cumbria produced, working in

partnership through the LEP. By December 2018 G ↑

3.18

Year 1 of an investment programme to promote Cumbria as a

cultural and creative destination and help support the visitor

and tourism economy developed and delivered.

By December 2018 G →

3.19

Developer contributions secured to deliver the local transport,

digital and social infrastructure required by new housing

developments - including school places, safe routes to

schools, and sustainable transport links.

Ongoing G ↑

Delivery of Council Plan Delivery Plan: 2018/19

Key Action Updates

OUTCOME 3: THE ECONOMY IN CUMBRIA IS GROWING AND BENEFITS EVERYONE

Supporting outcome: The county will be an attractive place for businesses to invest, and local businesses will

thrive

140

Commentary for Risk updates:

No Corporate Risks have been identified for these specific activities.

Commentary for Finance updates:

No items by exception to report.

Commentary for areas of progress:

For action 3.16 the programme on track for delivery of Tour of Britain race in September. There has been a successful campaign

to gain sponsorship, positive local and national media coverage and over 60 community events organised around the Tour stages.

Local launch is on 18th July. Now awaiting route risk assessment to allow Temporary Traffic Regulation Orders (TTROs) to be

processed. The spend on Rights of Way in Quarter 1 was £27k, this is expected to increase significantly through Quarter 2.

In relation to action 3.17 a Local Industrial Strategy (LIS) Steering Group has been formed by the LEP including representatives

from CCC. A series of consultation events is scheduled for July 2018 and a draft LIS is expected to be produced in September

2018.

For action 3.16 £820,477 has been secured through Section 106 Agreements for 5 proposals (8 contributions) - 4 education

contributions and 4 travel contributions.

£1,472,457.35 has been received from Section 106 Agreements for 6 projects (8 contributions) - 2 highway contributions, 5

educations contributions and 1 Public Right of Way contribution.

Commentary for areas for improvement and detail of ongoing action:

No actions relevant to this area

Key Action Updates

OUTCOME 3: THE ECONOMY IN CUMBRIA IS GROWING AND BENEFITS EVERYONE

Supporting outcome: The county will be an attractive place for businesses to invest, and local businesses will

thrive

141

Ref Action for 2018/19 Milestone RAG (against target)

Direction of travel

since last report

(improving/

sustained/ declining)

3.22

Proper take-up of the Schools Clothing Grant by families with

children eligible for Free Schools Meals promoted through

communication with schools and

support agencies.

Ongoing G →

3.23

New ways in which the Council can work with public and

private sector partners to maximise support for communities

through partners’ socio-economic Community Services

responsibilities identified and implemented.

From July 2018 G ↑

3.24The Council’s Care Leavers Offer, to assist carer leavers in or

in preparing for adulthood and independent living, published. By December 2018 A ↑

3.25

Opportunities for work experience and apprenticeships

increased, and systems

to ensure that all Children Looked After receive Information,

Advice and Guidance about these opportunities put in place.

By March 2019 G →

3.26

New ways in which the Council can work collaboratively to

support communities to achieve their aspirations, based on a

better understanding of what community want to achieve,

identified and plans for implementation put in place.

By March 2019 A →

Delivery of Council Plan Delivery Plan: 2018/19

Key Action Updates

OUTCOME 3: THE ECONOMY IN CUMBRIA IS GROWING AND BENEFITS EVERYONE

Supporting outcome: Everybody will be supported to achieve their aspirations

142

Commentary for Risk updates:

No Corporate Risks have been identified for these specific activities.

Commentary for Finance updates:

No items by exception to report.

Commentary for areas of progress:

In relation to action 3.23, following the experience of accessing socio economic funding from nuclear partners which

supports local projects, area teams have begun work with local businesses and the Cumbria Exchange to match

businesses offering support with local projects looking for help.

September 2018 apprenticeship vacancies have been promoted to all Children Looked After (action 3.25). 5

applications received. One young person offered an apprenticeship in Highways. Tailored information, advice and

guidance provided to the other four applicants around opportunities available and support to access them.

Commentary for areas for improvement and detail of ongoing action:

For action 3.24 work is happening internally and across the partnership and therefore on track to produce offer in

December 18 as planned alongside our CLA and Care Leavers Strategy.

Inline with action 3.26 area working across the organisation and with partners is underway. Relationships are

strengthening and each area is developing the approach in line with local aspirations. Collaboration with District/City

Councils is improving with examples of joint work and sharing of resources. Joint plans are either in place or in

development across the 6 areas but are dependent on partner interest.

Key Action Updates

OUTCOME 3: THE ECONOMY IN CUMBRIA IS GROWING AND BENEFITS EVERYONE

Supporting outcome: Everybody will be supported to achieve their aspirations

143

Ref Measure for 2018/19 RAG (against target)

Direction of travel

since last report

(improving/

sustained/ declining)

M3.1 An increase in employment rate of 16-64 year olds from 78.1%. G →

M3.2 A reduction in claimant count rate from 1.9%. G →

M3.3An increase in proportion of people in Cumbria with skill level 2

or above from 75% of 16-64 year olds.G →

M3.4An increase in Apprenticeship starts delivered in Cumbria from

the number in 2017/18 (academic year).A →

M3.5An increase in the number of offers of work experience made

to Children Looked After within the Council.G →

M3.6An increase in the percentage of Council commissioned spend

with Cumbrian SMEs from 26%.G ↑

M3.7

An increase in the percentage of adult social care providers

paying the Living Wage Foundation’s Living Wage from

22% in March 2018.

R →

Delivery of Council Plan Delivery Plan: 2018/19

OUTCOME 3: THE ECONOMY IN CUMBRIA IS GROWING AND BENEFITS EVERYONE

Key Outcome Indicators

144

Commentary for Finance updates:

No items of exception to report

Commentary for areas of progress:

M3.1 and M3.2 will refer to updated data in quarter 2.

For measure M3.5, Pilot work experience offer of 20 places planned for October 2018 in Barrow.

Traineeship programme, which integrates work experience planned for Copeland and Carlisle, starting

November 2018 with 25 places.

Council commissioned spend with Cumbrian SMEs (measure M3.6) at end of first quarter of 2018/19,

the figure is 35%. Where appropriate, and possible, contracts are being disaggregated to optimise

opportunities for local SMEs.

Commentary for areas for improvement and detail of ongoing action:

There has been no change from the previous quarter (22%) in percentage of adult social care providers

paying the living wage foundations living wage (M3.7).

Commentary for Risk updates:

No Corporate Risks have been identified for these specific measures.

OUTCOME 3: THE ECONOMY IN CUMBRIA IS GROWING AND BENEFITS EVERYONE

Key Outcome Indicators

145

Ref Action for 2018/19 Milestone RAG (against target)

Direction of travel

since last report

(improving/

sustained/ declining)

4.1The Council's new General Data Protection Regulations

responsibilities fulfilled.By June 2018 G →

4.2A new 'My Account' platform for our customers using services

online launched.By September 2018 G →

4.3A programme of customer training, to support the delivery of

the Council's Customer Service Strategy, implemented.From end of June 2018 G ↑

4.4New recruitment approaches to address market issues and

'grow your own' initiatives identified and implemented.From July 2018 G →

4.5 A refreshed Council website launched. By September 2018 G →

4.6

Approach and programme of commercial activities to support

the objective to become a financially sustainable organisation

developed.

By December 2018 A →

4.7All services delivered in line with their 2018/19 revenue budget

as set by Council in February 2018 (updated as required).Ongoing until March 2019 R n/a

4.8

A programme of capital investment totalling £135.135 million in

2018/19 as agreed by Council in February 2018 delivered

(updated as required).

Ongoing until March 2019 A →

4.9A review of the Council's customer service standards

completed.By March 2019 G →

4.10

Improvements to customer services for a programme of

prioritised services, beginning with highways services,

designed and delivered.

By March 2019 G →

4.11 A total of £38.829 million of new savings delivered in 2018/19. By March 2019 A n/a

4.12Year 1 of the well-being strand of the Council’s new Workforce

Plan delivered.By March 2019 A →

Delivery of Council Plan Delivery Plan: 2018/19

Key Action Updates

NEW WAYS OF WORKING AND ACHIEVING FINANCIAL SUSTAINABILITY

Supporting outcome: Everybody will be supported to achieve their aspirations

146

Commentary for Risk updates:

In relation to actions 4.1 Corporate Risk (CR6) is in place to address the risk of Information Security including Phase 2 of

GDPR implementation. Corporate Risk (CR2) addresses the risk around workforce capacity and skills through the delivery of

the Workforce Plan and addresses action 4.12 and Corporate Risk (CR5) addresses the risk relating to the Council's ability to

be a financially sustainable Authority and relates directly to actions 4.7 & 4.11.

Commentary for Finance updates:

Non-delivery of Budget savings agreed for 2018-19 is forecast at £1.955m. This requires savings from other areas to be

achieved to ensure the budget is not overspent at the year end. The forecast net Revenue Budget position overall is £2.968m

net overspend at 31st March 2019.

Commentary for areas of progress:

In relation to action 4.2 work is ongoing on the technical implementation of the digital platform which will provide the 'My

Account' functionality for customers. The first phase of this is on track to be delivered in September, with ongoing development

planned throughout the rest of 2018/19.

The Customer Service Training Programme (action 4.3) is on track following a successful pilot and subsequent revisions

following the face to face training to 75 staff in Libraries, Registrars and Archives and members of the Customer Services

Board. Other awareness sessions have included key bitesize learning messages through Learning at Work Week (May 2018)

and Festival for Learning (June 2018). Face to face training will now be rolled out as planned to services including the Service

Centre and Business Support Teams.

Face to face 'Writing for Customers' has has been further developed following the pilot programme delivered through

Environment and Economy teams. Rollout of all training will take place between July to November 2018 as planned with an e-

learning course also in development.

The website refresh is on track to launch in September 2018 (action 4.5). This will include the development of improved

navigation and search functionality and 'find my nearest' capabilities and will be supported by the development of new content

standards and an audit of current content.

For action 4.10 there has been good progress with HIMS system upgrade to improve defect manager as part of customer

service improvments. Employee training has been rolled out on use of upgraded system. Now generating improved automated

and tailored responses to customers.

In relation to 4.12 the council is progressing towards the Better Health At Work 'Gold Award', with an assessment by March

2019. There has been an increase in Health Advocates from 50 to 90. Revised Sickness Absence policy is to be implemented

during September, including a new Disability Leave procedure and guidance for reasonable adjustments. A tender process is

to commence in August to identify an external credit provider, to support financial wellbeing for employees.

Commentary for areas for improvement and detail of ongoing action:

In relation to action 4.7, the Council's budget monitoring report at Quarter 1 identified total pressures with the most significant

area being Children Looked After at £8.4m. Mitigating actions reduce the Council's forecast outturn to £2.968m over budget.

Further mitigating actions are being developed by DMT’s with the aim of delivering a to budget outturn at year end however the

red RAG rating will still apply as individual service areas will continue to be over budget at year end.

At Quarter 1 the forecast under delivery against the total of £38.829m stands at £1.955m, or 5.7% (action 4.11). This figure is

included in the totals above with the intention being to mitigate non-delivery through DMT reviews of actions and expenditure.

NEW WAYS OF WORKING AND ACHIEVING FINANCIAL SUSTAINABILITY

Supporting outcome: Everybody will be supported to achieve their aspirations

Key Action Updates

147

Ref Measure for 2018/19 RAG (against target)

Direction of travel

since last report

(improving/

sustained/ declining)

M4.1A reduction in the marginal cost of Externally Provided

Workforce of 15% from March 2018 levels. G →

M4.2A reduction in Sickness Absence to 10 days per WTE by March

2019.R ↑

M4.3 80% of corporate complaints dealt with satisfactorily at

informal stage.G ↑

M4.490% of FOI and EIR requests dealt with within 20 day statutory

timescaleR ↓

M4.5All Subject Access Requests responded to within 1 calendar

month in line with GDPR legislationG ↑

Delivery of Council Plan Delivery Plan: 2018/19

NEW WAYS OF WORKING AND ACHIEVING FINANCIAL SUSTAINABILITY

Key Outcome Indicators

148

Commentary for Finance updates:

Continued reduction of Externally provided workforce marginal cost and reduction in sickness absence

are expected to contribute to reducing employee related expenditure.

Commentary for areas of progress:

In relation to measure M4.3, in Quarter 1 the council received 27 corporate complaints, 22 of which

were resolved informally. Quarter 4 performance was 67% and this increase in performance for

Quarter 1 has seen the RAG indicator move to green. Work on complaint handling as part of the

Customer Services Review is progressing, with a dedicated project team now established; process

mapping is underway; as is a review of the corporate policy; and research into other areas.

The figure for measure M4.5 (subject access requests relates to the Subject Access Requests (SARs)

received up until the 11th June 2018. Performance to date has shown a significant improvement from

Quarter 4 2017-18 (63.4%) and has seen the RAG rating move to green. The performance calculation

has been based on 40 calendar days for those cases received before 25th May 2018 when the

response deadline reduced to 1 calendar month following the introduction of GDPR.

Commentary for areas for improvement and detail of ongoing action:

Quarter 1 sickness absence (measure M4.2) was 11.41 working days lost. The year-end position for

2017/18 was 11.92 WDL per FTE. The Quarter 1 position reflects a 5% improvement since Quarter 4.

Absence continues to be a high priority for all services and continued and dedicated support is being

provided in high impact areas.

In quarter 1 419 FOI/EIR requests were received and 300 were responded to within timescale (72%)

(measure 4.4). This figure is below target (90%) and has seen a decline from the 2017/18 level (82%).

The Information Governance team have refreshed the reporting arrangements regarding outstanding

requests to ensure they are aligned with our new directorate structure. Appropriate support and

guidance is offered to ensure performance times can be improved.

Commentary for Risk updates:

In relation to measure M4.2, Corporate Risk CR2 is in place to address the risk of workforce capability,

skills and realtionships and directly addresses the issue of high staff absence levels and therefore

enables the reduction of sickness absence.

NEW WAYS OF WORKING AND ACHIEVING FINANCIAL SUSTAINABILITY

Key Outcome Indicators

149

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Committee: Cabinet

Date of meeting: 27th September 2018

Title of Report: Council Enforcement Policy Report by: Executive Director - Economy & InfrastructureCabinet Member: Councillor Ceila Tibble, Cabinet Member for Environment

What is the Report About? (Executive Summary)

1. The purpose of this report is to seek approval for a refreshed Council Enforcement Policy in accordance with the Regulator’s Code. The Enforcement Policy is attached as Appendix 1 and it sets out the council’s approach to bring about compliance with the legislation it enforces.

Recommendation of the Executive Director

2. That Cabinet approves the refreshed Council Enforcement Policy as set out in Appendix 1 attached.

3. That Cabinet delegates authority to the relevant Executive Director, in consultation with the appropriate Portfolio Holder, to approve service specific Enforcement Policies, in line with the principles set out in the Council Enforcement Policy.

Background to the Proposals

4. The Enforcement Policy sets out a high level council wide policy identifying the principles by which the council will carry out its enforcement activity to bringing about compliance to the legislation its enforces. The basic assumption is that our residents and businesses want to comply with the law, however the policy details which action can be expected where none compliance is identified.

5. The previous Enforcement Policy was approved by Cabinet on 28th July 2011, and was specific to Trading Standards, since then new regulations have been introduced including the Regulators Code (the Code) in 2014. The Code came into statutory effect on the 6th April 2014, under the Legislative and Regulatory Reform Act 2006 and provides a clear flexible and principles based framework for how regulators should engage with those they regulate. The Council must have regard to the Code when developing policies and operation procedures that guide the council’s regulatory activities including enforcement action.

6. The revised policy is intended to cover all of the council’s enforcement activities, it provides guidance to businesses and the public, so that they are aware of the range of options that are available to the council to achieve compliance with legislation. The policy enables those who we regulate to understand our

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objectives and methods for achieving compliance as well as the criteria we consider when deciding the most appropriate response to a breach of legislation.

7. The Code provides clear principles on how local authorities should interact with those that they are regulating in order to encourage open and constructive relationships. The Code is underpinned by the principles of good regulation which requires that regulatory activity should be carried out in a way which is transparent, accountable, proportionate, consistent and targeted only at cases in which access is needed and reflects Governments commitment to reduce regulatory burdens and supporting business growth.

8. The revised Policy has been developed to take into account of the wide range of regulatory functions undertaken by the Council for example Trading Standards, Highways, Rights of Way, Planning, Parking, and Lead Local Flood Authority, which come with a variety of sanctions. The Enforcement Policy has been developed as a council wide enforcement policy which can act as an overarching policy, all of the council’s enforcement activity will have regard to the principles it outlines. Some services may also require service specific statements/policies, and in these cases the additional statements/polices will adhere to the general principles of the overarching Enforcement Policy.

9. The overarching enforcement principles which will guide the council’s enforcement activity are:

We will ensure that enforcement action is proportionate to the risks involved and sanctions are meaningful. Whilst we will exercise discretion in individual cases, we will aim to ensure that enforcement is applied consistently and fairly. This means we will adopt a similar approach in similar circumstances to achieve similar outcomes.

We will be accountable for the effectiveness of our enforcement activities. We will direct our regulatory effort effectively using intelligence and relevant risk based schemes. We will target those who persistently or deliberately break the law.

We are committed to the open provision of information and advice in a format that is accessible and easily understood. All decisions will be properly reasoned and recorded, and based upon material evidence.

The Council is committed to recovering the costs of any enforcement action, where we are permitted to do so, and will ensure that such recovery is appropriate and proportionate.

10. This arrangement therefore allows where required clearer detail on supplementary Statutory Guidance and Codes of Practice that may be specific to individual service areas and which must be considered as part of their regulatory role.

11. In accordance with The Code details of fees and charges associated with regulatory activity are already published on the Councils website and regularly updated.

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12. The Enforcement Policy will be reviewed every 3 years. Updates will also be considered in response to feedback by individuals and businesses or as a result of legislative changes.

Options Considered and Risks Identified

Option (a)

Cabinet may approve the Enforcement Policy attached in Appendix 1.

Option (b)

Cabinet may wish to approve the Enforcement Policy as attached at Appendix 1 subject to specific changes being made.

Option (c)

Cabinet may not wish to approve the Enforcement Policy in Appendix 1.

Risks – If the council does not adopt a revised Enforcement Policy and there is no common reference point, then there is a risk that the principles are inconsistently applied across different service areas. This might increase the risk of legal challenge and reduce the fairness and effectiveness of the council’s approach to enforcement.

Reasons for the recommendation/Key benefits

To demonstrate the council’s compliance with its legal requirements To reduce the risk of challenge to enforcement decisions To clearly identify the enforcement opportunities available to the council

Financial – What Resources will be needed and how will it be Funded?

13. There are no direct resource implications arising from the recommendation within this report.

Legal Aspects – What needs to be considered?

14. The Enforcement Policy complies with the Legislative Regulatory Reform Act 2006 and the Regulators Code 2014. By adopting the Policy the Council will ensure our enforcement complies with the law. In the event the Policy is not adopted the Council will not be able to demonstrate compliance with this area of Regulatory law and our enforcement activities may face increased challenge and/or criticism.

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Council Plan Priority – How do the Proposals Contribute to the Delivery of the Council’s Stated Outcomes? (Outcomes - People in Cumbria are Healthy and Safe, Places in Cumbria are well connected and thriving, the Economy in Cumbria is growing and benefits everyone)

15. By having an adopted and clear Enforcement Policy it will help ensure that the people in Cumbria are Healthy and Safe, and that the economy in Cumbria is growing and benefits everyone.

What is the Impact of the Decision on Health Inequalities and Equality and Diversity Issues?

16. No negative impacts

Appendices and Background Documents

Appendix 1 – Corporate Enforcement Policy

Key Facts

Electoral Division(s): All

Executive Decision

Key Decision Included in Forward Plan

Exempt from call-in

Exemption agreed by scrutiny chair

Considered by scrutiny, if so detail below

Environmental or sustainability assessment undertaken?

Equality impact assessment undertaken?

x x x In 2011

Approved by the relevant Cabinet Member 6th September 2018

Previous relevant Council or Executive decisions

28 July 2011 Cabinet Approved Previous Policy

Consideration by Overview & ScrutinyN/A

Background PapersN/A

Report AuthorPhil Greenup, Senior Manager Regulatory Service

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Policy

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Table of contents

1.0 Introduction

2.0 Scope of the Policy

3.0 Supporting Residents, Local Economy and Reducing the Burden

4.0 Principles of Good Regulation

5.0 Standards

6.0 Enforcement Action

7.0 Sanctions and Penalties

8.0 Enforcement within Council establishments

9.0 Protection of Human Rights

10.0 Compliments, Comments, Complaints and Appeals

11.0 Review of the Enforcement Policy

12.0 Status

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1.0 Introduction

1.1 Cumbria County Council carries out a wide range of regulatory roles in meeting its many duties of protecting the public, individuals and the environment. This policy summaries the Council’s approach to bring about compliance with the legislation it enforces. The Council commits to good enforcement practice with clear and effective policies and procedures.

1.2 Thispolicyandanyadditionalservicespecificpolicies, procedures, codes and guidance complies with The Regulators’ Compliance Code, “the Code”, issued by the Minister of State under section 22(1) of the Legislative and Regulatory Reform Act 2006 and includes the principles contained within the Enforcement Concordat.

2.0 Scope of the Policy

2.1 The policy sets out what those being regulated by the Council can expect from the Council and its Officers.Enforcementincludesanycriminalorcivilaction taken by the Council.

2.2 This policy is an overall policy which sets out the standards that will be applied across the council when acting in its role as a regulator and enforcementbody.Specificservicepolicies,procedures, codes and guidance may also exist whichdetailtheprocessesthatofficersoperatingwithin that service area will following when carrying out enforcement activity.

2.3 The purpose of this enforcement policy is to promoteanefficientandeffectiveapproachtoenforcement that is always consistent, transparent, and fair. The aim is to improve compliance with legislation whilst minimising the burden on businesses, individuals and organisations.

2.4 Examples of Service area that enforce legislation and have regulatory functions (Please note that this list is not exhaustive):

Trading Standards Planning and Development Control Flood and Water Management Parking Services Licensing Highways and Transport Countryside Management Waste Services Education (school attendance, child employment) Fire and Rescue Services

3.0 Supporting Residents, Local Economy and Reducing the Burden

3.1 The Council recognises that most individuals and businesses want to comply with the law andtheCouncil’sofficerswill,workwiththemto advise on, and assist with, compliance. We recognise that a key element of our activity will be to allow and encourage economic progress and will only intervene when there is a clear case for enforcement. We will work closely with businesses, individuals and voluntary organisations to help them comply with the relevant legislation. The Council will provide advice and support to local businesses to help them thrive in a fair and equitable trading environment.

3.2 Where appropriate or practicable, the Council’s services will co-ordinate their activity to reduce the impact on the subject of any investigation and to avoid unnecessary duplication.

3.3 The Council will co-ordinate its enforcement activities with those of other local authorities, or appropriate local or national agencies such as the Police, the Department for Environment, Food, and Rural Affairs (DEFRA), the Environment Agency, the Food Standards Agency, the Health and Safety Executive the Department for Work and Pensions (DWP)

4.0 Principles of Good Regulation

4.1 Our principles are informed by ‘the Code’, the Enforcement Concordat and Government guidance. We will ensure that enforcement action is proportionate to the risks involved and sanctions are meaningful. Whilst we will exercise discretion in individual cases, we will aim to ensure that enforcement is applied consistently and fairly. This means we will adopt a similar approach in similar circumstances to achieve similar outcomes.

4.2 We will be accountable for the effectiveness of our enforcement activities. We will direct our regulatory effort effectively using intelligence and relevant risk based schemes. We will target those who persistently or deliberately break the law.

4.3 We are committed to the open provision of information and advice in a format that is accessible and easily understood. All decisions will be properly reasoned and recorded, and based upon material evidence.

4.4 The Council is committed to recovering the costs of any enforcement action, where we are permitted to do so, and will ensure that such recovery is appropriate and proportionate.

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4.5 In accordance with the Code, the purpose of our enforcement action will be:

• to change the behaviour of offenders • toeliminatethegainorbenefitofnon-compliance • to be responsive and consider what is the most

appropriate sanction for the particular offender and the regulatory issue concerned

• to restore the harm caused by regulatory non- compliance, where appropriate

• to be proportionate to the nature of the offence and harm caused

• to deter future non-compliance

4.6 When deciding whether to institute criminal proceedings the Council will have regard to the provisions of The Code for Crown Prosecutors, which sets out the general principles to follow when decisions are made in respect of prosecuting cases, these include:

• Evidential Tests – is there enough evidence against the defendant

• Public Interest Tests – is it in the public interest for the case to be brought to court

5.0 Standards

5.1 The Council will undertake its regulatory and enforcement role in a fair, open and consistent manner. The Council will endeavour to meet the highest standards of service when undertaking its regulatory and enforcement activities. To achieve this, the following standards will apply:

• Allofficersengagedinenforcementfunctionsare appropriately authorised and trained.

• The council believes prevention is better than cure and therefore will encourage businesses and others to comply with the law. We will provide clear information, guidance and advice to those that we regulate to help them meet their responsibilities. If a resident or business chooses not to follow this advice then enforcement action is more likely.

• Enforcement action relies on there being sufficientevidencetoproveorsupportaction being taken. The council cannot act formally wherethereisinsufficientevidenceor independent witnesses, in these cases the details will be used for intelligence purposes only.

• In cases where there is an imminent risk to health or the environment, enforcement action may be taken before the right to challenge can be heard.

• The Council will endeavour to ensure that any action it takes is proportionate to and balanced against the risks. As far as the law allows, the Council will take account of the circumstances of each cases when considering action. This includes the seriousness of the offence, pasthistory,confidenceinmanagement,the consequences of non-compliance and the likely effectiveness of the various enforcement options.

6.0 Enforcement Action

6.1 In deciding whether to initiate enforcement action, we will have regard to national guidelines and criteria set out in the Code for Crown Prosecutors, Hampton Principles and the Code. In assessing whether to take/or what level of enforcement action to take consideration will be given to the nature of the offending and its impact and enforcement action will be more, rather than less, likely, where non-compliance:

• poses a risk to the health, safety, social or economic wellbeing of the public, or to the environment;

• was pre-meditated ; • constitutes a failure to comply in full or in part

with the requirements of a statutory notice or order;

• is aggravated by a history of previous warnings or the commission of similar offences, or continual offending

• is aggravated by circumstances such as the obstructionofanofficeroraggressivebehaviour generally;

• is widespread in the area where it is committed; • is serious causing harm or having the potential to

cause harm; • constitutes negligence, recklessness, fraud,

dishonesty or disregard for the law • is aggravated by previous failures to follow

advice and warnings, or is continuing despite simple cautions or other enforcement actions being imposed for similar behaviour in the past

• involves the wilful supply of false information or an intent to deceive;

• supports enforcement in the public interest.

6.2 Enforcement action may also be more likely, rather than less likely where:

• The action can be expected to act as a deterrent • A conviction is a pre-requisite to other

enforcement

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6.3 There may be individual circumstances where the council may decide to take enforcement action which departs from these principles. We will ensure that any such decision will be properly reasoned and documented and based on material evidence.

7.0 Sanctions and Penalties

7.1 There are a range enforcement options available to the Council, as detailed in the different legislation it enforces. The council will aim where appropriate to use compliance advice, guidance and support asafirstresponseinmostcases.Thefollowingthetypes of sanctions and penalties available to the council:

Advice Where the infringement is minor or of a technical nature and the detrimental impact is very low, and is unlikely to be repeated, advice will be provided to the business.

Written Warnings Where an offence has been committed but is not thought appropriate to take more formal action, in which case a suggested corrective action and a timescale will be given.

Statutory Notices Use of legal notices in accordance with relevant legislationwhichrequireoffenderstotakespecificaction or cease certain activities.

Works in default Following the failure to comply with some legal notices the council can if the notice is not complied with carry out the works in default and pursue the offender for the costs of the work.

Seizure Certain legislation allows for the seizure of goods, equipment and documents that maybe required as evidence. On some occasions we may ask a person to voluntarily surrender the goods.

Forfeiture Some legislation allows us to apply to the court to seek forfeiture of goods, either in conjunction with a prosecution, or separately.

Undertakings and Injunctive action Where a business fails or appears unlikely to comply with an obligation under law, an undertaking or injunction may be sought. Injunctions are used to deal with repeat offenders, dangerouscircumstancesorsignificantconsumerdetriment.

Review of Licences To carry on certain activities a business may require a licence. The department is able to makerepresentationsconcerningthefitnessofthe licence holder which can result in a licence being refused, revoked, suspended or issued with conditions.

Fixed Penalty Notices/Penalty Charge Notices Some legislation allows for Fixed Penalty Notices (FPN)/Penalty Charge Notices (PCN) to be issued as a means of ensuring compliance. It is the offender’s opportunity to avoid a conviction. Non- payment of a penalty notice is not an offence in its own right and should a recipient not pay the penalty offered, prosecution may be necessary for the actual offence.

Simple Caution A formal or ‘Simple’ caution is an admission of guilt but it is not a form of sentence, nor is it a criminal conviction - it may be cited in court in certain circumstances. A record of the caution will be sent tobodiesthatarerequiredtobenotified.CautionsareissuedfollowingHomeOfficeguidance.

Prosecution We will carefully consider all the evidence and have regard to national policies and will comply with the Code for Crown Prosecutors before deciding whether to initiate a prosecution.

Proceeds of Crime Actions Where appropriate, an application may be made under the Proceeds of Crime Act 2002 for confiscationofassetstorecoverthefinancialbenefittheoffenderhasobtainedfromacriminalconduct.

Publicity Where individuals or businesses have acted against the law we may use generic publicity in order to raise awareness, to increase compliance and to improve monitoring of trade practices. We may also publish the results of court proceedings and certain undertakings.

7.2 When an appropriate decision over what enforcement action is to be taken, it will be done sobyasuitablyauthorisedofficerormanager.The decision to prosecute is not taken lightly and all decision will be taken in accordance with the Council’s Scheme of Delegation.

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8.0 Enforcement within Council establishments

8.1 Where the Council is the Enforcement Authority for its own premises, steps are taken to ensure that enforcementdecisionsarefreefromanyconflictofinterest. Serious breaches of the law are brought to the attention of the relevant Assistant Director.

9.0 Protection of Human Rights

9.1 This policy and all associated enforcement decisions take into account the provisions of the Human Rights Act 1998. In particular; the right to a fair trial (article 6), and the right to respect for private and family life, home and correspondence (article 8).

10.0 Compliments, Comments, Complaints and Appeals

10.1 All appeals in relation to enforcement action must be taken via the statutory appeals process outlined in the relevant legislation. Information regarding appeal processes where appropriate will be provided in writing.

10.2 Cumbria County Council is committed to providing high quality services. Your feedback is essential to this and we welcome all compliments, comments and complaints. These help us to review and improve our services so we can provide the best possible services for our customers.

10.3 Complaintsabouttheconductofofficersorinvestigations should be made via the Council’s corporate complaints procedure.

To contact us: • Visit our website www.cumbria.gov.uk • Email: complaints@cumbria.gov.uk • Tel: 0800 121 8800 • Callintooneofourcounciloffices

11.0 Review of the Enforcement Policy

11.1 This policy will be reviewed at least every three years and updated in response to changes in legislation or changes in Service delivery.

11.2 For further information about this policy please contact

12.0 Status

12.1 This policy was approved by the County Council’s CabinetonXXX.Allservicespecificenforcementpolicies, procedures, codes and guidance will comply with the principles of the policy and will be approved by their appropriate Corporate Director.

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Committee: CabinetDate of meeting: 27 September 2018

Title of Report: Community Asset Transfer: Various Properties - land and buildings in Penrith (Eden) and Seascale (Copeland)

Report by: Dominic Donnini, Executive Director – Economy & Infrastructure

Cabinet Member: Cllr David E Southward MBE, Cabinet Member for Economic Development & Property

What is the Report About? (Executive Summary)

1. This report proposes two Community Asset Transfers:

a) The freehold transfer of land at Thacka Beck, Penrith to Penrith Town Council (Community Asset Transfer) for nil consideration.

b) The freehold transfer of Seascale Library to Seascale Parish Council (Community Asset Transfer) for nil consideration.

Recommendation of the Executive Director

2. Cabinet agrees the freehold transfers of the land and buildings at Thacka Beck, Penrith and Seascale Library, Seascale for nil consideration in line with the Council’s Community Asset Transfer Policy, and delegate authority to the Executive Director – Economy and Infrastructure to finalise the detailed terms of those transfers.

Background to the Proposals

3. Land at Thacka Beck, Penrith (see Appendix 1)

Penrith Town Council (PTC) submitted an expression of interest to the County

Council for the land in April 2017; the expression of interest was accepted and PTC invited to submit a business plan and case for the asset transfer.

4. Penrith Town Council agreed its business case and plan for the asset transfer of the field at a meeting on 26 February 2018. It was subsequently recommended to Eden Local Committee in April 2018.

5. Penrith Town Council describes itself as a rapidly developing Council thatconsults with local residents to understand what they want, via the development of their Neighbourhood Plan and community engagement activity. The Town Council has engaged with Eden District Council to devolve a range of services and assets and believes that the proposed asset transfer of the land at Thacka Beck will compliment this devolution process.

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6. The proposal for the land is in two stages:

Stage 1: preserve the field very much as it is now i.e. for informal exercise, in particular dog walking. In addition the PTC will explore the need for minor enhancements, e.g. new gate entrances, dog bins, signage, trimming back hedges by footways.

7. Penrith Town Council consulted on this basis with 700 households in the Pategill area of Penrith as it was felt that this community was the most frequent users of the land. The Town Council asked ‘Do you support the land being transferred to the Town Council?’ 78 responses were received. 100% were in favour of the transfer.

8. Stage 2: will seek to deliver a range of major enhancements such as a community orchard, a children’s play area, and more extensive footpaths. Possible income generation opportunities will be explored as part of this second stage.

9. Penrith Town Council has advised that all costs associated with the servicing and possible development of the field could be accommodated from their devolved services budget.

10. Seascale Library, Seascale (see Appendix 2)

In July 2016 Copeland Local Committee was presented with an expression of interest from Seascale Parish Council (SPC) with respect to the Seascale Library. SPC’s stated aim was to take over and develop the offer into a community centre retaining the library facility. This is an operational asset and not therefore surplus.

11. Seascale Parish Council agreed its business case and presented to Copeland Local Committee in January 2018.

12. The proposal for the building states the following aims:

To develop the current library building as a Community Hub to include a Conference Meeting Room, improvements for disabled access for toilet facilities and an upgrade to the kitchen which will give the ability to generate income from room hire related to local businesses, Sellafield Ltd and the Supply Chain.

There is a strong desire from the community to keep a library service within the building; there is already a list of 20 willing volunteers ready to run a Library Link, similar to the one set up in Gosforth, which will be supported by the Council’s own Library staff.

A network of partner agencies have already shown an interest or are already using the building such as Seascale GP Surgery, Credit Union, Citizens Advice Bureau, Age UK West Cumbria and Phoenix Enterprise Centre which will provide much needed accessibility to these services for an ageing population in a key service centre and where there is now limited public transport.

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13. Seascale Library is recognised as a well used and thriving facility but currently open only 19.5 hours per week. This proposal is to build on the work already being done from the library building thereby allowing the community to grow and expand the services available locally. The library is currently single manned and the SLA allows for volunteers to run the library within the current core hours provided for by the Council and then expand the hours to be more suited to the requirements of the community. This flexibility enables the resources within the library to be more accessible to the community than would be possible using only the Council staff.

14. As with other Library Links stock provision and changes will be managed by Council staff. The proposal is also to enable the current member of staff to be redeployed so that outreach work including author events, health days and archive sessions can be prepared and delivered within a local programme for the whole area.

Options Considered and Risks Identified

Option (a)

Cabinet to agree the freehold transfer of both the land at Thacka Beck, Penrith and Seascale Library, Seascale for nil consideration.

Option (b)

Cabinet to agree the freehold transfer of either/or the land at Thacka Beck, Penrith and Seascale Library, Seascale for nil consideration.

Option (c)

Cabinet does not agree the proposed Community Asset Transfers resulting in the following:o Land at Thacka Beck disposed of in line with the Council’s Disposal

Policy, ando Seascale Library retained in Council ownership.

Risks –

Option (a) – No risk identified and no maintenance liabilities involved.

Option (b & c) – Retention of Seascale Library will result in ongoing revenue and capital (backlog maintenance) liabilities associated with operating and maintaining the building.

The ability to offer a wider facility to the Seascale community from the existing library will not be delivered.

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Reasons for the recommendation/Key benefits

The land at Thacka Beck will support the Council’s Vision to be a Council that works with residents, businesses, communities and other organisations to deliver the best services possible within the available resources with particular reference to the aim that people in Cumbria are healthy and safe.

Seascale Library will support the Council’s Vision to be a Council that works with residents, businesses, communities and other organisations to deliver the best services possible within the available resources with particular reference to the Council’s aim to ensure places in Cumbria are well connected and thriving. As the demands on existing public services increase and budgets reduce, the ability of communities to design and deliver their own solutions on their own or jointly with organisations to meet their own particular needs will be increasingly vital to creating thriving communities.

Financial – What Resources will be needed and how will it be funded?

15. Land at Thacka Beck – Currently owned by the Council, the land has a potential asset value of £0.050m, should Cabinet agree to the transfer at nil cost rather than disposal on the open market, then the potential capital receipt of £0.050m would be foregone by the Council.

16. Seascale Library - Currently owned by the Council, the library has a potential asset value of £0.070m should Cabinet agree to the transfer at Nil cost rather than disposal on the open market, then the potential capital receipt of £0.070m would not be foregone by the Council. The Council will also need to enter into a Service Level Agreement (SLA) with the Parish Council to provide books, install a self-service machine, provide training to the Parish Council staff and provide ongoing professional support, the costs associated with this should be met for a fixed period from the existing service budget agreed by Council in Feburary 2018 as part of the 2018-19 MTFP. This may be reviewed from time to time as funding allows.

17. Should Cabinet agree to the Community Asset Transfers, the Council could save £0.008m per annum in running costs.

18. Each transfer should include a clawback clause to ensure that any future sale proceeds realised above the nominal transfer value will revert back to the County Council.

Legal Aspects – What needs to be considered?

19. Statutory Power to dispose (all Recommendations):

Where the County Council disposes of its assets, it is under a statutory duty pursuant to section 123 of the Local Government Act 1972 to do so at the best consideration (i.e. price) reasonably obtainable, unless a consent to a disposal at an undervalue has been obtained from the Secretary of State.

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The Secretary of State has issued a general consent, allowing local authorities to dispose of land at an undervalue, where they consider that to do so will help to secure the promotion or improvement of the economic, social or environmental wellbeing of the area, provided that the difference between the value of the land interest to be disposed of and the consideration being accepted by the Council (“the undervalue”) is £2,000,000 (two million pounds) or less and that the valuation process set out in the general consent has been complied with.

The County Council may, therefore, rely on this general consent in relation to the disposal of its land if it considers that the wellbeing benefits outlined in the report justify selling the land at a discount.

20. Seascale Library

The County Council has a statutory duty under the Public Libraries and Museums Act 1964 (“the 1964 Act”), to provide a comprehensive and efficient library service for all persons in the area that want to make use of it.

The Service Level Agreement that will be entered into with the Parish Council will continue to ensure this duty is met. Should this cease, the County Council may be required to seek an alternative means of meeting its statutory duty.

Council Plan Priority – How do the proposals contribute to the delivery of the Council’s stated objectives?

21. To be a Council that works with residents, businesses, communities and other organisations to deliver the best services possible within the available resources we will ensure:

People in Cumbria are healthy and safe

Providing land for Penrith Town Council to safeguard leisure and recreation facilities for the community of Penrith.

Places in Cumbria are well-connected and thriving

Enabling Seascale Parish Council to take control of a community facility, safeguarding the delivery of library services and enhancing the services/facilities delivered from the building.

What is the Impact of the Decision on Health Inequalities and Equality and Diversity Issues?

22. None identified.

Appendices and Background Documents

Appendix 1 – Site Plan: Land at Thacka BeckAppendix 2 – Site Plan: Seascale Library

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Key Facts

Electoral Division(s): Penrith East (Eden) & Gosforth (Copeland)

Executive Decision

Key Decision Included in Forward Plan

Exempt from call-in

Exemption agreed by scrutiny chair

Considered by scrutiny, if so detail below

Environmental or sustainability assessment undertaken?

Equality impact assessment undertaken?

Y Y N N N N Y

Approved by Cabinet Member/s on – please state date:

10th September 2018

Previous relevant Council or Executive decisions

N/A

Consideration by Overview & Scrutiny

N/A

Background Papers

N/A

Report Author

Angela Jones – Assistant Director (Economy and Environment)angela.jones@cumbria.gov.ukMob: 079 2081 4141

Allan Harty – Senior Manager (Property)allan.harty@cumbria.gov.uk Mob: 077 9582 7042

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Committee: Cabinet

Date of meeting: 27th September 2018

Title of Report: Borderlands Inclusive Growth Deal

Report by: Dominic Donnini, Executive Director – Economy and Infrastructure

Cabinet Member: David Southward, Cabinet Member – Economic Development and Property

What is the Report About? (Executive Summary)

1. The purpose of the report is to provide an up-date to Cabinet members on the development of the Borderlands Inclusive Growth Deal proposals. The report seeks authority to submit the Deal documentation to the UK and Scottish Governments as a basis for further negotiations in order to secure funding that will support economic growth across the Borderlands region.

Recommendation of the Executive Director

2. It is recommended that Cabinet approves the submission of the Borderlands Inclusive Growth Deal proposal to UK and Scottish Governments from Carlisle City Council, Cumbria County Council, Dumfries and Galloway Council, Northumberland Council and Scottish Borders Council.

3. It is recommended that delegated authority is given to the Executive Director - Economy and Infrastructure in consultation with the Leader, Deputy Leader and Cabinet Member – Economic Development and Property to:a) Finalise Deal proposal and documentation to be submitted to UK and

Scottish Governmentsb) Negotiate with UK and Scottish Governments and agree a Growth Deal for

the Borderlands working with the other local authority partnersc) Approve and enter into a Heads of Terms agreement for a Borderlands Deal

with UK and Scottish Governmentsd) Agree governance arrangements for the Borderlands Partnership Board with

the Council being represented on the Board by the Leader of the Council.

4. It is recommended that Cabinet notes that Northumberland Council will be the accountable body for the Deal on behalf of the English authorities and Dumfries and Galloway Council will be the accountable body for the Scottish authorities.

Background to the Proposals

5. The Conservative Government made a manifesto commitment in May 2017 to negotiate a Borderlands Deal. The Borderlands partners were then invited to submit a proposal. The Borderlands Inclusive Growth Proposition was

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Agenda Item 12

submitted at the end of September 2017 to both the UK and Scottish Governments, by the Leaders of the five local authorities making up the Borderlands Partnership (Carlisle City Council, Cumbria County Council, Dumfries and Galloway Council, Northumberland County Council and Scottish Borders Council). The UK Government Chancellor of the Exchequer’s Autumn Statement on 22 November 2017 reaffirmed the Government’s intention to do a Borderlands Deal. Since then further stages of work, including wider engagement with both governments, businesses, communities and other stakeholders has been undertaken. This has led to the development of the Deal proposals which will be subject to further negotiation with both Governments in order to reach Heads of Terms.

6. A copy of the over-arching proposal is attached at Appendix A (and is Exempt from Publication under Schedule 12A Paragraph 3). Supporting this are Strategic Outline Business Cases (SOBCs) for each of the projects and programmes as identified in the over-arching proposal. The Deal proposal has been led by the five Council Leaders who have met on a monthly basis. The supporting documentation has been overseen by the Chief Executives, supported by an officer team assembled from each of the partner authorities.

7. Following submission of the proposal, there is expected to be further negotiation with UK and Scottish Governments. At this stage, there is no guarantee that a Deal will be agreed and therefore the documentation is being treated as exempt from publication by all the local authorities who are submitting the application until such time as there is greater financial certainty in relation to the negotiations. A public announcement on funding from the Borderlands Deal will not be made until Heads of Terms have been agreed. Heads of Terms would only provide an indicative funding allocation and would be conditional upon more detailed business cases being prepared and approved before any grant funding is released.

Deal Proposal

8. The Deal proposal sets out a “shared ambition for the Borderlands to be a vibrant place attracting, rewarding and retaining people to live, work, visit and invest here, by offering a high quality experience, in beautiful, well-connected surroundings.”

9. The Borderlands partners, through this Deal and other coordinated approaches, will develop the cross-border economy by driving up productivity and growing the working age population. The focus will be on collaborative working to strengthen links across boundaries and ensure inclusive growth by improving the fortunes of our residents and communities.

10. The Deal proposal comprises six programmes and five place-based projects. The six programmes will deliver benefit across the whole Borderlands geography and include:

10.1 Borderlands Energy Investment Company - The proposal is for a strategic co-ordination and investment vehicle using a whole systems approach to support and bring forward new energy projects across the Borderlands area. The Energy Investment Company (EIC) will invest in energy projects

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that create new jobs in the energy sector, generate cheaper energy for homes and businesses, reduce fuel poverty, attract inward investment, and help Borderlands become the first carbon neutral region in the UK.

10.2 Quality of Place - To stimulate the repurpose and reinvention of towns and centres across the Borderlands to create places that are economically vibrant, resilient to change, and enable us to attract the working age population that is vital to the future of our economy and the long-term sustainability of our towns.

10.3 Business Infrastructure Programme - The programme will invest in business sites and infrastructure to support the development of business premises to accommodate business growth and diversification. It will address significant market challenges that have constrained development and business creation and growth across the region.

10.4 Knowledge Exchange Network - The proposal is to improve access to learning through establishment of a network of knowledge exchange hubs. The network will focus on increasing the productivity of the Borderlands labour force and businesses through equipping them with the knowledge, competencies and aspirations they need to participate in a future facing knowledge economy. This will deliver increased learner numbers, raised skill levels and enhanced competitiveness in the business base, thereby supporting the vitality of Borderlands as a place to learn, live and work.

10.5 Digital Borderlands - This is a transformational digital infrastructure project to deliver future-proofed connectivity improvements that will enhance rural productivity across the 9,000 square mile Borderlands region. Our ultimate ambition is to ensure all properties in the area have access to full fibre connectivity, complemented with 4G and 5G mobile connectivity. The Borderlands represents a challenging market location and we recognise our ambition must be pursued progressively. Our investment objectives are three-fold: Borderlands to catch up and match UK levels of connectivity Equitable coverage across the Borderlands, with no place left far behind Deliver the connectivity to enhance business productivity and to allow

Borderlands to secure and retain globally excellent digital activity into the future

10.6 Destination Borderlands - Our Vision is for a Borderlands that has an established national and international profile, renowned for the breadth and quality of its tourism product and experiences, leading to an increase in visitor numbers and an increase in visitor expenditure. Our proposal is to invest in our heritage, recreational and cultural assets to build on the vital part that the tourism sector plays in our economy, and in turn driving improvements in our offer and sharing the benefit across our places and communities.

11. In addition to the programmes there are five projects, as follows:

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11.1 Mountain Bike Innovation Centre - Creation of a world class destination for research and development, innovation, tourism and investment in mountain biking. The project includes: Provision of an innovation hub through the renovation of Innerleithen

(Caerlee) Mill to support the incubation and growth of a cycling industry innovation district.

Creation of a world class bike and adventure park in the Tweed Valley.

11.2 Carlisle Station Gateway - The proposal is for a transformative project aimed at capitalising on the untapped potential of the area around Carlisle Station. The station acts as a central hub for connectivity within the Borderlands region and is key point of arrival into Carlisle City. The project will improve connectivity and access; increase footfall, vibrancy and activity in Carlisle city centre and attract young people to the area. Plans to develop this project are at an early stage and work is underway with a range of potential partners to maximise the potential of this scheme.

11.3 Chapelcross - Realise the potential of the 200 hectare former nuclear Chapelcross site through: Creation of a large-scale strategic mixed-use employment site for

Borderlands with significant wider economic impact. Support the development of green energy production, storage and

distribution solutions.

11.4 Berwick Theatre and Conference Centre - The proposal is to repurpose Berwick as a Border Town through the construction of an iconic new theatre and conference centre on the banks of the River Tweed that attract people to visit, live and work in Berwick. The new theatre will allow the internationally-renowned programme of The Maltings to be expanded and complemented with a multi-use conference space creating a ‘must-visit’ cultural and heritage destination between Edinburgh and Newcastle.

11.5 The Borders Railway - This proposal is for cross-border feasibility work for the extension of the Borders Railway from Carlisle to Tweedbank to bring transformational benefits to the Borderlands economy. It is a cross-border transport scheme connecting the Border City of Carlisle in England with Edinburgh, the capital of Scotland. This project will assist the Borderlands in developing its offer to the world, help increase trade across the border and make the area more accessible as well as show-case the beauty of the area along this ‘green’ corridor.

12. Recognising the importance of transport to the area, there are a number of areas where the Borderlands partners are seeking to work jointly with the UK and Scottish Governments in order to progress strategic transport schemes. This includes an ask in relation to four Borderlands priorities: Support through the new West Coast Mainline franchise for improvements to

Carlisle Station and for there to be direct HS2 services to London from Carlisle from 2026.

Funding from MHCLG’s Housing Infrastructure Fund for Carlisle Southern Link Road to support delivery of the St. Cuthbert’s Garden Village proposals.

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A commitment to progress feasibility work for improvements to the junction arrangements in the area around Gretna and to support development of Chapelcross as a strategic development site.

13. Given the rural nature of Borderlands area, there are also a number of areas where the partners, through the Deal, are seeking to work collaboratively with Defra and Scottish Government to test new approaches to land and marine management, and particularly in relation to development of new approaches to land management post-Brexit.

Governance

14. A Memorandum of Understanding has been signed by the five local authorities agreeing to work together to negotiate a Borderlands Deal with UK and Scottish Governments. It is expected that the informal Partnership Board that has led the development of the Deal proposals will be formalised to have the oversight for the subsequent delivery of the Borderlands Inclusive Growth Deal programme. Detailed terms of reference for the Partnership Board have not yet been agreed and a new agreement between the local authorities will be required to replace the Memorandum of Understanding.

15. As the Partnership Board is unlikely to be a formal legal entity any funding provided from Government associated with the Deal, will be provided to a local authority to administer and manage on behalf of the Partnership. For the English authorities, the accountable body will be Northumberland Council and for the Scottish authorities the accountable body will be Dumfries and Galloway Council.

16. The final amount that will be included within the Deal is not yet known and will be subject to further negotiation during October 2018. Assuming a successful negotiation, it is expected there will be a funding announcement in the Budget in November with Heads of Terms between the partner authorities and UK and Scottish Governments to be agreed soon after. Detailed governance will follow

Council Delivery

17. One of the key projects in the Deal is the Carlisle Station Gateway project. Carlisle Station is the busiest interchange in the Borderlands region and plays an important role in providing accessibility and connectivity to, from and within the Borderlands. The Carlisle Station Gateway project seeks to deliver a transformational development to make Carlisle a more attractive destination and point of arrival and in turn increase the vitality and vibrancy of the city centre. As the landowner for the station forecourt and the Citadels building, the Council has an important role to play in the delivery of this project. It is proposed that the Council contributes its land to this project. A final decision on this would need to be made by Cabinet if the project proceeds to the next stage.

18. The County Council is also likely to have a delivery role in the Digital Borderlands project. It is anticipated that each area would be responsible for delivery of the digital infrastructure improvements in their administrative area. For Cumbria, this would build on the Connecting Cumbria delivery programme to continue the roll-out of additional full fibre infrastructure as well as deliver

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new masts with full fibre back-haul to improve 4G coverage across the Borderlands region. It will be important to facilitate delivery of digital skills training to maximise the benefits of improved digital connectivity through a Digital Borderlands programme.

Options Considered and Risks Identified

Option (a) – Submit the Deal proposal

With this option there is the risk that Government decides not to proceed with further negotiations.

Option (b) – Submit an alternative Deal proposal

If a substantantially different alternative were proposed it would require a further report to Cabinet. There is in any event a risk that the other partners would not agree to make any revisions to the Deal proposal in advance of submission.

Option (c) – Do not proceed with the Deal

In this option, the Council would miss the opportunity to secure Government funding to support economic development investment in the Borderlands region.

Reasons for the recommendation/Key benefits

The Deal offers the opportunity to secure Government funding to be invested in the Borderlands region to support economic development that would not otherwise be available.

Through the Deal there is the opportunity to develop an improved relationship with Government that may lead to further funding being allocated in future years.

Financial – What Resources will be needed and how will it be Funded?

19. This paper seeks Cabinet approval to submit the Deal documentation to the UK and Scottish Governments as a basis for further negotiations in order to secure funding that will support the economic development of the Borderlands region. There are no additional financial implications at this time other than staff time taken in developing the Deal documentation and this is covered by existing revenue budgets.

20. Should the Carlisle Station Gateway project proceed then Cabinet will need to consider the full range of options for contributing land in its ownership to the project at a later date.

Legal Aspects – What needs to be considered?

21. The Executive Director – Economy and Infrastructure has referred this decision to Cabinet owing to its strategic and financial significance to the Council.

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22. If the Council is successful in its application, the Executive Director will report the outcome to Cabinet. This is required under the Financial Standing Orders.

Council Plan Priority – How do the Proposals Contribute to the Delivery of the Council’s Stated Outcomes? (Outcomes - People in Cumbria are Healthy and Safe, Places in Cumbria are well connected and thriving, the Economy in Cumbria is growing and benefits everyone)

23. The Borderlands Inclusive Growth Deal supports the Council Plan Economy priority in that the outcomes from the Deal are to achieve economic growth for the benefit of our residents and businesses.

What is the Impact of the Decision on Health Inequalities and Equality and Diversity Issues?

24. Strategic Outline Business Cases have been prepared for each of the projects and programmes within the Deal. If a funding allocation is confirmed in the Budget, local partners will be invited to prepare more detailed business cases. Within the detailed business cases, consideration will be given to social impacts including health, equality and diversity issues.

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Appendices and Background Documents

Appendix A – Borderlands Over-arching Deal Document (Exempt from Publication under Schedule 12A Paragraph 3)

Key Facts

Electoral Division(s): All

Executive Decision

Key Decision Included in Forward Plan

Exempt from call-in

Exemption agreed by scrutiny chair

Considered by scrutiny, if so detail below

Environmental or sustainability assessment undertaken?

Equality impact assessment undertaken?

x

Approved by the relevant Cabinet Member/s on 6th September 2018 at Cabinet briefing

Previous relevant Council or Executive decisions N/A

Consideration by Overview & Scrutiny No

Background Papers None

Report Author: Alison Hatcher

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Committee: CabinetDate of meeting: 27th September 2018

Title of Report: Approval to Award by Cabinet for Open Framework Agreement for the provision of support for individuals with a learning disability and/or autism with additional needs.

Report by: John Macilwraith – Executive Director: People (Deputy Chief Executive)

Cabinet Member: Peter Thornton – Cabinet Member: Health and Care Services

What is the Report About? (Executive Summary)

1. This paper seeks approval to appoint providers who have met or exceeded the minimum standards required to the Open Framework Agreement for the provision of support for individuals with a learning disability and/or autism with additional needs from October 2018 for a period of 3 years, with the option to extend for a further year.

2. The Framework Agreement has been commissioned and procured in-line with the Council Plan 2016-2019 Priority 2 - To support older, disabled and vulnerable people to live independent and healthy lives, and the Council’s Contract Procedure Rules (Part 5H).

Recommendation of the Executive Director

3. Cabinet is recommended to approve establishment of the framework and the Open Framework Agreement for the provision of support for individuals with a learning disability and/or autism with additional needs (the “Framework”) from 22nd October 2018. (The Framework is for an initial period of 3 years, with the option to extend for a further period of up to 12 months).

4. Cabinet is recommended to delegate all future provider appointments to the Framework (for providers that meet the published tender criteria) to the Executive Director – People.

Background to the Proposals

Current Arrangements

5. The Council has a duty under the Care Act 2014 to provide care and support to eligible residents of Cumbria. This includes support for individuals with a learning disability and/or autism with additional needs.

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Agenda Item 13

6. The Transforming Care Programme and more recently, Building the Right Support (created as a result of the exposure of Winterbourne View, a national incident which resulted in the review of in-patient hospital services for individuals with a learning disability) requires local authorities and health partners to work in partnership in order to reduce the number of individuals with a learning disability within hospital, avoid admission and develop local support.

7. The Council currently has a range of frameworks, contracts and internal support services in place to meet the needs of people with a learning disability and/or autism.

8. Although existing services are capable of meeting the needs of the majority of individuals with a learning disability and/or autism with additional needs, there are a range of individuals where the challenge their behaviour presents cannot be met through existing provision. Additional needs can arise as a result of:

Mental Health Issues Personality Disorder Attention Deficit Hyperactivity Disorder Physical Disabilities Behaviour which challenges support Forensic History

9. Until January 2018, a Specialist Services Provider Agreement was in place in to facilitate the commissioning of support for these individuals.

10. The arrangement has now ended and services commissioned under this Agreement are generally fully occupied with a limited number of providers in county who able to meet the needs of individuals with a learning disability and/or autism with additional needs.

11. In addition, needs assessment has indicated that the number of individuals who require services outside of existing arrangements will continue to rise (JSNA, 2017). This group includes people who:

Are part of the Transforming Care Programme and are currently in-patients, are at risk of admission, or are in treatment and assessment services

Are currently in transition between children and adult services and are typically in educational residential placements and unable to return home

The Proposed Framework

12. Permission to procure an Open Framework was granted by the Executive Director: People, via People Directorate Management Team on the 22nd May 2018 in order to develop the range of options and support available to the council.

13. The framework is to be considered alongside the development of in-house provision with plans to work with all providers to develop alternate models of support which meet the needs of individuals, encouraging progression and ordinary lives.

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14. The focus of the framework is upon outcome based support, with providers expected to both demonstrate innovative solutions to meet individual needs and clearly evidence how individual outcomes have been achieved. In order to ensure that providers are able to tailor support based upon individual needs, a support commissioned via the framework will include a range of lots:

Lot 1: Residential and Nursing Services Lot 2: Residential Services Lot 3: Supported Living Services Lot 4: Day Opportunities

15. After co-production with individuals, providers and partners, the Framework was advertised widely on 8th June 2018: as an Open Tender via OJEU (Official Journal of the European Union), The Chest and the national portal (Contracts Finder) to ensure that all providers of support services, including potential new entrants to the Cumbrian market, were able to view the tender opportunity.

16. The Framework is for an initial period of 3 years, with the option to extend for a further period of up to 12 months.

17. The Framework is an “Open” Framework which is open to new admissions throughout the duration of the term. Any new organisations wishing to submit a bid can do so at any time, and the Council will evaluate such applications on a six monthly basis, or more frequently if required.

18. The framework will also be open to North Cumbria and Morecambe Bay Clinical Commissioning Groups in relation to individuals who are funded via NHS funding streams.

19. The advertised Award Criteria in the ‘Invitation to Tender’ (ITT) document was based on 100% quality due to the variation in support options. Price will be evaluated during mini competition stage where further details of specific support to be commissioned will be available.

20. The initial tender process ran from 8th June to 9th July 2018. At the Tender deadline, the Council had received bids from 34 Providers which were subsequently evaluated against the advertised award criteria. Following evaluation, 22 providers are recommended for award.

21. A summary of the Providers who have met the required standard can be found in Appendix 1. This contains 8 new entrants to the Cumbrian market.

22. All successful providers will be eligible to enter mini competition for support for specific individuals or groups under the Framework.

23. As the Framework is open for the duration of the term, providers who fail to gain a place on the Framework can re-apply on a six monthly basis, or as frequently as required by the Council.

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Options Considered and Risks Identified

24. Option (a)

Approve the recommendation as outlined in paragraphs 3 and 4.

25. Option (b)

Do not approve the Framework from 22nd October 2018 and spot purchase or broker all individual care and support on a case by case basis. This option would be resource intensive, inefficient and would not deliver the right quality of care at an appropriate cost. In addition, provider sustainability would be reduced, as would the incentive to invest within Cumbria and deliver services locally.

This option will also impact on our ability to fulfil our statutory obligations as set out in paragraph 5 and on compliance with the Public Contract Regulations as set out in paragraph 9.

Reasons for the recommendation/Key benefits

26. The establishment of the Framework will enable the Council to meet the support needs of the increasing numbers of people with a learning disability and/or autism with additional needs in Cumbria. The key benefits the framework will seek to deliver are:

Commissioning of services for groups as opposed to individuals resulting in:o Attraction of new and specialist providers to Cumbria, supporting the council

to procure specialist services within countyo Increased provider sustainability o Increased savings for the council generated by economies of scale

Opportunities to further develop in house services

Improvements in outcomes for individuals with a focus on citizenship, ordinary lives, independence, progression and a reduction in the need for paid support wherever possible

Development of services to support the ‘homes not hospitals’ agenda of the Transforming Care Programme

Reduction in specialist hospital admissions and an improvement in discharge processes and the availability of appropriate support

Improvements in recruitment and retention of staff for providers due to:o Improvement in support staff development, training and progressiono Development of shared support for groups of individuals reducing the

occurrence of staff burnout

27. Delegation of subsequent appointments to the framework will expedite the commencement of any contracts that were not established as part of the initial tender process and enable the appointment of any new providers onto the Framework as quickly as possible.

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28. Should Cabinet not award the Framework an alternate arrangement will need to be developed and implemented swiftly to enable the placing of individuals with a learning disability and/or autism with additional needs in a way which complies with the Public Contracts Regulations 2015.

Financial – What Resources will be needed and how will it be Funded?

29. Of the 65 individuals currently identified who could potentially access support commissioned from the proposed framework, 33 currently access services commissioned by Health and Care at a total cost of £3.111m

30. The actual cost over the proposed 3+1 year contract is dependent on planned dates of discharge from NHS service, the planned transition of individuals from Children’s Services and the eligible needs of each individual. The potential value of the framework is expected to be up to £22.360m. The profile is as follows:

New Framework Costs £m Cost Cumulative Cost

2018/19 from September 1.655 1.6552019/20 4.465 6.1202020/21 6.280 12.4002021/22 6.990 19.3902022/23 to end August 2.970 22.360

Legal Aspects – What needs to be considered?

31. The value of this framework is over the relevant threshold for the purposes of the Public Contracts Regulations 2015 (the Regulations). As a result any proposed arrangements must comply with the Regulations.

32. The use of an open framework as set out above is compliant with the Regulations as the services offered represent ‘light touch’ services where there is a wider choice of procurement mechanisms.

33. The Council is under a duty to provide services to meet the assessed eligible needs of individuals in its area imposed under the Care Act 2014. The Care Act 2014 also imposes on the Council market-shaping duties, including making sure there is sufficient, high quality services available to allow service user choice. The open framework recommended will enable the Council to better comply with its duties.

Council Plan Priority – How do the Proposals Contribute to the Delivery of the Council’s Stated Outcomes? (Outcomes - People in Cumbria are Healthy and Safe, Places in Cumbria are well connected and thriving, the Economy in Cumbria is growing and benefits everyone)

34. The recommended fits with the following 2016-19 Council Plan priorities:

To support older, disabled and vulnerable people to live independent and healthy lives;

To be a modern and efficient council

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What is the Impact of the Decision on Health Inequalities and Equality and Diversity Issues?

35. All aspects of Health, Equality and Diversity were considered during the commissioning of the Framework Agreement and included in the final specification and terms and conditions.

Appendices and Background Documents

Appendix 1 – Provider List

Key Facts

Electoral Division(s): Countywide

Executive Decision

Key Decision Included in Forward Plan

Exempt from call-in

Exemption agreed by scrutiny chair

Considered by scrutiny, if so detail below

Environmental or sustainability assessment undertaken?

Equality impact assessment undertaken?

Yes Yes No n/a No No No

Approved by Cabinet Member/s on – please state date ………………………

Previous relevant Council or Executive decisions

People DMT 22/05/18: Additional Needs Framework: Permission to Procure

Consideration by Overview & Scrutiny

Background Papersn/a

Report Author(s)

Jo Atkinson – Assistant Director & Mark Humble – Senior Commissioning Manager (Corporate, Customer and Community Services)

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APPENDIX 1 – List of Providers who have successfully completed applications for the Open Framework Agreement for the People with a Learning Disability and/or Autism with Additional Needs at 24/07/18

Tender Lots Description1 Affinity Trust Lot 3 Supported Living

Lot 1 Residential with Nursing Lot 2 Residential 2 ConsensusLot 3 Supported Living

3 Creative Support Lot 3 Supported Living4 Eden Futures Lot 3 Supported Living

Lot 1 Residential with Nursing Lot 2 Residential 5 Elysium HealthcareLot 3 Supported Living

6 Gray Healthcare Lot 3 Supported LivingLot 3 Supported Living7 Home GroupLot 4 Day Opportunities

8 Imagine Independence Lot 3 Supported Living9 Independence Support Ltd Lot 3 Supported Living

Lot 2 Residential 10 Lifetime OpportunitiesLot 3 Supported Living

11 Lifeways Lot 3 Supported LivingLot 2 Residential 12 Royal Mencap SocietyLot 3 Supported Living

13 Serenity In Mind Lot 3 Supported Living14 The Glenmore Trust Lot 3 Supported Living

Lot 3 Supported Living15 The Human Support GroupLot 4 Day OpportunitiesLot 3 Supported Living16 The Oaklea TrustLot 4 Day OpportunitiesLot 3 Supported Living17 Thera TrustLot 4 Day OpportunitiesLot 1 Residential with Nursing Lot 2 Residential Lot 3 Supported Living

18 Turning Point

Lot 4 Day OpportunitiesLot 2 Residential Lot 3 Supported Living19 United ResponseLot 4 Day OpportunitiesLot 1 Residential with Nursing Lot 2 Residential Lot 3 Supported Living

20 Voyage

Lot 4 Day OpportunitiesLot 2 Residential 21 WalsinghamLot 3 Supported Living

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Lot 2 Residential Lot 3 Supported Living22 West HouseLot 4 Day Opportunities

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Committee: CabinetDate of meeting: 27 September 2018

Title of Report: 2020-2021 School Admissions Arrangements

Report by: John Macilwraith, Executive Director – People (Deputy Chief Executive)

Cabinet Member: Sue Sanderson, Cabinet Member – Schools and Learning

What is the Report About? (Executive Summary)

1. The paper sets out, at Appendix A, the proposed admission arrangements for Community and Voluntary Controlled schools, for which the county council is the statutory admission authority. The Local Authority (LA) is required to consult other admission authorities on any changes to the policy, including catchment areas and proposed reductions to published admission numbers (PANs). The LA must also consult the governing bodies of Community and Voluntary Controlled schools where it proposes to increase or retain the existing Published Admission Number (PAN) for 2020-21. Consultation on the 2020-21 arrangements must take place for a 6 week period between 1 October 2018 and 31 January 2019.

2. This paper also sets out, at Appendix B, the proposed co-ordinated scheme for school admissions in 2020-21, which the LA is required to formulate by 1 January 2019. The LA is required to consult on the scheme at least once every seven years even if there have been no changes to the scheme.

3. The report further seeks permission for the publication of statutory notices to implement changes of age range at a number of Community schools, in order to formally add or extend maintained nursery provision in the county.

Recommendation of the Executive Director

4. Recommendation 1: Approve the amended admissions policy for Community and Voluntary Controlled schools at Appendix A to go out to consultation with the required groups as set out in the School Admissions Code 2014, paragraph 1.44. This includes consultation on proposals to reduce the Published Admission Number (PAN) for Kirkbampton CE School and Brook Street School; and proposed changes to the oversubscription criteria in relation to children previously in care outside England, children of staff at a school and faith based criteria.

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Agenda Item 14

Recommendation 2: Approve consultation on the proposed co-ordinated scheme for 2020-21 for Community and Voluntary Controlled schools, Appendix B.

Recommendation 3: Approve, for consultation with the relevant schools, the proposed definition of relevant areas for admission authorities in Cumbria for the period 2020-21 to 2022-23.

Recommendation 4: Agree to consult on an increase to the PAN at Thursby Primary School, and on the retention of the existing PAN at all other Community and Voluntary Controlled schools.

Recommendation 5: Approve the publication of statutory notices related to changes to age range at the schools set out in paragraph 52.

Note that a further report will be brought to Cabinet in December 2018 to provide feedback from the consultation and to seek a decision on the adoption of the 2020-21 admission arrangements for Community and Voluntary Controlled schools, the co-ordinated admission scheme 2020-21 and the nursery admissions policy for 2020-21 for community and voluntary controlled nursery schools and infant/primary schools providing nursery education.

Background to the Proposals

5. The School Admissions Code 2014 came into force on 19 December 2014 replacing the School Admissions Code 2012.

6. The county council retains the role of admissions authority for Community and Voluntary Controlled schools in the county, and must determine admission arrangements by 28 February 2019 for the 2020-21 academic year.

7. Admission arrangements for Community and Voluntary Controlled schools include catchment areas and the criteria that will be applied to applicants in the case of oversubscription.

8. Voluntary Aided, Foundation, Free schools and Academies have responsibility for determining their own admission arrangements, also including catchment areas and oversubscription criteria.

9. The county council also retains responsibility for co-ordinating the main admissions round for all maintained schools and academies in the county. It is required to formulate a co-ordinated scheme setting out the various stages in the admissions process by 1 January 2019 for the 2020-21 academic year.

10. Where the co-ordinated scheme has not changed from the previous year there is no requirement to consult, subject to the requirement that the LA must consult on the scheme at least once every seven years, even if there have been no changes.

11. The co-ordinated scheme was last consulted on during the spring term 2012. That consultation was in respect of the co-ordinated scheme that was applied to

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admissions for the 2013-14 academic year. Since 2013-14 there have been no significant changes to the co-ordinated scheme and Members have approved the updated scheme annually without consultation.

12. As set out in the School Admissions Code 2014, the LA must consult on co-ordinated scheme for 2020-21 during the autumn term 2018 as it is seven years since the scheme was lasted consulted upon. Consultation on the co-ordinated scheme for 2020-21 will be alongside consultation on the proposed admission arrangements for Community and Voluntary Controlled schools for 2020-21 that, if agreed, will be undertaken between 1 October 2018 and 31 January 2019.

13. Voluntary Aided, Foundation, Free schools and Academies are own admission authority schools. The governing body or academy trust is responsible for the admissions policy and make any decisions about the allocation of places. The Local Authority is not responsible for allocation decisions made by Voluntary Aided, Foundation, Free schools or Academies. The parental information booklets for starting school and transfer to junior and secondary school make clear the distinction between own admission authority schools and those schools to which the Local Authority admissions policy applies.

14. Where changes are proposed to admission arrangements (or at least every seven years where no changes have been proposed), including reductions in PANs (see paragraph 55), the county council is required to consult with:

a) Parents of children between the ages of two and eighteen;b) Other persons in the relevant area which in the opinion of the admission

authority have an interest in the proposed admissions;c) All other admission authorities within the relevant area (except that primary

schools need not consult secondary schools);d) Whichever of the governing body and the local authority who are not the

admission authority;e) Any adjoining neighbouring local authorities where the admission authority

is the local authority; andf) In the case of faith schools, the body or person representing the religion or

religious denomination.

(School Admissions Code 2014: paragraph 1.44)

15. There is also a requirement to consult the governing bodies of individual schools on the PAN the county council proposes to use for their school in September 2020 where it is proposed to remain unchanged or to increase.

16. The consultation process must last for a minimum of 6 weeks and can begin no earlier than 1 October 2018. Consultation relates to the proposed admission arrangements and the co-ordinated admission scheme.

17. As part of the consultation process, a report will be presented to the Scrutiny Advisory Board – Children and Young People in order to seek Members’ views. Local Committees will also be able to respond to the consultation; information about the process will be provided to Area Managers at the beginning of the consultation period.

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18. A further report to Cabinet in December 2018 will include details of any responses received during the consultation period and will seek a decision on adoption of the 2020-21 admission arrangements for Community and Voluntary Controlled schools, the co-ordinated admission scheme 2020-21 and the nursery admissions policy for 2020-21 for community and voluntary controlled nursery schools and infant/primary schools providing nursery education.

Children Previously Looked After outside England

19. The School Admission Code 2014 states that all admission authorities must have oversubscription criteria for each ‘relevant age group’, and the highest priority must be given to looked after children and all previously looked after children.

20. A child looked after is a child in public care who is looked after by a local authority within the meaning of Section 22 of the Children Act 1989. Children previously looked after are children who were looked after, but have ceased to be so because they were adopted (under the terms of the Adoption and Children Act 2002) or became subject to a Child Arrangements Order or Special Guardianship Order (Children Act 1989).

21. In December 2017 local authorities and admission authorities were notified that, when the opportunity arises, Government intends to make further changes to the School Admissions Code to ensure that children who were previously in care outside of England also receive the highest priority for admission into a school in England.

22. Any changes to the School Admissions Code will be subject to consultation and parliamentary approval, so are not therefore guaranteed. However, the Government has requested that admission authorities should consider giving these children the second highest priority in oversubscription criteria, when admission arrangements are next reviewed.

23. Further advice intended to assist admission authorities to implement the additional criterion was issued by DfE on 6 August 2018. This advice confirms that, until such a time that the School Admissions Code 2014 is amended to reflect the change, the Minister of State for School Standards wishes admission authorities to introduce oversubscription criteria to give children who were previously in care outside of England the second highest priority for admission to a school.

24. It is therefore proposed that the county council admission arrangements for 2020-21 should be amended to reflect government advice. The proposed arrangements for 2020-21, including the additional oversubscription criteria in relation to children previously in care outside England, will be subject to consultation with the required groups as set out in the School Admissions Code 2014, paragraph 1.44. Please refer to Appendix A, paragraph 14(2) and the proposed oversubscription criteria.

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Oversubscription Criteria – Children of Staff at a School

25. The School Admission Code 2014 states that all admission authorities must set out in their arrangements the criteria against which places will be allocated at the school when there are more applications than places available.

26. Oversubscription criteria must be reasonable, clear, objective, procedurally fair and comply with all relevant legislation. Admissions authorities must ensure that their arrangements will not disadvantage unfairly, either directly or indirectly, a child from a particular social or racial group, or a child with a disability or special educational needs.

27. The Code sets out the most common acceptable oversubscription criteria that admission authorities may consider suitable according to local circumstances. One of these relates to children of staff at the school.

28. Admission authorities may give priority in their oversubscription criteria to children of staff in either or both of the following circumstances:

a) Where the member of staff has been employed at the school for two or more years at the time at which the application for admission to the school is made, and/or

b) The member of staff is recruited to fill a vacant post for which there is a demonstrable skill shortage.

29. The circumstances above were originally intended to assist secondary schools, in particular, in the recruitment and retention of teaching staff. The oversubscription criteria that are currently applied when there are more applications than there are places available at a Community or Voluntary Controlled school make no provision for the children of staff at a school.

30. In responding to the consultation on the proposed admission arrangements for 2019-20 that took place between 3 October and 13 November 2017, concern was expressed that, unlike the own admission authority secondary schools, Community and Voluntary Controlled secondary schools are unable to give any priority to the children of staff employed in the school.

31. Members should note that as the LA is the admissions authority for these schools, the schools themselves have no role in the prioritisation of applications for places. This is wholly the responsibility of the LA.

32. If an additional criterion was added to the oversubscription criteria for Community and Voluntary Controlled schools from 2020 onwards, it would apply to all schools where the LA is the admissions authority and not just to the secondary schools.

33. Of 28 own admission authority secondary schools, 16 have adopted this criterion. Far fewer primary schools have adopted it, with only 17 of 112 including it in their admissions policy. In allowing the prioritisation of the children of staff, the government had in mind teaching rather than other support staff, albeit that this is not defined in the Code. Limited to teaching staff, the criterion could be seen by some as discriminatory, in that it favours the children of ‘professional staff’, regardless of where they live, over the children of

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cleaners and lunchtime assistants or, indeed, of more local children. Even including all staff in the definition could be seen to discriminate against out-of-work parents, who may have a lower priority than others solely as a result of their unemployment. The definition of such a factor would need to be very tight, and members should recognise that it may not be universally popular.

34. Should Members feel that the addition of a, ‘children of staff’, criterion to the oversubscription criteria has merit, it will be included in the consultation on the proposed admission arrangements for Community and Voluntary Controlled schools for 2020-21 that, if agreed, will be undertaken between 1 October 2018 and 31 January 2019.

Faith Based Oversubscription Criteria in Schools Designated with a Religious Character

35. At a meeting held on 12 June 2018, the Carlisle Diocese Board of Education resolved to consult CE schools on a proposal to include in its model policy and guidance to schools, the removal of faith based criteria. The consultation will take place during the autumn term 2018.

36. The agreed recommendation was that, ‘Church of England schools in the Diocese should not include faith commitment as one of their criteria and that any such criteria be removed from school admission policies’.

37. As the LA is the admission authority for Church of England Voluntary Controlled schools, the Carlisle Diocese Board of Education has requested that the LA also give consideration to the removal of the faith based criteria from the oversubscription criteria that is applied to Community and Voluntary Controlled schools.

38. The oversubscription criteria that are currently applied when there are more applications than there are places available at a Community or Voluntary Controlled school include two faith based criteria:

Category 4 – In relation to Church of England Voluntary Controlled schools, children living within the catchment area who with a parent regularly attend a church in membership of Churches Together in Britain or the Evangelical Alliance.

Category 7 – In relation to Church of England Voluntary Controlled schools, children living outside the catchment area who with a parent regularly attend a church in membership of Churches Together in Britain or the Evangelical Alliance.

(Regular is defined as at least twice a month. Attendance may be at more than one church but should be for at least two years prior to the application date.)

39. In line with the request from the Carlisle Diocese Board of Education, it is proposed that the removal of the faith based criteria from the oversubscription criteria that are applied to Community and Voluntary schools should be included in the consultation proposed to take place between 1 October 2018 and 31 January 2019.

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Relevant Area

40. Admission authorities must determine arrangements annually. Where changes to admission arrangements are proposed the admission authority must publically consult on those arrangements. If no changes are made to admission arrangements they must be consulted on at least once every seven years.

41. Regulations require each Local Authority to define a ‘relevant area’ within which own admission authorities must consult on their proposed admissions arrangements.

42. The relevant area is determined after consultation with local admission authorities and is reviewed periodically. The determination remains in place until there is a subsequent determination.

43. As part of the proposed consultation on admission arrangements for 2020-21, it is timely to consider the relevant area. Appendix C sets out the proposed relevant area for the period 2020-21 to 2022-23 for consultation with relevant schools.

Nursery Admissions Policy 2019-20

44. There is no requirement to consult on nursery admissions in the same way as for school admissions.

45. The nursery admissions policy for Community and Voluntary Controlled nursery schools and infant/primary schools providing nursery education is in line with the general admissions policy and was reviewed by Members in September 2016; the updated policy has been approved annually since then.

46. If, as a result of the proposed consultation on the general admissions policy for 2020-21, changes are required, the nursery admissions policy for 2020-21 will be updated in line with the general admissions policy.

47. The proposed Nursery Admissions Policy 2020-21 will then be presented to Members in December to seek a decision on the adoption of the policy.

Changes of Age Range – Addition of Nursery Provision

48. Following a national consultation and the publication of new guidance by DfE, a number of Community school governing bodies exercised new powers to formally add nursery provision, or to extend existing provision to cater for 2-year olds. This was an arrangement that provided maintained schools with the same ability as academies to change their age range.

49. Subsequently, however, DfE notified local authorities that their guidance was incorrect. Although they had intended to provide all maintained schools with the power to change their age range, and whilst this change had been almost universally supported during consultation, an error in redrafting legislation meant that Community schools had been excluded from the new arrangements. (Voluntary Controlled, Voluntary Aided and Foundation schools were included,

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and are all now able to undertake an age-range change without reference to the Cabinet).

50. The result is that some 25 Community schools are now operating nursery provision without having formally changed their age range as they thought they had. Whilst unfortunate, the provision that has been put in place does still remain legitimate, insofar as it can be classed as governor-led child care. It would be prudent, however, for the county council to correct this anomaly, and formally establish nursery provision at the affected schools. This will bring about the changes the schools themselves believed they were undertaking on the basis of DfE’s spurious guidance.

51. All of the schools involved undertook the appropriate consultation when they were seeking to establish their new provision, and there is, therefore, no requirement to consult again. Instead, members can assess the response to consultations set out in Appendix D, prior to agreeing to the publication of notices.

52. The affected schools are as follows:

Allonby Primary SchoolArlecdon Primary SchoolAshfield Infant SchoolBewcastle SchoolBram Longstaffe Nursery SchoolCleator Moor Nursery SchoolCroftlands Infant SchoolEllenborough & Ewanrigg Infant SchoolGrasslot Infant SchoolGreystoke SchoolHindpool Nursery SchoolHolme Community SchoolInglewood Infant SchoolKendal Nursery SchoolKirkby Stephen Primary SchoolLong Marton Community Primary SchoolMaryport Infant SchoolMilburn SchoolMoresby Primary SchoolNetherton Infant SchoolNewlaithes Infant SchoolNorth Walney Primary SchoolOrgill Primary School Plumpton SchoolThursby Primary School

53. Publication of statutory notices will trigger a 4-week representation period, during which interested parties can make their views known. Responses will be provided to the Cabinet subsequent to the end of the representation period, and a formal decision on the proposals will be sought.

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54. It should be noted that there is no cost to the county council related to these proposals, and there will be no change in the provision already being made in the affected schools. Rather this is an exercise to formalise arrangements that the schools, in good faith, believed they were themselves putting in place, in line with national guidance.

PAN Changes

55. It is proposed that the following schools change their PAN from September 2020:

School Current PAN Proposed PAN

Kirkbampton CE School

18 15

Thursby Primary School

15 20

Brook Street School 45 30

56. As the statutory admission authority for the schools listed above it is for the LA to determine whether or not to amend the PANs; there is no compulsion to do so.

57. The head teacher and governing body of Kirkbampton CE School have formally requested that the PAN for the school is reduced from 18 to 15. The reduction will allow the school, if required, to teach KS1 in mixed classes without breaching the infant class size legislation. It will also mean that areas that were not originally designated as teaching spaces can revert to being used for the original purpose. Finally, a reduction would also allow the school to plan budgets in future years with greater certainty.

58. Thursby Primary School is to be extended through the addition of a new classroom in response to housing development in the village. This will allow for an increase in the PAN from 15 to 20, and the work will be part-funded via Section 106 contributions secured with the developer. Project planning is underway, and the classroom is expected to be available from the start of the 2019-20 academic year.

59. The governors at Brook Street School have sought a reduction in their PAN from 45 to 30. The county council invested capital funding at this school in 2012 to provide additional places in the area. The September 2018 Reception intake will be 35, which does provide challenges in terms of class organisation in order to comply with infant class size legislation. Recent years’ intakes have been 25 (2017), 38 (2016), 33 (2015), 36 (2014) and 49 (2013). Numbers generally in the area indicate that even with the PAN reduction sought, there are likely to be sufficient places available to meet overall demand for the foreseeable future. It is likely, however, that reducing the PAN would result in an increased number of refusals and admission appeals. Given this, and the level of recent investment in the school’s buildings, members are recommended

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to consult on the proposed reduction in PAN at Brook Street School from 45 to 30.

Options Considered and Risks Identified

Options for Recommendation (1)

Members can decide to consult on retaining the existing admissions policy for Community and Voluntary Controlled schools; or

Members can seek to consult on amendments to the existing admissions policy for Community and Voluntary Controlled Schools:

- members can decide to consult on changes to oversubscription criteria in relation to (i) children previously in care outside of England (ii) children of staff at the school and (iii) faith based criteria.

Options for Recommendation (2)

Members can seek to consult on the co-ordinated scheme for 2020-21 for all Maintained Schools and Academies as proposed at Appendix B or with amendments. Consultation is required in relation to the 2020-21 scheme as it is seven years since the co-ordinated scheme was last consulted upon.

Options for Recommendation (3)

Members can decide to retain the existing relevant area for consultation on admission arrangements for own admission authority schools; or

Members can seek to consult on the proposed definition of the relevant area for admission authorities in Cumbria.

Options for Recommendation (4)

members can decide to consult on proposed changes to PANs as set out in the table at paragraph 55 and retention of existing PAN’s at all other Community and Voluntary Controlled Schools;

Options for Recommendation (5)

Members can agree the publication of statutory notices related to changes of age range at the schools set out in paragraph 52; or

Members can decide not to pursue formal changes of age range. This course of action may jeopardise some early years provision currently in place.

In respect of any consultation, officers would undertake a 6-week public consultation exercise as required by regulations. A subsequent report will be provided to the Cabinet providing feedback from the consultation, and seeking

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decisions on any proposed changes. In respect of changes to PAN’s officers will need to consult directly with schools on the changes.

Financial – What Resources will be needed and how will it be Funded?

60. Schools are funded through the Dedicated Schools Grant with funding allocated through a National Funding Formula.

61. The proposed amendments to PANs will have no effect on the distribution methodology of school budget shares. There is a potential for a small effect on school transport budgets if pupils need to be transported to their allocated schools, but this is considered to be immaterial.

62. Most of the capital cost of a new classroom at Thursby Primary School will be funded through Section 106 contributions which have been secured from the developer, with the balance funded from DSG.

Legal Aspects – What needs to be considered?

63. Changes to admissions policy: Where changes are proposed to admission arrangements, The School Admissions Regulations require that all admissions authorities must consult on their admission arrangements that will apply for admission applications for the following school years. Details of the requirements for consultation and consultees are set out in the School Admissions Code and are contained at paras 12 and 14 to 16 of this report. The proposed changes in respect of oversubscription criteria concerning (i) children previously looked after outside of England (ii) children of staff at a school and (iii) faith based criteria are changes that Cabinet can decide whether or not to consult on.

64. The definition of relevant areas: The Education (Relevant Areas for Consultation on Admission Arrangements) Regulations 1999 set out that it is for the Local Authority to determine the scope of consultation that own admission authorities must undertake for any changes to their admission arrangements. This is a decision for cabinet whether to consult on the proposed changes at Appendix C.

65. Changes to PAN: The School Admissions Code requires the Council as admissions authority to consult on any changes to PAN for Community and Voluntary Controlled schools as set out in paragraph 55 of this report.

66. Changes to Age Range: Legal advice is that Cabinet approve the publication of statutory notices related to changes to age range at the schools set out in paragraph 52. This will avoid any challenge to the changes that have already been implemented and are in operation by Community Schools.

67. The Co-ordinated Admissions Scheme: The Local Authority is required to consult on the scheme as the School Admissions Code requires consultation every 7 years, even if there are no proposed changes and it has been seven

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years since the coordinated scheme was last consulted upon. Cabinet can seek to consult on the scheme as set out at Appendix B or with amendments.

68. In respect of all of the consultations, Cabinet must carefully consider the responses received back before making any decision on implementation of the changes to the schemes/policies.

Council Plan Priority – How do the Proposals Contribute to the Delivery of the Council’s Stated Outcomes? (Outcomes - People in Cumbria are Healthy and Safe, Places in Cumbria are well connected and thriving, the Economy in Cumbria is growing and benefits everyone)

69. By allowing parents to express preferences for a range of schools and by giving top priority in oversubscription criteria to children with education, health and care plans and those looked after or previously looked after by a local authority, the arrangements will support the outcome of ensuring that, ‘people in Cumbria are healthy and safe’.

Appendices and Background Documents

Appendix A Proposed Admissions Policy for Community and Voluntary Controlled Schools 2020-21

Appendix B Proposed Co-ordinated Admissions Scheme 2020-21Appendix C Proposed Relevant Area 2020-21 to 2022-23Appendix D Changes of Age Range – Addition of Nursery Provision –

Consultation Responses

Key Facts

Electoral Division(s): All

Executive Decision

Key Decision Included in Forward Plan

Exempt from call-in

Exemption agreed by scrutiny chair

Considered by scrutiny, if so detail below

Environmental or sustainability assessment undertaken?

Equality impact assessment undertaken?

Yes Yes No N/A No

Approved by Cabinet Member on – 28 August 2018

Previous relevant Council or Executive decisionsNo previous relevant decisions

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Consideration by Overview & ScrutinyScrutiny Advisory Board – Children and Young People

Background PapersNo background papers

Report AuthorContact: Sarah Wright , Tel: 07881845565, Email: sarah.wright@cumbria.gov.uk

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APPENDIX A

ProposedProposed PolicyPolicy forfor thethe AdmissionAdmission ArrangementsArrangements toto CommunityCommunity andand VoluntaryVoluntary ControlledControlled SchoolsSchools forfor 2020-20212020-2021

1. Introduction

These are the 2020-2021 admission arrangements for community and voluntary controlled primary and secondary schools, i.e. those schools where the Local Authority (LA) is the admission authority.

2. Co-ordinated Admission Arrangements

In line with current legislation, the LA has drawn up a separate scheme to co-ordinate admissions to maintained schools and academies within Cumbria for the main admissions round.

3. Published Admission Numbers

The admission number the LA will publish for each community and voluntary controlled school is shown in Appendix 1.

4. The General Admissions Policy for 2020-2021

The General Admissions Policy will be used to allocate places at those schools which are oversubscribed. This is attached as Appendix 2 for entry to Reception, Year 3 and Year 7 and as Appendix 3 for entry to Year 12.

5. Address to be Used in Determining Priority for Admission

If a school is oversubscribed, the address of the parent or carer with whom the child normally lives will be used in the allocation process. Where a child’s address is difficult to determine, for example where shared living arrangements are in place, in most circumstances, the address of the parent or carer claiming child benefit will be used.In some circumstances, the LA may also suggest that parents or carers seek independent legal advice and ask that they provide copies of any relevant court order relating to child arrangements.

6. Fraudulent Applications and Withdrawal of a School Place

The LA will not withdraw an offer of a place unless it has been made in error or it is established that the offer was obtained through a fraudulent or misleading application. An application will not be withdrawn because an offer was made in error once the student has taken up the place at the school. Where an offer is withdrawn on the basis of fraudulent or misleading information, the application will be considered again on the basis of the correct information, and parents or carers will have a right of appeal where no place can be offered.

Where parents or carers are found to have made a fraudulent application for a school place and the LA decides not to withdraw that place in the best interest of the child,

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should a school place be sought for any other sibling or siblings the criteria that provide a higher priority for a school place for siblings will not be applied.Where a place has been offered on the basis of a timely parental application, the place will not be withdrawn unless one of the exceptions set out in paragraph 2.12 of the School Admissions Code 2014 applies.

An admission authority must not withdraw an offer unless:i) it has been offered in error;ii) a parent or carer has not responded within a reasonable period of time;

andiii) it is established that the offer was obtained through a fraudulent or

intentionally misleading application.

7. Parental Disagreement

The management of school applications may be severely delayed during the main admissions round where separated parents or carers of the child each submit a separate application for different schools. The School Admissions Code 2014 states that only one offer per child can be made by the LA. In this situation the LA asks that parents or carers attempt to resolve matters between themselves and inform the LA in writing of which application should be processed. The LA will not become involved in private disputes.

In a situation where parents or carers are unable to reach an agreement the LA will decide which application should be processed. In most circumstances the LA will process the application submitted by the parent or carer who is in receipt of child benefit for the child to whom the application relates. In some circumstances, the LA may also suggest that parents or carers seek independent legal advice and ask that they provide copies of any relevant court order relating to child arrangements.

8. The Admissions Timetable

The timetable for the September 2020 application and allocation processes will be in line with the co-ordinated admissions scheme with the exception of entry to Year 12. This will be in accordance with the timetable detailed in Appendix 4.

9. Late Applications

For all schools, applications which are received or changed after the published closing date will only be considered in exceptional circumstances. Even if there are exceptional circumstances, applications submitted after the relevant published date, contained within the co-ordinated admission scheme, will not be considered until after allocations for those parents or carers who applied on time have been made. Any evidence submitted after the relevant date to support a late application or change of preference will not be considered. Affected applicants will not receive an offer with other parents on national offer day, instead receiving one on ‘re-allocation day’.

Details of closing dates, and other relevant dates can be found:i) in the parental information booklets for admission to an infant or primary

school, transfer to junior school and transfer to secondary school in September 2020;

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ii) in the 2020-21 co-ordinated admissions scheme for all maintained schools and academies in the area of Cumbria; and

iii) on the county council website – www.cumbria.gov.uk/schooladmissions

10. Waiting Lists

Once places have been allocated, children refused a place will continue to be considered for any vacancies which become available up until the end of the Autumn Term 2020. Vacancies will always be allocated by applying the admissions policy and length of time on the waiting list will not be a consideration.

11. Early, Deferred or Delayed Entry to all Schools and Part Time Attendance at Infant/Primary Schools

If a child who has not reached compulsory school age has been allocated a Reception place and their parent or carer wishes to defer entry to school, the place will be held open. Entry cannot be deferred beyond the point at which the child reaches compulsory school age and not beyond the beginning of the final term of the school year for which the place was allocated. Parents or carers can request that their child takes up the place part-time until the child reaches compulsory school age.

Summer-born children do not attain compulsory school age until the September after they would normally start school in Reception. In line with government recommendation, the LA as the admission authority for community and voluntary controlled schools will admit these children into a Reception class a year later than usual at their parents’ or carers request. These children will remain eligible for their full entitlement to schooling, and will subsequently transfer to junior (where applicable) and secondary school with other children in the year group in which they have been educated, rather than with their ‘chronological cohort’.

Where a summer-born child is allocated, and takes up a September Reception place, in the normal year of admission (i.e. the beginning of the academic year in which they turn 5) and subsequently attends school beyond the end of the autumn term of the admission year, an application for a Reception place the following September will not be considered as a ‘summer-born’ application. In this situation the child has already commenced school and any request to be admitted out of the normal year group will be considered on its individual merits.

Other requests, for early or delayed transfer to secondary school, for example, will be considered on their individual merits. Unlike delayed entry for summer-born children, others have no automatic right to education outside of their chronological age group, although there is no legal bar to this.

Parents or carers seeking early transfer should submit their request to school admissions by 30 September for secondary applications, and by 31 October for primary applications in the year before that in which they would usually apply. This will allow time for the application to be considered prior to the closing date for applications. Parents or carers will still need to submit preferences by the appropriate closing date.

Parents or carers seeking delayed entry/transfer should submit their request by the same dates in the year in which they would apply if their child was transferring at the usual age. This will allow consideration of the request prior to the closing date for

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preferences to be submitted, allowing parents or carers sufficient time to submit preferences in the event their request is denied.

12. Twins and Siblings of Multiple Births

Where places are available for some but not all children from multiple births (including twins) the LA will exercise the discretion offered by the School Admissions Code 2014 to offer all of the children a place. Where this results in an infant class exceeding 30 pupils, additional children admitted under these arrangements will be treated as ‘excepted pupils’ for the duration of their infant education and will not constitute a breach of legislative requirements.

13. Siblings

Siblings of children attending their catchment area school have a higher priority for admission when places are allocated at oversubscribed community and voluntary controlled schools. Expressing a preference for a school other than the catchment school may result in there not being places available for younger siblings when they are due to start school. Catchment children will have a higher priority for places than children living outside of the catchment area, including those children living outside the catchment area with siblings that already attend the school.

14. Children Previously Looked After by a Local Authority and Children Previously Looked After outside England

1) Children Previously Looked After by a Local AuthorityChildren previously looked after are children who were looked after, but have ceased to be so because they were adopted (or became subject to a residence/child arrangements order or special guardianship order). For a previously looked after child to be considered under category 1 of the LA General Admissions Policy, the parent or carer will need to provide appropriate written evidence to support the application. It is the responsibility of the parent or carer to provide appropriate documentary evidence with the application; without this it will not be possible to consider the application under category 1 of the LA General Admissions Policy.

2) Children Previously Looked After outside EnglandThere is no current provision in the School Admissions Code 2014 in relation to children who were previously looked after outside England. Advice issued by the Department for Education (DfE) states that a child previously looked after outside of England is one that was looked after, outside England, by a public authority, a religious organisation or another provider of care whose sole purpose is to benefit society. For a child previously looked after outside England to be considered under category 2 of the LA General Admissions Policy, the parent or carer will need to provide appropriate written evidence to support the application, for example, a UK adoption order or a copy of the adoption order from the child’s county of origin. It is the responsibility of the parent or carer to provide the appropriate documentary evidence with the application; without this it will not be possible to consider the application under category 2 of the LA General Admissions Policy.

For further information, please contact the School Admissions Team: E-mail: school.admissions@cumbria.gov.uk or Tel: 01228 221582

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15. Admissions to Nursery Schools and Infant/Primary Schools Offering Nursery Education

These arrangements do not apply to the admission of nursery pupils. Nursery admission arrangements will be determined separately. Attendance at a school’s nursery does not guarantee admission to the school’s Reception group.

16. Transfer from Infant to Junior/Primary Schools

Attendance at an infant school does not guarantee admission to the associated junior school.

17. Admission to School Sixth Forms

These arrangements apply to the admission of students to school sixth forms (Year 12).

18. Catchment Areas

Cumbria County Council operates a ‘catchment area’ approach to school admissions. Most schools have a defined catchment area. Details of the arrangements for each school can be made available on request. Where an area is not included within an agreed catchment area, the “catchment area school” will be the nearest school to the parental home.

Any enquiries regarding catchment areas in relation to the allocation of school places should be directed to the School Admissions Team: E-mail: school.admissions@cumbria.gov.uk or Tel: 01228 221582

19. Distance Measurements

1) Straight-line MeasureWhere there are more applications than places available at a community or voluntary controlled school for entry to all year groups, applications will be prioritised using the criteria set out in Appendix 2 and Appendix 3. For any criteria that gives priority to those living closest to the school, distance measurements will be undertaken using the LAs computerised Geographical Information System (GIS). This measurement will be a straight-line measurement between the centre of the pupil’s home address and a common point on the school site as determined by the LA.

2) Shortest Walking Route by RoadWhere a place cannot be offered at any of the parents or carers’ preferred schools, the LA will allocate a place at the nearest school in Cumbria to the home address with a place available after all timely applications have been processed. In these circumstances, the distance will be measured by the shortest walking route by road between the pupil’s home address and the nearest available entrance on the school site, using the LA’s GIS mapping system.

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20. In Year Admissions

Where a parent or carer wishes to change school for any reason that is not caused by a change of address, the LA may not offer a place at a community or voluntary controlled school before the first day of the term following receipt of form SA8 (request for an in year school place).

Any place offered must be taken up within 6 weeks or it may be withdrawn and offered to another applicant.

August 2018

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Determined 2020-2021 Admission Arrangements for Community and Voluntary Controlled Schools - Published Admission NumbersThe following are the proposed admission numbers the LA will publish for each community and voluntary controlled school as part of its 2020-2021 admission arrangements.

Infant/Primary Schools

School

Proposed 2020/2021Published Admission Number

School

Proposed 2020/2021Published Admission Number

All Saints’ CE Primary 30 Chapel Street Infants 52

Allithwaite CE 15 Clifton 12

Allonby Primary 8 Coniston Primary 14

Alston Primary 15 Croftlands Infant 60

Arlecdon Primary 12 Crosscanonby St John's CE 10

Armathwaite 10 Cummersdale 12

Asby Endowed 6 Cumwhinton 25

Ashfield Infant 60 Dane Ghyll Community Primry 30

Barrow Island Community Primary 30 Derwent Vale Primary and Nursery 15

Beckstone Primary 45 Distington Community Primary 20

Belle Vue Primary 60 Ellenborough and Ewanrigg Infant 23

Bewcastle 8 Ennerdale and Kinniside CE Primary 8

Blennerhasset 7 Fellview Primary 11

Bolton Primary 8 Frizington Community Primary 20

Boltons CE 14 Goodly Dale Community Primary 14

Bookwell Primary 30 Gosforth CE 20

Bransty Primary 25 Grange CE Primary 30

Bridekirk Dovenby CE Primary 17 Grasslot Infant 30

Brisbane Park Infant 54 Great Orton 10

Brook Street Primary 45 Greystoke 9

Brough Community Primary 15 Haverigg Primary 18

Broughton in Furness CE 15 Hawkshead, Esthwaite Primary 10

Broughton Moor Primary 12 Hensingham Primary 30

Brunswick 45 Heron Hill Primary 60

Burgh by Sands Primary 15 High Hesket CE 25

Burlington CE Primary and Nursery 10 Holm Cultram Abbey CE 10

Caldew Lea 49 Holme Community 15

Cambridge Primary 30 Holme St Cuthbert 8

Captain Shaw's CE 8 Houghton CE 30

Cartmel CE Primary 10 Inglewood Infant 90

Appendix 1

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Ireby CE 10 Petteril Bank Primary 30

Irthington Village 8 Plumbland CE 8

Jericho 52 Plumpton 15

Kells Infant 30 Ramsden Infant 52

Kingmoor Infant 75 Raughton Head CE 6

Kirkbampton CE 15 Richmond Hill 28

Kirkbride Primary 15 Robert Ferguson Primary 60

Kirkby Stephen Primary 30 Rockcliffe CE 20

Kirkby Thore 12 Roose 30

Kirkoswald CE 13 Seascale Primary 22

Lamplugh CE 10 Sedbergh Primary 30

Lanercost CE 10 Shankhill CE Primary 8

Langwathby CE Primary 30 Silloth Primary 30

Lees Hill CE 8 Sir John Barrow 30

Levens CE 15 Skelton 15

Lindal and Marton Primary 12 South Walney Infant 60

Lindale CE 12 St Bees Village Primary 30

Long Marton Community Primary 10 St Bridget’s CE, Brigham 17

Low Furness CE Primary 17 St Bridget’s CE, Parton 10

Lowca Community 12 St George’s CE 30

Maryport Infant* 45 St James’ CE Infant, Whitehaven 45

Milburn 5 St Michael’s CE Primary 30

Millom Infant 36 St Michael’s Nursery & Infant, Workington 30

Milnthorpe Primary 30 Staveley CE 20

Montreal CE Primary 40 Stoneraise 16

Moor Row Community Primary 15 Storth CE 10

Moresby Primary 15 Temple Sowerby CE Primary 8

Nenthead 4 Thornhill Primary 11

Netherton Infant 30 Threlkeld CE Primary 10

Newbarns Primary 60 Thursby Primary 20

Newlaithes Infant 60 Thwaites 9

Newton Primary 10 Upperby Primary 60

Newtown 30 Valley Primary 45

Norman Street Primary 50 Vicarage Park CE Primary 30

North Walney Primary 23 Vickerstown 30

Old Hutton CE 15 Victoria Infant & Nursery, Barrow 75

Orgill Primary 40 Victoria Infant, Workington 60

Ormsgill Primary 30 Westfield Nursery and Primary 30

Pennine Way Primary 90 Wigton Infant 60

Pennington CE 30 Wreay CE Primary 16* Proposals to amalgamate Maryport Infant School and Maryport CE Junior School to form

an all-through primary school with a PAN of 45 with effect from September 2019 are currently being considered.

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Junior Schools

Ashfield Junior 64 Monkwray 38

Black Combe Junior 34 Newlaithes Junior 60

Croftlands Junior 60 North Lakes 57

Ewanrigg Junior 45 Seaton St Paul’s CE Junior 60

George Romney Junior 45 South Walney Junior 64

Greengate Junior 60 St James' CE Junior, Whitehaven 48

Inglewood Junior 90 Thomlinson Junior 60

Kingmoor Junior 75 Victoria Junior, Workington 90

Maryport CE Junior * 48* Proposals to amalgamate Maryport Infant School and Maryport CE Junior School to form

an all-through primary school with a PAN of 45 with effect from September 2019 are currently being considered.

Secondary Schools – Year 7

Beacon Hill Community 70 Nelson Thomlinson School, The 210

Dowdales 210 Netherhall 186

John Ruskin 48 Solway Community 59

Lakes School, The 129 Ulverston Victoria High 186

Millom 145

Secondary Schools – Year 12

Lakes School, The 25 Netherhall School 10

Millom School 25 Ulverston Victoria High School 50

Nelson Thomlinson School, The 50

The numbers for Year 12 represent the number of pupils that may be admitted to Year 12 from an alternative school.

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CUMBRIA EDUCATION SERVICEPROPOSED GENERAL ADMISSIONS POLICY 2020/2021

Community and Voluntary Controlled Schools

Where there are more applications than places available at a community or voluntary controlled school for entry to all year groups except Year 12, applications will be prioritised using the criteria below. They will be applied in conjunction with explanatory notes 1 – 6 which form part of the policy.

1. Children looked after and who were previously looked after, i.e. in public care, giving priority, if necessary, to the youngest child(ren) - see note 1.

2. Children who were previously looked after outside of England – see note 1.

3. Children living in the catchment area who have brothers or sisters in the school (or associated infant or junior school) at the time of admission - see notes 2 and 3.

4. Children living outside the catchment area who, at the time of their admission, have brothers or sisters in the school (or associated infant or junior school) who were allocated a place at that school by the Local Authority either (a) in the absence of a place being available in the catchment area school due to oversubscription and the school was identified by the Local Authority as the next nearest with a place available or (b) the school is named in the sibling’s Education, Health and Care Plan (EHCP) - see notes 2, 3 and 4.

5. Other children living in the catchment area giving priority to those living closest to the school, measured by a straight-line measurement between the centre of the pupil’s home address and a common point on the school site as determined by the Local Authority - see notes 5 and 6.

6. Children living outside the catchment area who have brothers or sisters in the school (or associated infant or junior school) at the time of their admission - see notes 2 and 3.

7. Children living outside the catchment area, giving priority to those who live closest to the school, measured by a straight-line measurement between the centre of the pupil’s home address and a common point on the school site as determined by the Local Authority - see notes 5 and 6.

Applications will be prioritised on the above basis. An exception will be made under the Local Authority’s policy for the education of children with special educational needs where a child holds an Education, Health and Care Plan (EHCP), that names the school.

Appendix 2

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Explanatory Notes[These notes are part of the policy]

Note 1A child looked after is a child in public care, who is looked after by a local authority within the meaning of Section 22 of the Children Act 1989. Children previously looked after are children who were looked after, but have ceased to be so because they were adopted (under the terms of the Adoption and Children Act 2002) or became subject to a Child Arrangements Order or Special Guardianship Order (Children Act 1989).The provision to give the highest priority to looked after and previously looked after children applies to all children who have been adopted from local authority care.Advice issued by the Department for Education (DfE) in August 2018 states that a child previously looked after outside of England is one that was looked after, outside England, by a public authority, a religious organisation or another provider of care whose sole purpose is to benefit society.

Note 2In criteria 2, 3 and 6, priority will be given to those children with the youngest siblings. Brothers and sisters are those living at the same address and includes step and foster children. Priority will only be given where it is known at the time of allocating places that a sibling will be attending the school (excluding a nursery class) at the time of admission.

Note 3Where reference is made to ‘associated’ infant and junior schools this is to describe those situations where infant and junior schools share the same catchment area.

Note 4If a parent or carer believes that they qualify for consideration under criterion 3, they should indicate this on their preference form in the place provided for this purpose.

Note 5Distance measurements will be undertaken using the Local Authority’s computerised Geographical Information System [GIS]. This measures a straight-line measurement between the centre of the pupil’s home address and a common point on the school site as determined by the Local Authority.

Note 6 Random allocation will be used as a tie-break in categories 4 and 6 to decide who has the highest priority for admission if the distance between the children’s home address and the school is the same. This process will be independently verified.

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CUMBRIA EDUCATION SERVICEPROPOSED GENERAL ADMISSIONS POLICY (YEAR 12) 2020-2021

Community and Voluntary Controlled Schools

Where there are more applications than places available in Year 12 at a community or voluntary controlled school, applications will be prioritised using the criteria below. They will be applied in conjunction with explanatory notes – 1 – 5 which form part of the policy.

1. Students (children) looked after and previously looked after, i.e. in public care, giving priority, if necessary, to the youngest child(ren) – see note 1.

2. Students who were previously looked after outside of England – see note 1.

3. Students living in the catchment area who have brothers or sisters in the school at the time of their admission – see note 2.

4. Students living outside the catchment area who, at the time of their admission, have brothers or sisters in the school who were allocated a place at that school by the Local Authority either (a) in the absence of a place being available in the catchment area school due to oversubscription and the school was identified by the Local Authority as the next nearest with a place available or (b) the school is named in the sibling’s Education, Health and Care Plan (EHCP) – see notes 2, and 3.

5. Other students living in the catchment area.

6. Students living outside the catchment area who have brothers or sisters in the school at the time of their admission – see note 2.

7. Students living outside the catchment area.

8. Where there is a need to prioritise places within any of the above criteria except criteria 1, priority will be given to those students who live nearest to the school – see note 4 and 5 overleaf.

Applications will be prioritised on the above basis. An exception will be made under the Authority's policy for the education of children with special educational needs where a child holds an Education, Health and Care Plan, that names the school.

Appendix 3

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Explanatory Notes[These notes are part of the policy]

Note 1A child looked after, i.e., in public care, is defined as a child who is looked after by a local authority within the meaning of Section 22 of the Children Act 1989. Children previously looked after are children who were looked after, but have ceased to be so because they were adopted (under the terms of the Adoption and Children Act 2002) or became subject to a Child Arrangements Order or Special Guardianship Order (Children Act 1989).The provision to give the highest priority to looked after and previously looked after children applies to all children who have been adopted from local authority care.Advice issued by the Department for Education (DfE) in August 2018 states that a child previously looked after outside of England is one that was looked after, outside England, by a public authority, a religious organisation or another provider of care whose sole purpose is to benefit society.

Note 2Brothers and sisters are those living at the same address and includes step and foster children. Priority will only be given where it is known at the time of allocating places that a sibling will be attending the school at the time of admission.

In circumstances where there is an application for more than one child in the family, and it is not possible to offer a place to all of the children concerned, it will be up to the parent or carers to decide whether they wish to accept the place[s] offered. This will also be the case in relation to twins, etc.

Note 3If parent or carers believe they qualify for consideration under criterion 3, they should indicate this on their preference form in the place provided for this purpose.

Note 4Distance measurements will be undertaken using the Local Authority’s computerised Geographical Information System [GIS]. This measures a straight-line measurement between the centre of the pupil’s home address and a common point on the school site as determined by the LA.

Note 5 Random allocation will be used as a tie-break in categories 4 and 6 to decide who has the highest priority for admission if the distance between the children’s home address and the school is the same. This process will be independently verified.

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APPENDIX B

Proposed Co-ordinated Admission Scheme for all Maintained Schools and Academies in the Area of Cumbria County Council 2020–2021

Note: the list of schools may need to be revised to provide for the conversion of some schools to academies or to take account of other school organisational changes.

For the purposes of this document ‘school’ refers to maintained schools and academies unless otherwise indicated.

1. Introduction

(1) In line with the requirements of the 1998 School Standards and Framework Act (as amended) this scheme has been drawn up by Cumbria County Council to co-ordinate admissions to all maintained schools and academies in Cumbria, except for entry to Year 12 and for entry to special and nursery schools, regardless of whether the Local Authority (LA) or the governing body is the admission authority.

(2) The scheme’s purpose is to ensure that, as far as reasonably practicable:i) Every parent or carer living in Cumbria who has applied for a place for their

child for entry in September 2020 to Reception in an infant or primary school, Year 3 in junior school or to Year 7 at a secondary school in the normal admissions round, receives only one offer of a school place for each child on:(a) 1 March (or the next working day) for transferring to Year 7 at a

secondary school;

NOTE: The School Admissions Code 2014 states that, ‘for secondary school applications, all offers must be made on the same secondary National Offer Day ie. 1 March or the next working day’. As 1 March 2020 will be a Sunday, offers of Year 7 places for September 2020 will be made on Monday 2 March 2020 (the next working day after 1 March 2020).

(b) 16 April (or the next working day) for starting infant or primary school (Reception year group);

(c) 16 April (or the next working day) for transferring to Year 3 at a junior school.

ii) Every parent or carer living in Cumbria who applies for a school place at a school at any other time, except for admission to Year 12 and for entry to special and nursery schools receives only one offer of a place for each child on the following basis:

(a) Applications received after the first day of the school term of the admissions year, and at any other time for entry to the normal year of entry, will be treated as ‘in year’ admissions.

Note: The management of school applications may be severely delayed where separated parents or carers of the child each submit a separate application for different schools. The School Admissions Code 2014 states that only one offer per child is made by the LA. In this situation the LA asks that parents or carers attempt to resolve matters between themselves, and

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inform the LA in writing of which application should be processed. It is not appropriate for the LA to become involved in private disputes. The LA does recognise that there may be exceptional situations where parents or carers cannot ultimately reach an agreement between themselves and it is, therefore, necessary for the LA to take a decision. Where this is the case the LA will, if appropriate, advise parents to seek independent legal advice. The LA will also try to establish the child’s permanent address and prioritise the application made by the parent or carer living at this address in accordance with the published admission arrangements. In most circumstances this will be the application submitted by the parent or carer who is in receipt of the child benefit for the child to whom the application relates.There may be some circumstances where the LA will suggest that parents or carers seek independent legal advice and ask that they provide copies of any relevant court order relating to child arrangements.

(3) The scheme does not apply to those places set aside for boarders.

(4) The scheme will be implemented in line with the timetables set out in Appendices 1 and 2.

(5) Appendices 3 and 4 list the admission authorities to which the scheme applies.

2. The Common Application Forms

(1) There will be three standard forms known as the Common Application Forms. In line with county council policy, online applications are encouraged and references to the various forms below include those available online. Hard copies are also available. The forms are as follows:

SA1 – Admission to Infant or Primary School – September 2020SA2 – Transfer to Junior School – September 2020SA3 – Transfer to Secondary School – September 2020

(2) The forms will be used for the purpose of admitting pupils into the Reception Year for infant and primary, Year 3 for junior and Year 7 for secondary intake groups in September 2020. They will:

invite parents or carers to express three preferences for schools in rank order of preference including, where relevant, any schools outside the LA’s area;

explain that parents or carers are entitled to give their reasons for their preferences; and

specify the closing date and to whom the form must be returned.

(3) The LA will ensure that the SA1, SA2, and SA3 are available online and from the LA. They will be available online from 9 September 2019. Parents and/or carers of children in their last year at an infant school will receive information about how to apply for a junior school place from the infant school. Those with a child in the last year of a primary or junior school will receive information about how to apply for a secondary school place from their current primary or junior school. Information about schools together with an application form will be made available on the Cumbria County Council website.

(4) The governing body of a voluntary aided, foundation, free school or an academy trust can require parents or carers who wish to express a preference for their school on the common application form, to provide additional information on a supplementary form, or by way of supporting evidence only where the information

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is required for the governing body or academy trust to apply their oversubscription criteria. Where a supplementary form or supporting evidence is required it must be returned to the school where entry is sought.

(5) A supplementary form will not be regarded as a valid application unless the parent and/or carer has also completed a common application form and the school has been given as one of their preferences.

(6) Where common application forms are sent directly to voluntary aided, foundation, free schools or academies, they must be passed to the LA within five school days.

3. The Closing Date for Application Forms [SA1, SA2 and SA3]

(1)Completed forms must be returned as follows:

SA3 – by 31 October 2019 online, to the child’s current junior or primary school or directly to the School Admissions and Appeals Team;SA1 – by 15 January 2020 online, to the parent or carer’s preferred school or directly to the School Admissions and Appeals team; andSA2 – by 15 January 2020 online, to the child’s current infant school or directly to the School Admissions and Appeals Team.

Parents or carers who are resident in Cumbria and whose children do not attend a school in Cumbria, or any parent or carer preferring to return their form direct to the LA, should return the form to the School Admissions and Appeals Team. The same closing dates apply.

Parents or carers who are resident in Cumbria and who wish to apply for a school place at a maintained school or academy outside of Cumbria should still complete one of the above forms and make an application via Cumbria and submit their application to the School Admissions and Appeals Team by the closing dates as set out above.

(2) Where a preference has been expressed for a voluntary aided, foundation, free school or an academy requiring a supplementary form or supporting evidence, this should be returned directly to that school by the above closing dates.

(3) All schools must forward completed application forms to the LA on a weekly basis

as and when they are received. The final deadlines for the forms to be sent by first class post are:

SA3 – 8 November 2019 SA1 – 20 January 2020 SA2 – 20 January 2020

(4) In relation to all schools, preferences which are submitted or changed after the closing date will only be considered in exceptional circumstances.

(5) Even if there are exceptional circumstances, it will not be possible to consider applications received or changed after:

3 January 2020 for Transfer to Secondary - Year 7 [SA3]14 February 2020 for Starting Infant or Primary - Reception [SA1]14 February 2020 for Transfer to Junior - Year 3 [SA2]

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until after the allocation of places has been made for all those parents or carers who applied on time.

4. Completing the SA1, SA2 and SA3 Application Forms

(1) If a parent or carer completes the application form in such a way that the ranking of two or more preferences is not clear, the distance between home and school, measured by the shortest walking route by road between the pupil’s home address and the nearest available entrance on the school site, using the LA’s Geographical Information System (GIS) mapping system, will be used to rank the preferences concerned. The nearest school will be regarded as the highest preference.

(2) If more than one form is received, and any earlier applications have not been withdrawn in writing, the most recently dated application form [submitted by the relevant closing date] will be used. If forms are not dated or are dated on the same day, those schools where the order of preferences is not clear will be ranked as in 4(1) above. See also, section 2(ii) relating to parental disputes.

5. Testing of Ability or Aptitude

(1) Where a selection test of any kind, i.e. for ability or aptitude, is part of the school’s admission arrangements, the admission authority for the school must make it clear to parents or carers that, whilst they can be tested, they are still required to express a preference for that school on the appropriate form SA1, SA2 or SA3 otherwise they will not have applied for a school place.

6. Determining Offers in Response to the Common Application Forms [i.e. SA1, SA2 and SA3]

(1) All preferences will be considered equally. This is known as an equal preference scheme. It means that a child will be considered for a place at each school named on the application form irrespective of whether the school was given as the 1st, 2nd or 3rd preference on the application. Where a child is eligible for a place at more than one of the preferred schools given on the original application form, a place at the school given as the highest preference will be offered on national offer day.

(2) The LA will only make any decision with respect to the offer or refusal of a place in response to any preferences expressed on the application forms where:

it is acting in its separate capacity as an admission authority, or an applicant is eligible for a place at more than one school [see 6(1) above]; or an applicant is not eligible for a place at any school for which they have

expressed a preference. A place would only be offered at a voluntary aided, foundation, free school or an academy if its admission number had not been reached in offering places to those parents and/or carers who submitted a timely application and gave the school as one of their three preferences.

7. Parents and Carers Applying for a Place at a School Outside of Cumbria

(1) Parents or carers may express a preference for school[s] in another LA area. (2) If a pupil would be eligible for a place at a school in Cumbria and a neighbouring

Authority has also indicated that a place can be offered at one of its schools, the parents and/or carers will be offered the place at the school which was ranked as their highest preference.

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8. Processing Parental Preferences

The following timetable sets out the final deadline dates that will be applied y to the processing of parent or carer preferences received by the relevant closing date:

Secondary[SA3]

Reception[SA1]

Junior[SA2]

LA notification to other LAs of preferences expressed for schools in their area. 18.11.19 27.01.20 27.01.20

LA notification to voluntary aided, foundation, free schools and academies of all first, second and third preference applications received [see note]

22.11.19 29.01.20 29.01.20

Final date for governing bodies of voluntary aided, foundation and free schools and academy trusts to consider all applications, apply the school’s oversubscription criteria and provide the LA with a list showing which category in their admissions policy each applicant falls into.

Ranking of applicants in the category in which the cut-off point falls must also be shown.

Note: Any school having difficulties meeting this deadline must agree an alternative one with the School Admissions and Appeals Team.

13.12.19 11.02.20 11.02.20

Liaison period for the LA and voluntary aided, foundation, free schools and academies to finalise allocations. Lists for oversubscribed schools will be compared. Where a place can be offered at more than one school, the LA will identify the highest preference school that can be offered. This will become the ‘provisional allocation’.

16.12.19to24.01.20

12.02.20 to06.03.20

12.02.20 to06.03.20

Finalise AllocationsOther LAs notified of places in schools in Cumbria to be offered to their residents.

Notification to all maintained schools and academies of number of pupils to be offered a place. NB: This is confidential information and must not be passed on to parents or carers.

LA notification to parents or carers informing them of the outcome of their application [Offer Days].

10.02.20

21.02.20

02.03.20

20.03.20

03.04.20

16.04.20

20.03.20

03.04.20

16.04.20

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Note The LA will notify voluntary aided, foundation, free schools and academies of all first, second and third preference applications which have been received for their school. In line with legislation, where these preferences are passed on, the order of parents or carers’ preferences will not be made known to schools. Community and voluntary controlled schools will be informed how many first preference applications have been received.

During the liaison period with voluntary aided, foundation, free schools and academies, the LA will adjust the pupil lists to remove children who can be offered a higher preference school.

Voluntary aided, foundation, free schools and academies will have provided a full ranking list to the LA by 13 December 2019. However, during the liaison period, the LA may need to discuss changes to the allocation lists with voluntary aided, foundation free schools and academies and some further ranking may be required. Where this is the case, an appropriate deadline for the submission of revised information, to the LA, will be agreed with the individual school.

9. Distance Measurements

(1) Straight-line MeasureWhere there are more applications than places available at a community or voluntary controlled school for entry to all year groups, applications will be prioritised using the oversubscription criteria set out in the General Admission Policy 2020-21. For any criteria that gives priority to those living closest to the school, distance measurements will be undertaken using the LAs computerised Geographical Information System (GIS). This measurement will be a straight-line measurement between the centre of the pupil’s home address and a common point on the school site as determined by the LA.

(2) Shortest Walking Route by RoadWhere a place cannot be offered at any of the parents or carers’ preferred schools, the LA will allocate a place at the nearest school in Cumbria to the home address with a place available after all timely applications have been processed. In these circumstances, the distance will be measured by the shortest walking route by road between the pupil’s home address and the nearest available entrance on the school site using the LA’s GIS mapping system.

10. Where a Place is Not Available at the Parents or Carers’ Preferred Schools

(1) Where a child is not eligible for a place at any of their parents or carers’ preferred schools, they will be allocated a place at the nearest school in Cumbria to the home address with a place available after all timely applications have been processed, measured by the shortest walking route by road (9(2) refers) using the LA’s GIS mapping system. Unless a parent or carer has specifically stated that they would not accept a place at a Catholic school, a place at a Catholic school would be offered where this is the nearest appropriate school.

(2) If only one school is named on the application form and it is not possible to allocate a place at that school, the child will not automatically be considered for any other schools in the local area, eg. the catchment area school; this is because the schools were not named on the application form. In these circumstances a place will be allocated at the nearest school in Cumbria with a place available after all timely

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applications have been processed, measured by the shortest walking route by road (9(2) refers) using the LA’s GIS mapping system.

(3) If a school is identified as the alternative school for more pupils than there are places available, the school’s oversubscription criteria will determine priority for a place.

11. Informing Parents and Carers of the Outcome of Their Application

(1) The LA will inform all parents or carers of the outcome of their application as follows:

Online applicationsParents or carers who have made their application online will receive an email on the following dates, or on the first working day thereafter:

Year 7 Places [Secondary] - 2 March 2020 [see note at 2(i)(a)] Reception Places [Infant/Primary] - 16 April 2020Year 3 Places [Junior] - 16 April 2020

Paper applicationsParents or carers who have made paper applications will receive a letter, which will be sent by post on the dates above, or on the first working day thereafter:

The letters will give the following information:

the name of the school at which a place has been offered;

in relation to voluntary aided, foundation, free schools and academies, that the offer is made on behalf of the governing body or the academy trust;

the reasons why the child has not been offered a place at the other schools which were given as a preference (if relevant);

contact details for the LA where a place has not been offered;

information about their statutory right of appeal against the decision to refuse a place at any school given as a higher preference;

confirmation that the right of appeal is in relation to any school given as a preference and where a place has not been allocated; and

confirmation that in the re-allocation process, parents or carers will be considered for any places that might become available in schools they ranked higher than the school they have been offered, and what to do if they wish to be considered for any vacancies beyond that point.

(2) Parents or carers who don’t wish to take up the place offered because they have made alternative arrangements will be asked to do so by the following dates:

Year 7 Places [Secondary] 16 March 2020Reception Places [Infant/Primary] 1 May 2020Year 3 Places [Junior] 1 May 2020

If parents or carers do not respond by this date it will be deemed that they have accepted the place.

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12. Re-allocating Places which are not Taken Up or Subsequently Become Vacant

(1) The LA will re-allocate any places which have become vacant since allocation letters were sent out. This will take place on or around:

Year 7 Places [Secondary] 25 March 2020Reception Places [Infant/Primary] 13 May 2020Year 3 Places [Junior] 13 May 2020

(2) Consideration will be given to all outstanding applicants, including any late applications.

(3) Places will be re-allocated by applying the school’s oversubscription criteria (for community and voluntary controlled schools the LA oversubscription criteria will apply). Where the information is not already held, the LA will liaise with voluntary aided, foundation, free schools and academies regarding the ranking of outstanding applicants.

(4) During the course of the year, as vacancies arise, the LA will re-allocate the places to those applicants on the waiting list of community and voluntary controlled schools in accordance with its oversubscription criteria.

13. Late Applications Submitted After the Main Intake Closing Dates

(1) Applications received by the LA after the main admissions round closing dates and where there are no exceptional circumstances, or after the dates specified at 3(5) even if there are exceptional circumstances, will only be considered after the allocation decisions have been made in paragraph 8.

(2) Where it is not possible to offer a place on the Offer Days [paragraph 8] a place will be offered as soon as possible thereafter. For any school that is oversubscribed, late applicants will not be notified of the outcome of their application until after re-allocation day.

14. Waiting Lists

Waiting lists for schools will be kept by the relevant admission authority until the end of the autumn term 2020 as a minimum.

15. Applications Received After the First Day of the School Year and Other In Year Requests for Admission

(1)Applications received after the first day of the school term of the admissions year, and at any time for entry other than to the normal year of entry, will be treated as in year admissions. These applications should be made on form SA8.

(2) Once any places have been re-allocated on the specified dates, any applications for entry in September 2020 to Reception in an infant or primary school, Year 3 in a junior school or Year 7 in a secondary school will continue to be treated as main intake applications for the normal admissions round. Forms SA1, SA2 and SA3 will be used for this purpose up until the first day of the school term of the normal admissions year. From re-allocation day up until the first day of the school term of the normal admissions year, the LA will continue to process all main intake applications. The LA will liaise with voluntary aided, foundation, free schools and academies regarding the allocation of places for the normal year of entry. The LA, as

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the admissions authority, will continue to process applications for community and voluntary controlled schools for the normal year of entry.

(3) For community and voluntary controlled schools which have been oversubscribed, the LA will continue to re-allocate places up to the end of the autumn term in line with its published admission arrangements. Schools must, therefore, refer any parents or carers who contact them to request a school place to the LA. Other community and voluntary controlled schools should confirm the availability of places with the parent or carer.

(4) On an ongoing basis it will be possible, in many instances, to deal with in year requests for places without involving the LA. Parents will contact schools directly and it will be possible to offer a place without any difficulty and without the need for a formal application. Schools should inform the LA when they have offered places, so student records can be kept up to date.

(5) In relation to a community or voluntary controlled school, if a parent contacts the school requesting admission and it is not possible to offer a place, the parent should be referred to the School Admissions and Appeals Team in order that form SA8 can be completed by the parent. On receipt of the SA8 the LA will determine whether refusal is appropriate and, if so, write to the parent or carer formally refusing the request and offering the right of appeal. Alternative preferences would also be pursued and if necessary, ie. in relation to voluntary aided, foundation, free schools and academies, the application would be referred to the governing body or academy trust for determination.

(6) If any parent approaches a voluntary aided, foundation, free school or academy directly about an in year admission, the governing body or academy trust should offer a place where possible and notify the LA. Where a place cannot be offered, the governing body or academy trust must offer the right of appeal, and advise the parent to contact the LA [School Admissions and Appeals Team] in order that a form SA8 can be completed. Own admission authority schools must notify the LA of both the application and its outcome to allow the LA to keep up to date figures on the availability of places in the area.

(7) Where the LA receives an SA8 direct from a parent giving a voluntary aided, foundation, free school or academy as their first preference or in pursuing alternative preferences where higher preferences have been refused, the request will be referred to the governing body or academy trust to make a determination regarding the application. The governing body or academy trust should notify the parent or carer in writing of its decision with a copy to the LA.

(8) Parents who are refused admission must be offered a right of appeal. Information about the appeals process must be provided by the relevant admission authority in the refusal letter.

(9) The LA will keep track of any pupils who apply for in year admission using form SA8, and intervene as appropriate to ensure that they are placed in a school without undue delay.

16. Applications for Energy Coast UTC

(1)(1) The closing date for applications for September 2020 Year 10 places will be advised by Energy Coast UTC during the autumn term 2018.

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(2)(2) Applicants will be notified of the outcome of their application on 2 March 2020 [see note at 2(i)(a)].

(3)(3) Energy Coast UTC will process their own applications for admission to Year 12 in September 2020.

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AppendixAppendix 11CO-ORDINATEDCO-ORDINATED ADMISSIONSADMISSIONS SCHEMESCHEME FORFOR INFANT,INFANT, JUNIORJUNIOR ANDAND PRIMARYPRIMARY SCHOOLSSCHOOLS [MAIN[MAIN ADMISSIONSADMISSIONS ROUND]ROUND]

SchemeScheme TimetableTimetable -- SeptemberSeptember 20202020 EntryEntry toto ReceptionReception andand YearYear 33

15 January 2020 SA1s [Reception] to be submitted online to the School Admissions and Appeals Team; if submitting a paper form, return to the parents or carers first preference school or directly to the School Admissions and Appeals Team. Any supplementary form and documentary evidence, if required, that is relevant in relation to admission to voluntary aided, foundation, free schools and academies must be returned by parents or carers to the school for which the supplementary information is relevant.

SA2s [Year 3] to be submitted online to the School Admissions and Appeals Team; if submitting a paper form, return to the parents or carers first preference school or directly to the School Admissions and Appeals Team. Any supplementary form and documentary evidence, if required, that is relevant in relation to admission to voluntary aided, foundation, free schools and academies must be returned by parents and carers to the school for which the supplementary information is relevant.

20 January 2020 Schools to pass SA1s and SA2s to the LA on a weekly basis as and when they are received, but to be sent by first class post on this date at the latest.

Schools to maintain a record of all forms received. This should include a list of who has submitted an application form together with the date the form is received in school.

27 January 2020 Other LAs to be notified of preferences which have been expressed for schools in their area.

29 January 2020 The LA will notify voluntary aided, foundation, free schools and academies of all first, second and third preference applications which have been received for their school. In line with legislation, where these preferences are passed on, the order of parents or carers’ preferences will not be made known to schools. Community and voluntary controlled schools will be informed how many first preference applications have been received.

11 February 2020 Voluntary aided, foundation, free schools and academies to provide LA with a list showing which category in their admissions policy each applicant falls into. This list should also be in rank order, ranked from 1 onwards, beginning with the applicant with the highest priority for a place at the school through to the applicant with the lowest priority for a place. If any school has difficulties with this deadline, an alternative one must be agreed.

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14 February 2020 After this date, no late or changed applications to be considered, even if there are exceptional circumstances.

12 February 2020 to06 March 2020

The LA will liaise with voluntary aided, foundation, free schools and academies in order to finalise allocations.

20 March 2020 Other LAs will be notified of places in schools in Cumbria.

27 March 2020 to 3 April 2020

LA will finalise allocations.

3 April 2020 LA will confirm final allocations with all maintained schools and academies in Cumbria.

16 April 2020 LA will notify parents or carers of their allocation.

01 May 2020 Parents or carers who don’t wish to take up the place offered because they have made alternative arrangements will be asked to respond by this date. Where parents and carers have not responded by this date, the LA will assume acceptance of the place offered.

13 May 2020 LA will re-allocate any places which have become available.

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AppendixAppendix 22CO-ORDINATEDCO-ORDINATED ADMISSIONSADMISSIONS SCHEMESCHEME -- SECONDARYSECONDARY SCHOOLSSCHOOLS [MAIN[MAIN ADMISSIONSADMISSIONS ROUND]ROUND]

SchemeScheme TimetableTimetable -- SeptemberSeptember 20202020 EntryEntry toto YearYear 77

31 October 2019 SA3s to be submitted online to the School Admissions and Appeals Team; if submitting a paper form, return to the child’s current school or directly to the School Admissions and Appeals Team. Any supplementary form and documentary evidence, if required, that is relevant in relation to admission to voluntary aided, foundation, free schools and academies must be returned by parents or carers to the school for which the supplementary information is relevant.

Each primary school should maintain a record of the applications it receives from parents or carers as well as the date these are received. The school should contact those parents or carers where the record kept in school indicates that a parent or carer may not have applied for a Year 7 school place.

08 November 2019 Schools to pass SA3s and any supplementary forms to the LA on a weekly basis as and when they are received, but to be sent by first class post on this date at the latest.

18 November 2019 Other LAs to be notified of preferences which have been expressed for schools in their area.

22 November 2019 The LA will notify voluntary aided, foundation, free schools and academies of all first, second and third preference applications which have been received for their school. In line with legislation, where these preferences are passed on, the order of parents or carers’ preferences will not be made known to schools. Community and voluntary controlled schools will be informed how many first preference applications have been received.

13 December 2019 Voluntary aided, foundation, free schools and academies to provide LA with a list showing which category in their admissions policy each applicant falls into. This list should also be in rank order, ranked from 1 onwards, beginning with the applicant with the highest priority for a place at the school through to the applicant with the lowest priority for a place. If any school has difficulties with this deadline, an alternative one must be agreed.

16 December 2019 to24 January 2020

The LA will liaise with voluntary aided and foundation schools, free schools and academies in order to finalise allocations.

03 January 2020 After this date, no late or changed applications to be considered, even if there are exceptional circumstances.

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10 February 2020 Other LAs will be notified of places in schools in Cumbria which can be offered to their residents.

14 to 21 February 2020 LA will finalise allocations.

21 February 2020 LA will confirm final allocations with all maintained schools and academies in Cumbria.

02 March 2020 LA will notify parents or carers resident in Cumbria of their allocation.(Note: As 1 March 2020 falls on a Sunday, notification to parents or carers will be on the next working day – Monday 2 March 2020)

16 March 2020 Parents or carers who don’t wish to take up the place offered because they have made alternative arrangements will be asked to respond by this date. Where parents and carers have not responded by this date, the LA will assume acceptance of the place offered.

25 March 2020 LA will re-allocate any places which have become available.

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AAppppeennddiixx 33CCOO--OORRDDIINNAATTEEDD AADDMMIISSSSIIOONNSS SSCCHHEEMMEE –– IINNFFAANNTT,, PPRRIIMMAARRYY AANNDD JJUUNNIIOORR SSCCHHOOOOLLSS

AdmissionAdmission AuthoritiesAuthorities inin thethe AreaArea ofof CumbriaCumbria toto whichwhich thethe SchemeScheme AppliesApplies

Subject to any school converting to foundation or academy status, the LA is the Admission Authority for the following community and voluntary controlled infant and primary schools

All Saints’ CE Primary School Fellview Primary SchoolAllithwaite School Frizington Community Primary SchoolAllonby Primary School Goodly Dale Community Primary SchoolAlston Primary School Gosforth CE SchoolArlecdon Primary School Grange CE Primary SchoolArmathwaite School Grasslot Infant SchoolAsby Endowed School Great Orton SchoolAshfield Infant School Greystoke SchoolBarrow Island Community Primary School Haverigg Primary School Beckstone Primary School Hawkshead, Esthwaite Primary SchoolBelle Vue Primary School Hensingham Primary SchoolBewcastle School Heron Hill Primary SchoolBlennerhasset School High Hesket CE SchoolBolton Primary School Holm Cultram Abbey CE SchoolBookwell Primary School Holme Community SchoolBransty Primary School Holme St Cuthbert SchoolBridekirk Dovenby CE Primary School Houghton CE SchoolBrisbane Park Infant School Inglewood Infant SchoolBrook Street Primary School Ireby CE SchoolBrough Community Primary School Irthington Village SchoolBroughton in Furness CE School Jericho School Broughton Moor Primary School Kells Infant SchoolBrunswick School Kingmoor Infant SchoolBurgh by Sands Primary School Kirkbampton CE SchoolBurlington CE Primary and Nursery School Kirkbride Primary SchoolCaldew Lea School Kirkby Stephen Primary SchoolCambridge Primary School Kirkby Thore SchoolCaptain Shaw’s CE School Kirkoswald CE SchoolCartmel CE Primary School Lamplugh CE SchoolChapel Street Infant s and Nursery School Lanercost CE SchoolClifton School Langwathby CE SchoolConiston Primary School Lees Hill CE SchoolCroftlands Infant and Nursery School Levens CE SchoolCrosscanonby St John’s CE School Lindal and Marton Primary SchoolCummersdale School Lindale CE SchoolCumwhinton School Long Marton Community Primary SchoolDane Ghyll Community Primary School Low Furness CE Primary SchoolDerwent Vale Primary School and Nursery Lowca Community SchoolDistington Community School Maryport Infant School*Ellenborough and Ewanrigg Infant School Milburn SchoolEnnerdale and Kinniside CE Primary School Millom Infant SchoolMilnthorpe Primary School Silloth Primary SchoolMontreal CE Primary School Sir John Barrow School

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Moor Row Community Primary School Skelton SchoolMoresby Primary School South Walney Infant and Nursery School Nenthead Primary School St Bees Village SchoolNetherton Infant School St Bridget’s CE School, BrighamNewbarns Primary School St Bridget’s CE School, PartonNewlaithes Infant School St George’s CE SchoolNewton Primary School St James’ CE Infant School, Whitehaven Newtown Community Primary School St Michael’s CE Primary School, DalstonNorman Street Primary School St Michael’s Infant and Nursery SchoolNorth Walney Primary School Staveley CE SchoolOld Hutton CE School Stoneraise SchoolOrgill Primary School Storth CE SchoolOrmsgill Nursery and Primary School Temple Sowerby CE Primary SchoolPennine Way Primary School Thornhill Primary School Pennington CE School Threlked CE Primary SchoolPetteril Bank Primary School Thursby Primary SchoolPlumbland CE School Thwaites SchoolPlumpton School Upperby Primary SchoolRamsden Infant School Valley Primary School and Nursery Raughton Head CE School Vicarage Park CE Primary SchoolRichmond Hill School Vickerstown SchoolRobert Ferguson Primary School Victoria Infant and Nursery School, BarrowRockcliffe CE School Victoria Infant School, WorkingtonRoose School Westfield Nursery and Primary SchoolSeascale Primary School Wigton Infant SchoolSedbergh Primary School Wreay CE Primary SchoolShankhill CE Primary School

* Proposals to amalgamate Maryport Infant School and Maryport CE Junior School to form an all-through primary school with a PAN of 45 with effect from September 2019 are currently being considered.

Subject to any school converting to foundation or academy status, the LA is the Admission Authority for the following community and voluntary controlled junior schools

Ashfield Junior School Monkwray SchoolClack Combe Junior School Newlaithes Junior SchoolCroftlands Junior School North Lakes SchoolEwanrigg Junior School Seaton St Paul’s CE Junior SchoolGeorge Romney Junior School South Walney Junior SchoolGreengate Junior School St James’ CE Junior School, WhitehavenInglewood Junior School Thomlinson Junior SchoolKingmoor Junior School Victoria Junior School, WorkingtonMaryport CE Junior School*

* Proposals to amalgamate Maryport Infant School and Maryport CE Junior School to form an all-through primary school with a PAN of 45 with effect from September 2019 are currently being considered.

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The governing body or academy trust is the Admission Authority for the following voluntary aided, foundation, free schools and academies

Ambleside CE Primary School Great Corby School & NurseryAppleby Primary School Hallbankgate Village SchoolArnside National CE School Hayton CE Primary SchoolAskam Village School Holy Family Catholic Primary SchoolBassenthwaite School Ireleth St Peter’s CE SchoolBeaconside CE Primary School Ivegill CE SchoolBeckermet CE School Langdale CE SchoolBeetham CE School Lazonby CE SchoolBishop Harvey Goodwin School, The Leven Valley CE SchoolBlackford CE Primary School Longtown Primary SchoolBorrowdale CE Primary School Lorton SchoolBowness on Solway Primary School Lowther Endowed Primary SchoolBraithwaite CE [VA] Primary School Morland Area CE SchoolBrampton Primary School Northside SchoolBroughton Primary School Orton CE SchoolBurton Morewood CE Primary Academy Oughterside SchoolCalthwaite CE School Our Lady & St Patrick’s Catholic Primary School,

Maryport Castle Carrock School Our Lady of the Rosary Catholic Primary SchoolCastle Park School Parkside GGI AcademyChetwynde School Patterdale CE SchoolChurch Walk CE Primary School Penny Bridge CE SchoolCrosby on Eden CE School Penruddock Primary SchoolCrosby Ravensworth CE School Rosley CE SchoolCrosscrake CE School Sacred Heart Catholic Primary SchoolCrosthwaite CE School Scotby CE Primary SchoolCulgaith CE School Seaton AcademyDalton St Mary’s CE Primary School Selside Endowed CE SchoolDean Barwick School Shap Endowed CE SchoolDean CE School St Bede’s Roman Catholic Primary SchoolDean Gibson Catholic Primary School St Bega’s CE School Dearham Primary School St Begh’s Catholic Junior SchoolDent CE Voluntary Aided Primary School St Bridget’s Catholic Primary School, EgremontEaglesfield Paddle CE VA Primary School St Catherine’s Catholic Primary SchoolFairfield Primary School St Columba’s Catholic Primary School

Fir Ends Primary SchoolSt Cuthbert’s Catholic School and Nursery, Carlisle

Flimby School St Cuthbert’s Catholic Primary School, Wigton

Flookburgh CE SchoolSt Cuthbert’s Catholic Primary School, Windermere

Ghyllside Primary SchoolSt Gregory and St Patrick’s Catholic Infant School

Gilsland CE School St Gregory’s Catholic Primary SchoolGrasmere CE School St Herbert’s CE Primary SchoolGrayrigg CE School St James’ Catholic Primary School, MillomSt James’ CE Junior School, Barrow St Patrick’s CE SchoolSt Joseph’s Catholic Primary School, Cockermouth

St Pius X Catholic Primary School

St Joseph’s Catholic Primary School, Frizington St Thomas’s CE School

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St Margaret Mary’s Catholic Primary School Stainton CE SchoolSt Mark’s CE School Stanwix SchoolSt Martin & St Mary CE Primary School Stramongate Primary SchoolSt Mary’s Catholic Primary School, Harrington Tebay Community Primary SchoolSt Mary’s Catholic Primary School, Ulverston Victoria Academy, BarrowSt Mary’s Catholic Primary School, Whitehaven Waberthwaite CE SchoolSt Mary’s CE Primary School, Kirkby Lonsdale Warcop CE SchoolSt Matthew’s CE School Warwick Bridge SchoolSt Michael’s CE School, Bothel Wiggonby CE SchoolSt Oswald’s CE Primary School Yanwath Primary SchoolSt Patrick’s Catholic Primary School, Cleator Moor

Yarlside Primary School

St Patrick’s Catholic Primary School, Workington

Yewdale School

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Appendix 4CO-ORDINATEDCO-ORDINATED ADMISSIONSADMISSIONS SCHEMESCHEME –– SECONDARYSECONDARY SCHOOLSSCHOOLS

AdmissionAdmission AuthoritiesAuthorities inin thethe AreaArea ofof CumbriaCumbria toto whichwhich thethe SchemeScheme AppliesApplies

Subject to any school converting to foundation or academy status, the LA is the Admission Authority for the following community and voluntary controlled schools:

Beacon Hill Community School The Nelson Thomlinson SchoolDowdales School Netherhall SchoolJohn Ruskin School Solway Community SchoolThe Lakes School Ulverston Victoria High SchoolMillom School

The governing body is the Admission Authority for the following foundation and voluntary aided schools and academies:

Appleby Grammar School Queen Elizabeth SchoolCaldew School Queen Katherine School, The Cartmel Priory CE School Samuel King’s SchoolCentral Academy Settlebeck SchoolChetwynde School St Benedict’s Catholic High SchoolCockermouth School St Bernard’s Catholic High SchoolDallam School St Joseph’s Catholic High SchoolEnergy Coast UTC Trinity SchoolFurness Academy Ullswater Community CollegeKeswick School Walney schoolKirkbie Kendal School West Lakes AcademyKirkby Stephen Grammar School The Whitehaven AcademyMorton Academy William Howard SchoolNewman Catholic School Workington AcademyQueen Elizabeth Grammar School

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Appendix C

Determining the ‘Relevant Area’ for Consultation on Proposed Admission Arrangements for Own Admission Authority Schools

All schools where the governing body or academy trust is the admission authority, ie voluntary aided, foundation, free schools and academies (including UTCs and Studio Schools), must consult the Local Authority (LA) and all schools (including community and voluntary controlled schools) within their ‘relevant area’ before determining their admission arrangements. Some schools will also need to consult neighbouring LAs and schools in neighbouring authorities.

Proposed Definition of Relevant Areas for Admission Authorities in Cumbria for the period 2020-21 to 2022-23

1. Primary Voluntary Aided, Foundation, Free Schools and Academies

(1) all primary schools within a 2 mile radius of the school.

If there are no primary schools within a 2 mile radius:

(2) all primary schools with the catchment area of the school, all primary schools whose catchment areas adjoin the catchment area of the school and any other primary schools within those adjoining catchment areas; and

(3) where appropriate, the neighbouring LA and any schools in the neighbouring LA within a 2 mile radius.

2. Secondary Voluntary Aided, Foundation, Free Schools and Academies (including UTCs and Studio Schools)

(1) all secondary and primary schools within a 3 mile radius of the school.

If there are no secondary schools within a 3 mile radius:

(2) (i) all secondary schools whose catchment area adjoin the catchment area of the school;

(ii) all primary schools with the catchment area of the secondary school; and(iii) all primary schools whose catchment areas adjoin the catchment area of the

secondary school.

(3) where appropriate, the neighbouring LA and any primary and secondary schools in the neighbouring LA within a 5 mile radius.

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Appendix D

Changes of Age Range - Addition of Nursery Provision - Summary of Consultation Responses

School Consultation response summaryAllonby   Supported by small local community.Arlecdon   No objections received.Ashfield Infant  No negative responses received.

Bewcastle Negative response received from Shankhill School - areaalready has enough places.

Bram Longstaffe NurseryExtension of existing nursery in response to communityneed for 2 year old places.

Cleator Moor NurseryExtension of existing nursery in response to communityneed for 2 year old places.

Croftlands Infant  No negative responses received.Ellenborough & Ewanrigg Infant Created due to parental demand for 2 year old places.Grasslot Infant  No objections raised.Greystoke  No objections raised.

Hindpool NurseryExtension of existing nursery in response to communityneed for 2 year old places.

Holme No objections raised.Inglewood Infant  Community need evident for 2 year old places.

Kendal NurseryExtension of existing nursery in response to communityneed for 2 year old places.

Kirkby Stephen Primary  No objections raised.Long Marton No objections raised.Maryport Infant Community need evident for 2 year old places.Milburn  Parents supportive.Moresby  No objections raised.

Netherton Infant Responses were in support. Community need evidentfor 2 year old places.

Newlaithes Infant  No negative responses received.North Walney  No negative responses received.Orgill  No negative responses received.Plumpton No negative responses received.Thursby  No objections as existing private nursery.

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Changes of Age Range - Addition of Nursery Provision - Summary of Consultation Responses

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Document is Restricted

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Agenda Item 15By virtue of paragraph(s) 3 of Part 1 of Schedule 12Aof the Local Government Act 1972.

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