KENT AND MEDWAY FIRE AND RESCUE AUTHORITY · 08.11.2016 · KENT AND MEDWAY FIRE AND RESCUE AUTHORITY . GENERAL PURPOSES COMMITTEE . Tuesday 8 November 2016, 10.30 am Ask for: Stuart

KENT AND MEDWAY FIRE AND RESCUE AUTHORITY

General Purposes Committee

Tuesday, 8 November 2016

10.30 am

AGENDA

KENT AND MEDWAY FIRE AND RESCUE AUTHORITY GENERAL PURPOSES COMMITTEE

Tuesday 8 November 2016, 10.30 am Ask for: Stuart Ballard/Marie Curry Kent Fire and Rescue Service HQ, The Godlands, Tovil, Maidstone, ME15 6XB

Telephone: (01622) 692121 ext: 8206/8291

Members:- Mr Angell (Chairman), Mrs Allen, Mr Birkby, Mr Carr, Mr Cowan, Mr Daley, Mr Godwin, Mr Latchford, Mr Manion, Mr Simkins, Mrs Stockell, Mr Sweetland and Mr Tranter.

UNRESTRICTED ITEMS

(During these items the meeting is likely to be open to the public)

A Routine Business A1. Membership and Substitutes To note that, following Ms Carey’s resignation from the Authority, Mr B J Sweetland

has been appointed to serve on the Committee in her place.

A2. Election of Vice-Chairman of Committee Following Ms Carey’s resignation, the Committee needs to elect a new Vice-

Chairman for the remainder of 2016/17.

A3. Declarations of Interest in Items on this Agenda

A4. Minutes of Meeting held on 15 July 2016 (Pages 5-9)

B Items for Decision B1. Financial Progress and Treasury Management Update 2016/17 (Pages 11-26)

B2. Development of the 2017/18 Budget and Medium Term Financial Plan Presentation – Members will be asked to approve in principle the approach being used to develop the Authority’s budget plan.

B3. Revised Code of Corporate Governance (Pages 27-39)

B4. Safeguarding Policy and Regulations (Pages 41-62)

B5. Annual Report on Members’ Standards, Allowances and Activity 2015/16 (Pages 63-78)

C Items for Information C1. External Auditors’ Annual Audit Letter 2015/16 (Pages 79-92)

C2. Internal Audit - Mid-Year Progress Report 2016/17 (Pages 93-102)

C3. Caring for the Environment Update (Pages 103-116)

C4. Corporate Health Performance (Pages 117-121)

C5. Corporate Risk Monitoring (Pages 123-131)

C6. Pension Board Update (Pages 133-137)

C7. Change of Date of Meeting – April 2017 To note that the Committee’s next meeting will take place on Wednesday 12 April

2017(and not on 19 April as previously agreed).

continued over

D Urgent Business (Other items which the Chairman decides are urgent)

E Exempt Items (At the time of preparing this agenda there were no exempt items. During any such items which may arise the meeting is likely not to be open to the public)

Stuart Ballard Clerk to the Authority 27 October 2016 Please note that any background papers referred to in the accompanying reports may be inspected by arrangement with the Lead/Contact Officer named on each report.


GENERAL PURPOSES COMMITTEE _____________________________

MINUTES of a meeting of the General Purposes Committee held at Kent Fire and Rescue Service Headquarters, The Godlands, Tovil, Maidstone on Friday 15 July 2016.

PRESENT:- Mr M J Angell (Chairman), Ms S J Carey (Vice-Chairman), Mrs A Allen MBE, Mr H G R Birkby, Mr D J Carr, Mr G Cowan, Mr D S Daley, Mr P Godwin, Mr C E T Simkins and Mrs P A V Stockell.

APOLOGIES:- Mr R A Latchford OBE, Mr S C Manion and Mr S A Tranter.

OFFICERS:- The Chief Executive, Miss A Millington; the Director, Finance and Corporate Services, Mr C Kerr; the Assistant Director, Community Safety, Mr M Adams; the Assistant Director, Finance, Mrs A Kilpatrick; the Assistant Director, Human Resources, Mrs K Irvine; the Assistant Director, Policy and Performance, Mr J Finch; the Corporate Governance and Risk Manager, Mr R Feltham; the Corporate Facilities and Environmental Manager, Mr P Austen; and the Clerk to the Authority, Mr S C Ballard.

IN ATTENDANCE:- Ms E Hill and Mr T Blackman, Grant Thornton UK LLP; and Ms S Buckland and Ms F Chivers, KCC Internal Audit.

UNRESTRICTED ITEMS

4. Membership (Item A1)

The Chairman reported the death on 17 June of Mr Bryan Cope, a former Member of the Authority and its Chairman from June 2005 to May 2013. Members and officers paid tribute to Mr Cope and then stood in silence as a mark of respect.

5. Minutes (Item A3)

RESOLVED that the Minutes of the meetings of the Committee held on 14 April and 16 June 2016 be approved and signed by the Chairman as a correct record.

6. Budget Outturn 2015/16 (Item B1 - Report by Assistant Director, Finance)

(1) The Committee was advised of the final outturn position of the revenue and capital spend and prudential indicators for 2015/16, together with the final transfer to reserves. The Committee also received confirmation of the year-end position on the disposal of assets.

(2) As a matter of urgency, the Director, Finance and Corporate Services, reported that, since the agenda for the meeting had been published, the Government had issued a consultation document on the arrangements for business rates retention by local government with a closing date for responses of 26 September. Amongst other things, the consultation sought views on whether funding for fire and rescue authorities (FRAs) should be removed from the business rates retention scheme with FRAs being funded by Government grant instead.

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15 July 2016

(3) In discussion, there was a consensus amongst Members that funding of FRAs by Government grant was to be preferred to participation in the business rates retention scheme, and that this should be reflected in the Authority’s response to the Government’s consultation.

(4) RESOLVED that:-

(a) now that the final revenue underspend had been confirmed as £685k, the decision in principle taken by the Committee at its last meeting (Minute 35) to transfer the final revenue underspend into the Infrastructure Reserve be ratified;

(b) the Chief Executive, in consultation with the Chairman, be authorised to draft the Authority’s response to the Government’s consultation document on the arrangements for business rates retention by local government, taking into account the views expressed by Members at the meeting, and submit it by 26 September;

(c) the remaining contents of the report be noted.

7. Internal Audit Annual Report 2015/16 (Item B2 - Report by Corporate Governance and Risk Manager)

(1) The Committee considered the Internal Audit Annual Report prepared by the Authority’s Head of Internal Audit (whose services were provided by Kent County Council under a service level agreement).

(2) Ms Buckland, the Head of Internal Audit, introduced the Annual Report, which contained her opinion of the overall effectiveness of the Authority’s control systems; the outcomes of the annual review of internal audit effectiveness required by regulation; and the findings of an external review of Internal Audit’s compliance with agreed national operating standards. Ms Buckland then answered Members’ questions on the Annual Report.

(3) RESOLVED that:-

(a) the Internal Audit Annual Report for 2015/16, attached as Appendix 1 to the report, be approved;

(b) the update on Internal Audit’s External Quality Assessment Report, as set out in paragraph 9 of the report, be noted.

8. Treasury Management Annual Report 2015/16 (Item B3 - Report by Assistant Director, Finance)

(1) The Committee considered a report on Treasury Management activity during 2015/16, and during 2016/17 to date.

(2) RESOLVED that:-

(a) the year-end report on Treasury Management activity during 2015/16, as set out in paragraphs 4 to 13 of the report, be approved;

(b) the position on Treasury Management activity during 2016/17 to date (set out in paragraphs 14 to 19 of the report) be noted.

9. Annual Governance Statement 2015/16 (Item B4 - Report by Corporate Governance and Risk Manager)

(1) The Committee considered a draft of the Authority’s Annual Governance Statement for 2015/16, which included the Operational Assurance Statement, following completion of the internal self-assessment process.

(2) RESOLVED that the draft Annual Governance Statement for 2015/16, attached as Appendix 1 to the report, be approved.

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10. External Auditors’ Audit Findings Report for 2015/16 (Item B5 - Report by Director, Finance and Corporate Services)

(1) The Committee considered the External Auditors’ draft Audit Findings report for the year ended 31 March 2016. The Committee was advised that:-

• the External Auditors expected to issue an unqualified opinion in respect of the Authority’s Financial Statements for 2015/16;

• the External Auditors had not identified any material adjustments that required amendments to be made to the financial statements; had commented that the Accounts were supported by a comprehensive set of working papers; and had expressed their appreciation to staff in the finance team and elsewhere in the organisation for responding promptly and knowledgably to queries raised during the audit;

• in their overall Value for Money (VFM) assessment the External Auditors were satisfied that in all significant respects the Authority had put in place proper arrangements to ensure it delivered VFM in its use of resources;

• however, the External Auditors had highlighted in their VFM conclusion two risks which they considered significant – achievement of the savings identified in the medium term financial plan (although they were satisfied that sound arrangements were in place to achieve the savings); and under-performance on the key indicator ‘attending life-threatening incidents’ (hence their emphasis on the need to monitor ongoing initiatives to improve the Authority’s performance against this indicator).

(2) Ms Hill, the Director of Grant Thornton responsible for the Authority’s Audit, introduced the draft Audit Findings report and answered Members’ questions on it.

(3) RESOLVED that the External Auditors’ draft Audit Findings report for the year ended 31 March 2016, attached as Appendix 1 to the report, be received.

11. Annual Statement of Accounts 2015/16 (Item B6 - Report by Director, Finance and Corporate Services)

(1) The Committee considered the Annual Statement of Accounts for 2015/16 and the proposed Letter of Representation (a formal statement by the Director, Finance and Corporate Services, which was required to be sent to the External Auditors in order to provide assurances as to the robustness of the Authority’s approach to the preparation and audit of its Statement of Accounts).

(2) RESOLVED that:-

(a) the Letter of Representation, as attached as Appendix 1 to the report, be approved;

(b) the Annual Statement of Accounts 2015/16, as set out in Appendix 2 to the report, be approved, subject to the Chairman of the Committee being informed of any changes which may be made to the accounts following completion of the External Audit;

(c) the remaining contents of the report, including the position on reserves (as set out in paragraphs 16 to 19); and the commentary on the content and disclosures within the Statement of Accounts (as set out in paragraphs 20 to 27), be noted;

(d) the Committee place on record its thanks to the staff involved for their efforts in preparing an accurate set of final accounts for 2015/16 so speedily, and for earning praise from the External Auditors for their

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prompt and knowledgeable responses to the External Auditors’ queries.

12. Financial Progress 2016/17 (Item B7 - Report by Assistant Director, Finance)

(1) The Committee received the latest forecast outturn position on the revenue and capital budgets and prudential indicators for 2016/17, as well as updates on other financial issues. The Committee also considered a proposal to increase the funding allocated for the construction of the new fire station at Ramsgate because of the significant rise in building costs since the budget for the project had first been estimated several years ago.

(2) RESOLVED that:-

(a) the budget for the new fire station at Ramsgate be increased by £2.6m to £10m, and that the increase be funded from the Infrastructure Reserve;

(b) the remaining contents of the report be noted.

13. Proposed Feedback and Allegations Service Order (Item B8 - Report by Assistant Director, Policy and Performance)

(1) The Committee considered a proposed Feedback and Allegations Service Order, which included detailed guidance on how the Authority would deal with any allegations made against staff under its safeguarding duties. If agreed, this Service Order would replace the existing Complaints, Compliments and Comments Service Order.

(2) RESOLVED that the proposed Feedback and Allegations Service Order, attached as Annex 1 to the report, be approved.

14. Environmental Update (Item C1- Report by Corporate Facilities and Environmental Manager)

(1) The Committee received a report on progress in achieving the Authority’s target of reducing its Carbon Dioxide emissions by 35% of the baseline year’s (2008/09) figure by 31 March 2017, showing that the reduction had recently passed the significant milestone of a 30% reduction. The Committee also received an update on the installation of solar panels on the Authority’s buildings.

(2) RESOLVED that the contents of the report and its appendix be noted.

15. Corporate Health Performance (Item C2 - Report by Assistant Director, Human Resources)

(1) Members received an analysis of the Authority’s performance against the strategic corporate health indicators relating to human resources for 2015/16 and the first two months of 2016/17.

(2) RESOLVED that the contents of the report be noted.

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16. Annual Report on Service Users’ Feedback and Freedom of Information Requests 2015/16

(Item C3 - Report by Assistant Director, Policy and Performance)

(1) The Committee received a report giving an overview of the feedback and Freedom of Information requests received during 2015/16, and comparisons with previous years.

(2) RESOLVED that the contents of the report and its appendices be noted.

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Item Number: B1

By:

Assistant Director, Finance

To: General Purposes Committee - 8 November 2016

Subject: FINANCIAL PROGRESS AND TREASURY MANAGEMENT UPDATE FOR 2016/17

Classification: Unrestricted

FOR DECISION

SUMMARY

This report provides Members with information on a number of financial issues. These include the latest forecast outturn position on the revenue and capital budgets for 2016/17, an update on Treasury Management issues, an insurance update and the current position with regard to the disposal of assets. The report also asks Members for a decision in principle to purchase land at Herne Bay, to enable a new Fire Station to be built on a new site.

RECOMMENDATIONS

Members are requested to:-

1. Agree in principle to the acquisition of a new site at Herne Bay (paragraph 14 refers).

2. Consider and note the remaining contents of the report.

LEAD/CONTACT OFFICER: Assistant Director, Finance - Alison Kilpatrick TELEPHONE NUMBER: 01622 692121 ext 8262 EMAIL: [email protected] BACKGROUND PAPERS: None

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COMMENTS Revenue and Capital Budget

1. Revenue Budget - The revenue budget for 2016/17 is currently forecast to underspend by an estimated £995k. The forecast includes a net underspend of £213k on pay- related budgets and £782k on non-pay headings. This position, however, excludes a possible one-off income receipt of approximately £250k, which has yet to be finalised, but relates to arrears in relation to telecom mast income going back a number of years.

2. The outturn forecast does make assumptions as to when current vacancies will be filled, so if a post takes longer to recruit to, or the successful candidate has a long notice period, then further underspends may arise during the rest of the year. This is kept under regular review and prudent forecasts are incorporated within the current outturn. The revenue budget and variances are shown in Appendices 1, 2 and 3 to this report.

3. Use of the revenue underspend - Members will be aware that a cautious approach is taken with regard to spend and, wherever it is beneficial to collaborate with other blue light services or partnering agencies to gain better value for money or financial savings, then these opportunities are progressed. Opportunities will be taken to achieve financial savings wherever it is appropriate to do so, and this can give rise to unforeseen underspends or savings earlier than expected. Consequently any underspend at the end of the year does provide the opportunity to fund one-off projects or pressures in future years. Any proposal for the use of the final underspend will be deferred until later in the financial year.

4. Capital Budget - The revised capital budget of £6,582k shown in Appendix 4 is forecast to overspend by £557k. Further details, together with an update on the Chatham and Ramsgate new-build projects, are given below:-

• Chatham Fire Station - The final position with regard to the outstanding costs on this project have yet to be finalised. However, current indications are that the final charges will slightly exceed the budget allocated for this project, mainly as a result of additional areas of work that were required once building work had started, and additional unforeseen costs that were incurred as a result of the delays caused by unexpected utility works. The overall cost of the new build is likely to be in the region of £4.8m.

• Ramsgate Fire Station - It is anticipated that the contract for construction of this project will be awarded before Christmas, with a start on-site scheduled for early 2017. The demolition of the swimming pool on the new site has cost about £90k more than expected due to the discovery of asbestos but, at this stage, the forecast for the total project is still in line with the budget. The

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forecast for the current year may need to be revised when the contract has been let and further information is available regarding timescales.

• Premises - No further urgent boiler replacements are expected and no further spend is forecast on fuel tanks. This will enable the Property team to bring forward other premises works that may have been scheduled for future years.

5. The position on the Infrastructure Plan, which combines both revenue and capital

investment in assets, is shown in Appendix 5. There is a small overspend on revenue aspects of the station development programme where additional costs were incurred for security at Chatham Fire Station and for the purchase of a generator trailer and connection points at Rochester Fire Station, both of which were funded by a transfer from the Infrastructure Reserve. In relation to the Information and Communication area of spend, the revenue element includes a £140k saving on the desktop replacement programme where new equipment was sourced at a competitive price.

6. Reserves - Details of all balances on reserves and unapplied capital grants and capital receipts are attached at Appendix 6. Earmarked reserves at the start of the financial year were £27,785k and are currently forecast to reduce to £24,692k by 31 March 2017. This position excludes any roll-forward of the final revenue budget underspend.

7. Capital Receipts and Disposal of Property - Negotiations are underway with West Kent Housing Association for the sale of four vacant day-crewed houses and a small piece of adjacent land on the Faversham Fire Station site. West Kent Housing Association are in the process of applying for planning permission for the land to enable them to build more housing on that area. Once they have obtained the necessary permission the sale can be concluded, and this is expected to happen towards the end of the financial year.

8. Budget Adjustments - Details of budget virements in excess of £50k which have been made since the last report to this Committee in July 2016 are listed below:-

(a) Pay budget realignment - There has been some restructuring between the Human Resources and Training Teams requiring an £86k adjustment to pay budgets to reflect the new structure.

(b) Infrastructure revenue projects - Within the Information and Communication Systems budget, a large part (£960k) of the element relating to the Emergency Services Mobile Communication Programme has been re-phased to future years now that further information has become available regarding timescales. The budget that has been re-phased was to be funded by Government grant (£400k), with the balance funded by transfer from the Infrastructure Reserve, so these budgets have also been adjusted accordingly. Within the Vehicles and Equipment budget the £676k budget for

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the purchase of replacement Road Traffic Collision Rescue Equipment has been slipped into future years, to allow the opportunity for collaboration with several other fire and rescue services. Consequently there is a corresponding reduction in the transfer from the Infrastructure Reserve.

(c) Infrastructure capital projects - Since the July report, the budget for the station development programme has been decreased by a net £1,152k which reflects the addition of budget of £379k for Medway which slipped from 2015/16, and the re-phasing of £1,531k of the budget for Ramsgate to 2017/18.

9. Budget Issues and Risks - In line with the Authority’s approach to risk management, budget risks have been identified wherever possible and assessed in terms of probability and impact. At this stage of the financial year the following risks remain:-

(a) Operational Pay - The Authority has planned for reductions in the wholetime operational establishment where flexible rostering will be rolled out across stations. The reduction is being delivered largely through leavers and retirements, thus avoiding the need for any compulsory redundancies. If retirements and leavers run ahead of prudent budget estimates this will give rise to a budget saving. Operational pay is closely monitored as it is a significant area of the Authority’s expenditure.

(b) Service Support Pay - As in previous years, there is a process of challenge before any vacant posts are advertised, to ensure that there is an ongoing business need for that post. If there is an opportunity to make an efficiency saving, the post is not replaced and new savings may arise.

(c) Ill-Health Retirements - The budget provides for two lower-tier retirements in 2016/17 and a different profile will give rise to a variance.

(d) Collaboration - The Authority has budgets for consultants and professional fees, and for grants and contributions, which can be used to support collaborative work and to contribute to partnership initiatives. Expenditure in this area is therefore partly dependent on progress by third parties and not wholly within the control of the Authority.

(e) Property Disposals - The Authority has four houses in the process of disposal. Once these houses are sold the Authority will hold 24 day-crewed houses, all of which are currently occupied. As previously agreed by Members, as and when these houses become surplus to operational requirements, the appropriate action will be taken in terms of their disposal. Members will also be aware that at the Authority meeting in October approval was given to dispose of the old Medway Fire Station site on the open market, once the building has been demolished.

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(f) Capital and Revenue Projects - The Authority has already experienced some re-phasing of expenditure within the Infrastructure Plan and more is possible particularly in relation to the new Ramsgate Fire Station project where the contract is yet to be awarded.

(g) Funding volatility - There is a risk that business rate income collected on behalf of the Authority by Medway and Kent District Councils may fall below the estimated amounts, particularly if any major business closes or rating appeals are successful. However, Members have agreed a Local Government Resource Reserve of £1,000k to mitigate against any unexpected reduction in funding.

10. Firefighters’ Pension Fund 2016/17 - Attached at Appendix 7 is the budget for the Pension Fund Account for 2016/17. Details of the 2015/16 outturn were passed to the Department for Communities and Local Government (DCLG), leading to a top-up grant payment in July for the balance of grant due for 2015/16 (£2,164k), together with 80% (£9,277k) of the estimated fund deficit for 2016/17 (£11,596k). This payment is based on the top-up grant forecast provided to the DCLG in August 2015 but this was then updated in the 2016/17 budget later in the year in line with the Authority’s pay budget estimates, at which point a deficit of £11,354k was forecast .

11. In the current year the estimate of top-up grant required has increased by £1,465k largely due to the fact that there have been more retirements than were originally anticipated, leading to a higher cost for lump sums and higher pension payments.

12. The number of retirements led to a reduction in employee and employer contributions to the fund. In net terms however, total contributions are higher than estimated because the forecast now reflects the backdated contributions estimated as a result of the Norman v Cheshire FRS case. The backdated employer contributions included are estimated at £435k and have been funded from the provision created for this purpose. Employee contributions of £239k have been credited to the fund.

13. Business Rate Pooling - The Authority is a member of the Kent Business Rate Pool in 2016/17, if the existing pool wishes to continue then there is no need for re-approval but if there are any significant changes in either the pool composition or constitution then a new pool would have to be approved. The Authority is in the current pool on a no win/no lose basis and it is envisaged that this would remain the same for 2017/18.

Site Acquisition

14. Herne Bay - Members will be aware that the Station Development Programme in the Infrastructure Plan incorporates a proposal to build a replacement Fire Station at Herne Bay. Options for a new site are now being considered and in order to take advantage of any opportunity that might arise Members are asked to give approval

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in principle to proceed with a site purchase should an appropriate site become available. Currently there is a budget for the Herne Bay new-build of £5.6m, but this is very much an estimate and will need to be refined as and when a site is found and the specification is established for the new station. The updated budget will be brought to Members at a future meeting, once further information is available.

Treasury Management Mid-Year Update

15. Economic Update - The Bank of England’s Monetary Policy Committee (MPC) sets monetary policy to meet the 2% inflation target. The MPC meeting on 3 August 2016 voted for a package of measures designed to provide additional support to growth and to achieve a sustainable return of inflation to the target. This package comprised a 25 basis point cut in the Bank Rate to 0.25% and an expansion of the Quantitative Easing (QE) programme to £435bn. The MPC will continue to monitor closely the impact of this action on households, firms and economic activity.

16. Following the UK’s vote to leave the EU, the exchange rate has fallen and the outlook for growth in the short to medium term has weakened.

17. CPI Inflation was 1.0% in September, the highest annual increase since November 2014. The main upward contributors to the change in the rate were rising prices for clothing, motor fuels and gas. These upward pressures were partially offset by a fall in air fares and food prices.

18. Interest Rate Forecast.- In light of the current economic position, most of the Authority’s counterparties have reduced their rates and as a consequence the Authority has reduced the forecast for investment income from £163k to £125k. The Table below compares the current rates (as at 30 September) with those prior to the recent reduction in the base rate:-

Counterparty Rate pre fall 4 August

2016

Current Rate

Amount at 30

September 2016

% % £’000 Debt Management Office (DMO) account 0.25 0.15 0 Treasury Bills 0.25 - 0.45 0.12 - 0.22 22,105 Lloyds 3-month account 0.65 0.50 4,000 Santander 6-month account 1.15 0.90 2,500 Nationwide fixed interest account 0.70 0.40 5,000 Natwest SIBA account 0.25 0.15 835 Lloyds call account 0.40 0.15 3,000 Santander call account* 0.40 0.40 2,500 Barclays 95-day notice account 0.70 0.45 3,000 TOTAL 42,940

*will reduce to 0.15% from 1 November 2016

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19. The focus is now on the Bank of England and how much stimulus it will put into the economy to prevent any adverse reaction to the Brexit decision. The Bank of England has indicated that it has no intention of following other central banks by setting negative interest rates, which would suggest that future cuts may stop at 0.1% placing the emphasis on Quantitative Easing and Government Fiscal Policy. Capita Asset Services have revised their interest rate forecasts for the next two years as detailed below:-

End Qtr. Bank Rate %

PWLB Rates % 5 Year 10 Year 25 Year 50 Year

3 2016 0.25 1.00 1.50 2.30 2.10 4 2016 0.10 1.00 1.50 2.30 2.10 1 2017 0.10 1.00 1.50 2.30 2.10 2 2017 0.10 1.10 1.60 2.40 2.20 3 2017 0.10 1.10 1.60 2.40 2.20 4 2017 0.10 1.10 1.60 2.40 2.20 1 2018 0.25 1.20 1.70 2.50 2.30 2 2018 0.50 1.30 1.80 2.60 2.40

20. Prudential Indicators - No change is expected to the forecast indicators in 2016/17.

Insurance Update

21. In previous years an annual insurance and claims update has been presented to the Committee at this meeting providing Members with an overview of the number and cost of insurance claims over recent years, together with details of any amendments to the Authority’s insurance arrangements. However, Members will be aware that, from November 2015, the Authority has been a member of the Fire and Rescue Indemnity Company (FRIC) which now provides its protection and insurance. Because FRIC’s financial year ends on 31 October, it is not possible to provide at the November meeting each year a year-end position statement giving a full picture of the claims performance and an update of the financial position of the company, including the contributions for the coming year set by the FRIC Board. In order to enable more meaningful reporting, based on a full year position, the annual insurance report will in future be submitted to the April meeting of the Committee.

22. In the meantime, Members will be encouraged to hear that, thus far, FRIC is performing well, with financial projections for the first year well within the parameters set out in the original operating model. As at September 2016, a small surplus of around £250k is projected for the 2015/16 financial year, after allowing for a significant provision for incurred but unreported claims which the company may be liable for. The claims handling service has proven to be very quick and efficient with prompt decisions on liability and early contact with third parties helping to reduce

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claims costs considerably. The claims data collected from all nine member fire and rescue authorities (FRAs) is building and is starting to produce sufficient data to enable more detailed analysis of causes of claims, especially under the motor policy, which will in future enable member FRAs to plan risk interventions which will hopefully reduce claims further.

23. The risk management group formed by FRIC has now developed a draft two-year Risk Management Plan designed to identify and address the underlying causes of claims, and seek solutions and controls to address these. An initial budget of £30k has been approved by the FRIC board to support this activity. The Plan is due to be reported to representatives of the nine member FRAs in the next few weeks to ensure local support for the projects it contains. Success in delivering the Plan is key to the ongoing financial viability of FRIC and each member FRA’s capacity to improve its risk profile against the Key Performance Indicators will, from November 2017, be a feature in determining the level of contributions each will have to make to the company.

24. More details of these arrangements and the Authority’s claims performance relative to the other member FRAs will be reported in April 2017 as part of the Annual Report.

IMPACT ASSESSMENT

25. There are no financial implications arising from this report that cannot be managed within the overall budget.

RECOMMENDATIONS

26. Members are requested to:

26.1 Agree in principle to the acquisition of a new site at Herne Bay (paragraph 14 refers).

26.2 Consider and note the remaining contents of the report.

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Appendix 1 to Item No: B1


Significant Variances and Movements in the 2016/17 Revenue Budget

The underspend of £995k is made up of a variety of over and underspends, and the reasons for the most significant (£50k or 10%, whichever is the higher) variances and movements are commented on below:- (a) Salaries, allowances and on-costs (an underspend of £213k) - Due to the ongoing

difficulties in recruiting to vacancies at part time stations, payments continue to be made to wholetime staff to provide additional voluntary hours. The net underspend on the station pay budgets is forecast to be £139k. Service support budgets are forecast to underspend by £322k, but these savings are reduced by the cost of agency staff (£101k) and redundancy costs of £123k. Specialist IT consultants detailed at (e) below are currently being used to fill two vacancies in the IS Team.

(b) Premises repairs, maintenance and other costs (an overspend of £61k) - This

position includes a saving on water rates of £12k which partly offsets a pressure for cleaning costs now being incurred for the new Rochester Road Safety Experience. This heading also includes additional security costs at Chatham and costs related to the purchase of a generator trailer and connection points at Rochester Fire Station totalling £54k, which were both funded by a transfer from the Infrastructure Reserve.

(c) Vehicle purchase and running costs (an underspend of £247k) - A review of the

vehicle maintenance plan has identified that a saving of £350k on vehicle consumable and maintenance costs is expected this year, so the opportunity has been taken to transfer £100k of this underspend to the premises budget to enable further repairs and maintenance to be undertaken at stations.

(d) Equipment and supplies (an overspend of £103k) - This position includes a £57k

increase in the estimated cost of maintenance of hydraulic rescue equipment (HRE) and drysuits.

(e) Fees and services (an underspend of £153k) - £240k of this underspend relates to

the consultant and professional fees budget for collaborative working, where fewer resources have been required to pump-prime collaborative initiatives. However this is offset by an overspend of £102k for IT consultancy for a Database Administration and Senior Network contractor (see (a) above).

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(f) Communications and computing (an underspend of £266k) - £140k of this underspend will be offset by a transfer back to the Infrastructure Reserve for the desktop replacement project which cost less than estimated; £20k for the wireless network uplift project which has been partly re-phased to 2017/18; and a £30k saving on development of the E-forms system which will now be developed in-house. The balance of the underspend relates to a number of smaller budget areas.

(g) Other supplies and services (an underspend of £365k) - £260k of this underspend

relates to the collaborative working budget allocated for grants and contributions, and £93k is a saving as a result of the reversal of the remaining Icelandic Banks provision that is no longer required.

(h) Revenue contributions to capital (an overspend of £557k) - This overspend will be

offset by a transfer to the Infrastructure Reserve for the additional costs in relation to the new fire station at Chatham.

(i) Grants and contributions income (an underspend of £131k) - £58k of this

underspend relates to an increase in Firelink grant, and £79k is additional income for Section 31 Small Business Rates.

(j) Transfers from reserves (a net reduction in transfers from reserves of £428k) -

Most of the variance relates to the re-phasing of, and over and underspends on, infrastructure projects and changes to grant usage. Transfers to reserves have also been increased by £10k due to a reduction in the use of New Dimension grant.

Page 20


KENT AND MEDWAY FIRE AND RESCUE AUTHORITY 2016/17 Revenue Budget – Subjective Analysis

Original Budget

£’000

Revised Budget

£’000

Forecast Outturn

£’000

Variance £’000 %

Employee Costs Salaries, allowances and on-costs 49,699.8 49,756.0 49,542.9 -213.1 -0.4 Training expenses 395.1 395.1 395.9 0.8 0.2 Employee Insurance and other employee costs 510.6 531.0 533.2 2.2 0.4 Direct pension costs 1,547.5 1,547.5 1,593.4 45.9 3.0 Total Employee Costs 52,153.0 52,229.6 52,065.4 -164.2 -0.3 Premises Costs Repairs, maintenance and other costs 2,716.4 2,971.2 3,032.7 61.5 2.1 Utility costs 1,691.5 1,673.0 1,717.3 44.3 2.6 Total Premises Costs 4,407.9 4,644.20 4,750.00 105.8 2.3 Transport Costs Vehicle purchase and running costs 2,237.7 2,261.7 2,014.7 -247.0 -10.9 Travel allowances and expenses 119.4 121.4 116.6 -4.8 -4.0 Total Transport Costs 2,357.1 2,383.10 2,131.30 -251.8 -10.6 Supplies and Services Equipment and supplies 3,033.4 3,061.7 3,165.2 103.5 3.4 Fees and services 1,016.8 1,220.2 1,067.4 -152.8 -12.5 Communications and computing 5,133.4 4,105.3 3,839.1 -266.2 -6.5 Other supplies and services 931.8 1,144.6 780.0 -364.6 -31.9 Total Supplies and Services 10,115.4 9,531.80 8,851.70 -680.1 -7.1 Capital Financing Capital financing costs 1,155.8 1,155.8 1,115.4 -40.4 -3.5 Revenue contributions to capital 7,673.0 6,581.6 7,139.0 557.4 8.5 Total Capital Financing 8,828.8 7,737.4 8,254.4 517.0 6.7 Income Grants and contributions -4,443.5 -4,100.7 -4,231.9 -131.2 3.2 Investment income -162.7 -162.7 -125.0 37.7 -23.2 Other income -255.6 -255.6 -256.2 -0.6 0.2 Transfer from reserves -3,708.6 -2,715.3 -3,143.1 -427.8 15.8 Total Income -8,570.4 -7,234.3 -7,756.2 -521.9 7.2 Net Budget 69,291.8 69,291.8 68,296.6 -995.2 -1.4

Page 21


2016/17 Revenue Budget - Functional Analysis

Original Budget

£’000

Revised Budget

£’000

Forecast Outturn

£’000

Variance £’000 %

Service Delivery Firefighting and Rescue Services 29,873.2 29,827.7 29,840.0 12.3 0.0 Technical Safety 2,786.2 2,786.2 2,720.5 -65.7 -2.4 Community Safety 2,046.0 2,041.5 2,026.3 -15.2 -0.7 Control 1,677.4 1,677.4 1,611.5 -65.9 -3.9 Total Service Delivery 36,382.8 36,332.8 36,198.3 -134.5 -0.4 Operational Policy and Resilience Operational Policy and Resilience 6,751.0 6,128.1 6,181.5 53.4 0.9 Total Operational Policy and Resilience 6,751.0 6,128.1 6,181.5 53.4 0.9 Executive Support Human Resources 1,471.8 1,738.0 1,722.8 -15.2 -0.9 Corporate Management and Executive Support 2,149.1 2,123.6 1,721.8 -401.8 -18.9

Policy and Performance 674.7 646.4 592.8 -53.6 -8.3 Communications and Marketing 537.2 540.2 496.5 -43.7 -8.1 Member Allowances and Member Support 210.2 210.2 203.8 -6.4 -3.0 Total Executive Support 5,043.0 5,258.4 4,737.7 -520.7 -9.9 Finance and Corporate Services Property and Procurement 5,156.5 5,441.3 5,509.1 67.8 1.2 Information Systems 5,785.4 4,892.0 4,707.8 -184.2 -3.8 Engineering and Transport 2,460.4 2,347.6 2,102.1 -245.5 -10.5 Finance 823.7 808.9 778.8 -30.1 -3.7 Insurance 732.6 732.6 747.9 15.3 2.1 Total Finance and Corporate Services 14,958.6 14,222.4 13,845.70 -376.7 -2.6 Pensions, Financing and Other Costs Pension Cost 1,547.5 1,547.5 1,593.4 45.9 3.0 Net Financing Costs 993.1 993.1 991.6 -1.5 -0.2 Infrastructure Funding and General Reserves 3,824.8 5,018.5 5,130.1 111.6 2.2

Council Tax Freeze Grant -309.0 -309.0 -388.0 -79.0 25.6 Resource Review 100.0 100.0 99.3 -0.7 -0.7 Reversal of Icelandic Banks Provision 0.0 0.0 -93.0 -93.0 -100.0

Total Pensions, Financing and Other Costs

6,156.4 7,350.10 7,333.40 -16.7 9.9

Net Budget 69,291.8 69,291.8 68,296.6 -995.2 -1.4


Page 22


2016/17 Capital Budget

Original Budget

£'000

Revised Budget

£'000

Forecast Outturn

£'000

Variance

£'000 %

Station Development Programme

Chatham Fire Station 400.0 778.8 1,336.0 557.2 71.5 Ramsgate Fire Station 3,108.0 1,576.8 1,576.8 0.0 0.0 Total Station Development Programme 3,508.0 2,355.6 2,912.8 557.2 23.7

Premises

Drill Yards and Resurfacing 100.0 100.0 100.0 0.0 0.0 Fuel Tanks and Monitoring 37.0 37.0 0.0 -37.0 -100.0 Bay Doors 25.0 25.0 25.0 0.0 0.0 Boilers 150.0 150.0 50.0 -100.0 -66.7 Other Works 0.0 0.0 137.0 137.0 0.0

Total Premises 312.0 312.0 312.0 0.0 0.0

Information and Communication Systems

Projectors 180.0 180.0 180.0 0.0 0.0 Administrative Systems 30.0 0.0 0.0 0.0 0.0

Total Information and Communication Systems 210.0 180.0 180.0 0.0 0.0

Vehicles and Equipment

Appliances 2,895.6 2,895.6 2,895.6 0.0 0.0 Specialist Units and Vehicles 522.4 651.4 651.6 0.2 0.0 Cars and Vans 80.0 42.0 42.0 0.0 0.0 Operational Equipment 145.0 145.0 145.0 0.0 0.0

Total Vehicles and Equipment 3,643.0 3,734.0 3,734.2 0.2 0.0

Total Capital Expenditure 7,673.0 6,581.6 7,139.0 557.4 8.5

Funded from:-

Revenue Contributions 7,673.0 6,581.6 7,139.0 557.4 8.5

Total Capital Funding 7,673.0 6,581.6 6,886.0 557.4 8.5


Page 23

Appendix 5 to Item No: B1 KENT AND MEDWAY FIRE AND RESCUE AUTHORITY 2016/17 Infrastructure Budget

Variance

Original Budget

£'000

Revised Budget

£'000

Forecast Outturn

£'000 £'000 %

Capital Expenditure Station Development Programme 3,508.0 2,355.6 2,912.8 557.2 23.7 Premises 312.0 312.0 312.0 0.0 0.0 Information and Communication Systems 210.0 180.0 180.0 0.0 0.0 Vehicles and Equipment 3,643.0 3,734.0 3,734.2 0.2 0.0

Total Capital Expenditure 7,673.0 6,581.6 7,139.0 557.4 8.5

Revenue Expenditure Station Development Programme 0.0 0.0 54.8 54.8 0.0 Future Station Development 0.0 5.0 5.0 0.0 0.0 Premises 2,128.3 2,308.1 2,314.8 6.7 0.3 Information and Communication Systems 2,569.9 1,722.1 1,532.1 -190.0 -11.0 Vehicles and Equipment 898.1 316.4 333.3 16.9 5.3

Total Revenue Expenditure 5,596.3 4351.6 4,240.0 -111.6 -2.6

Total Infrastructure Expenditure 13,269.3 10,933.2 11,379.0 445.8 4.1

Funded by

Revenue Contributions 13,269.3 10,933.2 11,379.0 445.8 4.1

Total Resources 13,269.3 10,933.2 11,379.0 445.8 4.1

Page 24


KENT AND MEDWAY FIRE AND RESCUE AUTHORITY 2016/17 General and Earmarked Reserves (including Unapplied Capital Grants and Capital Receipts)

Opening Balance

Forecast transfer

Forecast Closing Balance

01-Apr-16 2016/17 31-Mar-17 £’000 £’000 £’000

1) Earmarked Reserves: Business Continuity (D) 500.0 0.0 500.0

Community safety initiative reserve (C) 200.0 0.0 200.0

Fire control fund (D) 1,323.2 49.8 1,373.0

Fire museum reserve (A) 45.7 -45.7 0.0

Government grants reserve (A) 727.0 -111.3 615.7

Improvement and efficiency reserve (C) 938.4 0.0 938.4

Infrastructure reserve (B) 18,488.4 -1,958.9 16,529.5

Insurance reserve (B) 500.0 0.0 500.0

Local Government resource review (D) 1,000.0 0.0 1,000.0

PRG fund (C) 260.7 -260.7 0.0

Rolling budget reserve (D) 801.4 -766.3 35.1

Workforce reduction reserve (C) 3,000.0 0.0 3,000.0

Total Earmarked Reserves 27,784.8 -3,093.1 24,691.8 2) General Reserve 4,200.0 -50.0 4,150.0

3) Unapplied Capital Grants:

Fire Control Grant (E) 20.0 0.0 20.0

New Threats Capital Grant (E) 8.0 0.0 8.0

Total of Unapplied Capital Grants 28.0 0.0 28.0 4) Capital Receipts (E) 8,319.1 720.0 9,039.1

Notes: A. Resource provided by Government/third party and held for specific purpose. B. Reserve held to smooth impact of expenditure on budget C. Reserve for policy/service improvements.

D. Reserves held to address future one off budget pressures or loss of funding.

E. These funds can only be used for capital purposes.

Page 25



2016/17 Firefighters’ Pension Fund

Original Budget

Forecast Outturn

Variance

£’000 £’000 £’000 Pensions Outgoings: Pension Payments 19,968.1 21,776.3 1,808.2

Modified Scheme – Interest Payments 0.0 2.2 2.2

Total Expenditure 19,968.1 21,778.5 1,810.4 Pension Income:

Employee contributions 3,802.7 3,803.1 0.4

Employer contributions 4,682.4 4,972.5 290.1

Modified Scheme – Interest Received 0.0 7.6 7.6 In year ill-health charge income 128.1 175.2 47.1

Government Grant – Top-Up 11,354.9 12,820.1 1,465.2

Total Income 19,968.1 21,778.5 1,810.4 Net Fund Expenditure 0.0 0.0 0.0

Page 26

LEAD/CONTACT OFFICER: Corporate Governance and Risk Officer – Richard Feltham TELEPHONE NUMBER: 01622 692121 ext 8261 EMAIL: [email protected] BACKGROUND PAPERS: None

Item Number: B3

By: Corporate Governance and Risk Manager


Subject: REVISED CODE OF CORPORATE GOVERNANCE


FOR DECISION

SUMMARY

This report seeks members’ approval to a revised Code of Corporate Governance which has been updated and amended to reflect changes introduced by the recent publication of a revised Governance Framework by the Chartered Institute of Public Finance and Accountancy (CIPFA).

RECOMMENDATION

Members are requested to:

1. Approve the revised Code of Corporate Governance (paragraphs 3 to 11 and Appendix 1 refer).

Page 27

COMMENTS

Background

1. The current version of the Authority’s Code of Corporate Governance was approved by this Committee in 2014. In April 2016, the Chartered Institute of Public Finance and Accountancy (CIPFA) published a revised Governance Framework document and associated guidance, incorporating a number of new and revised areas specific to the way public services are now provided and structured. The new Framework is sufficiently different to require a review of the Authority’s existing Code and Members are asked to approve the updated document, attached at Appendix 1. The new arrangements are designed to apply to the current financial year, 2016/17, and will therefore need to be used in undertaking the annual governance self-assessment process which is used to produce the Annual Governance Statement for 2016/17.

2. This report provides Members with an overview of the main changes to the new Framework and presents a revised Code of Corporate Governance for Members’ approval.

Changes in the 2016 CIPFA Framework

3. The new Framework recognises that governance is evolving in different ways as various local government sectors adapt and evolve the way services are delivered. The purpose of the new Framework is to assist individual authorities to review and adapt their own approach to governance, taking into account the environment in which they are operating. The overall aim is to ensure that resources are directed in accordance with agreed policy and according to priorities, that there is sound and inclusive decision-making and clear accountability for the use of those resources in achieving desired outcomes.

4. Overall the focus of the Framework has changed to provide a more outcome-focused style. For example, rather than concentrating on policies and controls, the Framework seeks to champion sustainable economic, societal and environmental outcomes as a key focus of governance processes and structures, relaying on the fact that suitable processes need to be in place in order to deliver these outcomes rather than mandating the processes themselves. This is very much a reflection of the current economic situation and recognises that in times of reducing resources, decisions need to be sustainable in the medium to long term, not just short term fixes. The issue of sustainable decision making is therefore a running theme throughout the Framework.

5. The founding principles of good governance haven’t been forgotten however, and there is a heavy influence around ethical behaviour, transparency and openness, and developing capacity, skills and leadership. For the first time, risk and performance

Page 28

management are included as a separate key principle, resulting in seven, rather than the previous six, principles. To aid Members in seeing where the emphasis has changed, the following Table maps the original key principles to those in the new 2016 Framework.

Previous Framework New Framework

Key Principle 1 Focus on the purpose of the Authority and on outcomes for the community and its citizens, and create a safer Kent and Medway.

Key Principle C Defining outcomes in terms of sustainable economic, social, and environmental benefits.

Key Principle 2 Ensure that Members, officers and external partners work together to achieve a common purpose within clearly defined roles and functions.

Key Principle D Determining the interventions necessary to optimise the achievement of the intended outcomes.

Key Principle 3 Promote and demonstrate the values of the Authority and the principles of good governance by upholding the highest standards of conduct and behaviour.

Key Principle A Behaving with integrity, demonstrating strong commitment to ethical values, and respecting the rule of law.

Key Principle 4 Take informed and transparent decisions which are subject to effective evaluation and managed risks.

Key Principle G Implement good practices in transparency, reporting, and audit to deliver effective accountability.

Key Principle F Managing risks and performance through robust internal control and strong public financial management.

Key Principle 5 Develop the capacity and capability of Members and officers to be effective and to deliver services effectively.

Key Principle E Developing the entity’s capacity, including the capability of its leadership and the individuals within it.

Key Principle 6 Engage with the community we serve and other stakeholders to ensure robust local public accountability.

Key Principle B Ensuring openness and comprehensive stakeholder engagement.

Page 29

6. Each of the new key principles is supported by a set of sub principles, behaviours and actions which are indicative of the way in which authorities might demonstrate good governance. The Framework recognises however that not all of these apply to all types of public body and so encourages each individual body to select those that are applicable. Among the new topics covered are information management and control of personal data, the health and wellbeing of the workforce, and reference to external service providers and collaboration, rather than just working with partners. This is reflective of the various methods of service provision across the wider public sector. The relevant elements applicable for this Authority have been incorporated into the revised Code of Governance, which is attached at Appendix 1 for members to consider. Once the Code has been approved by the Committee, it will be published on the Authority’s external website.

7. Furthermore, for the first time, reference to the statutory roles of the Section 151 Officer, Monitoring Officer and Head of Audit have also been included, with a requirement to ensure that the holders of these posts are able to fulfil their statutory functions unhindered, providing the Authority with clear professional advice.

8. A number of common themes sit across all seven principles. These include:-

• Developing increased service-user engagement, including consultation on, and consideration of, responses to plans and proposals through to the reporting of outcomes and performance.

• The long term sustainability of decisions when financial resources are limited.

• Balancing financial, social and environmental concerns when making decisions on services.

• Defining and demonstrating ethical behaviours and a commitment to openness and acting in the public interest.

9. This shift to a more output-based approach to governance, whilst likely to be more meaningful to service-users, is likely to be harder to demonstrate in practical terms as it is more behaviour-based than process-driven. As a result, the volume of documentation available to support the demonstration of effective governance against the Code’s main principles is likely to be lower than before. Instead it will be necessary to identify how the behaviours and actions intended have resulted in improved services and better outcomes for the public.

10. In addition to reducing the volume of documents associated with the new Code, documentation providing evidence of compliance with the Code in the Annual Governance Statement (AGS) is also likely to be somewhat reduced. Ahead of the commencement of the self-assurance process, due to start in February 2017, the current format of the AGS will be reviewed with the aim of reducing the size of the

Page 30

document, whilst ensuring that it is still fit for purpose. Links to the relevant documents will be incorporated within the AGS.

11. A fresh approach is to be developed looking at key outcomes flowing from the Authority’s governance arrangements rather than the individual policies and processes used to ensure compliance. It is hoped that this approach will make for an easier and shorter read for the public and Members alike, without detracting from the importance of the document in demonstrating good governance. The AGS will be reported to this Committee in July alongside the annual accounts for 2016/17, with details of the changes introduced included in the accompanying report.

IMPACT ASSESSMENT

12. There are no financial impacts associated with this report. It will however be necessary to commit resources to updating the new Annual Governance Statement to ensure that it reflects compliance with the new Code. It is anticipated that this will be undertaken within existing resources as part of the evolving governance agenda and the regular process of review and updating of key documents.

13. The change of emphasis should help readers of the Code and the AGS to better understand how service outcomes derive from the governance arrangements that control and monitor their delivery. Increased stakeholder engagement and transparency, which are key elements of the new Framework, also extend to the governance process itself, so it is hoped that shorter, clearer documents, linked to outcomes, will improve awareness of, and interest in, the process of ensuring that the Authority is well-run and effectively scrutinised.

RECOMMENDATION


14.1 Approve the revised Code of Governance (paragraphs 3 to 11 and Appendix 1 refer).

Page 31


Page 32

Appendix 1 to Item No. B3

DRAFT REVISED CODE OF CORPORATE GOVERNANCE

Key Principle A Behaving with integrity, demonstrating strong commitment to ethical values and respecting the rule of law.

How will we meet this principle? What will we do to deliver this?

Where can you find evidence that shows

that we deliver these commitments? We will:- • Ensure Members and officers behave with

integrity and establish a culture where acting in the public interest is demonstrated, thereby protecting the reputation of the Authority.

• Set out clearly the ethics, values and behaviour standards and procedures expected of Members and officers, monitor adherence to these standards and take action where they are not met.

• Ensure as far as possible that external service providers and partners adhere to these standards in delivering services on our behalf.

• Ensure adherence to laws and regulations and make full use of the legal powers available to the Authority in delivering services.

• Ensure that officers, including statutory officers, are able to fulfil their responsibilities in accordance with statutory provisions.

• Establish arrangements for dealing with any breaches of law, corruption or misuse of power.

We will: • Set out the standards of behaviour expected of

Members, staff and suppliers working with and for us.

• Put in place arrangements for reporting and investigating allegations of inappropriate behaviour.

• Put in place arrangements for dealing with breaches of the standards of behaviour when they are identified.

• Select and vet our suppliers and partners carefully and ensure they are aware of and comply with the behaviour standards we expect when working with us.

• Put in place arrangements for identifying and considering the impact of current and new legislation and regulation affecting our work.

• Set out the arrangements for effective working and delegation of duties between Members and officers.

• Put in place arrangements for deterring, detecting and investigating fraud, corruption, bribery and unethical practices, and for addressing cases where unacceptable practices are found.

We will publish on our website:

• The Codes of Conduct for Members and for Officers and Suppliers.

• How to contact us if you’re unhappy with our services or the behaviour of our employees.

• Details of our supply and service contracts and how you can do business with us.

• How to contact us if you suspect fraud or corruption within the Authority.

• Our policy and procedures for investigating and dealing with suspected fraud and corruption.

• Our constitution, including our Member/ Officer Protocol.

Page 33

Key Principle B Ensuring openness and comprehensive stakeholder engagement.

How will we meet this principle?

What will we do to deliver this? Where can you find evidence that shows

that we deliver these commitments? We will:- • Provide a simple process for engaging with, and

seeking information from, us about our decisions, services and plans.

• Provide evidence and justification for our decisions and policies and make this information available publicly.

• Engage effectively with organisations and individual citizens to ensure policy and service changes are communicated and users’ views are taken into account.

• Provide a simple process that encourages feedback from service-users and consider this feedback in our decision-making.

• Establish collaborative working arrangements for service delivery where a good business case exists.

• Consider the impact on future generations when taking decisions on services.

We will: • Provide easily accessible means for contacting us

via a range of methods including electronic and non-electronic methods.

• Comply with Freedom of Information legislation and publish frequently-requested and statutory information on our website.

• Actively seek and consider feedback from service users, staff and partners about our plans and performance.

• Actively seek opportunities to work collaboratively with appropriate partners where it makes sense to do so.

• Publish information and data to support and validate our plans and objectives.

• Endeavour to ensure that our decisions are deliverable and sustainable for the medium to long term.


• Details of how you can engage with us about the development of services, and comment on our plans and policies.

• Information frequently requested under Freedom of Information legislation, in addition to the information and data required by regulation.

• How to make a Freedom of Information request and how we will deal with it.

• Information and data to support our plans, proposals and decisions.

Page 34

Key Principle C Defining outcomes in terms of sustainable economic, social and environmental benefits.



that we deliver these commitments? We will • Set out our vision for the Service detailing our

strategies, plans and objectives for the future and the resources to be employed to deliver these.

• Provide an annual report on our progress in delivering our plans.

• Identify and manage, as far as practical, the key risks and threats to the achievement of our objectives.

• Ensure that our objectives are deliverable and sustainable with the resources available.

• Balance social, economic and environmental impacts in our decision-making

• Balance the wider needs of the community and individual needs and act transparently in presenting these decisions.

• Ensure fair access to services for all service- users.

We will: • Prepare and publish our plans and strategies for the

Service.

• Prepare and publish regular reports on progress in delivering our targets and meeting our performance indicators.

• Identify and manage the key strategic risks to the delivery of our plans and objectives within the tolerances agreed.

• Identify and consider the risks to the public from fires and other emergencies and plan to address these fairly and consistently.

• Set out and publish our approach to equality and fairness and ensure we adopt this approach in all our dealings with service-users.

• Manage our resources effectively to deliver optimum value and benefit for service-users.

We will publish on our website: • Details of our proposed plans and

strategies and how you can feed back comments and suggestions on these.

• Our plans and strategies for the future once agreed.

• The key corporate risks we’ve identified and our plans to address these.

• Information to help you stay safe and protect yourself from the risk of fire and other risks.

• Our Service Equality Plan setting out how we ensure services are delivered fairly and inclusively.

• Our external auditor’s assessment of the value for money we provide.

• Our Efficiency Plan.

Page 35

Key Principle D Determining the interventions necessary to optimise the achievement of intended outcomes.



that we deliver these commitments? We will: • Ensure Members receive fully analysed options

for all decisions that Members need to take, incorporating costings and risk assessments.

• Consider any feedback from service-users in assessing options for service change.

• Put in place a robust planning process that matches outcomes with needs; matches resources and capacity with aspirations; and takes all relevant factors into account.

• Produce a sustainable budget and financial plan to support our plans and objectives over the medium term.

• Establish a set of robust and challenging performance indicators against which to measure our achievements.

• Consider the use of collaborative working as a means of delivering services where a strong business case exists and services can be improved.

We will:

• Consider the various options available for all our plans and objectives and explain the reasons for our decisions in publicly-available documents.

• Actively seek and consider feedback and input from service-users as part of our option appraisal process.

• Put in place effective project and programme management arrangements, operated by skilled and experienced staff, to optimise the chances of successful delivery.

• Produce a Medium Term Financial Plan that supports our plans and objectives and identifies the resources needed to deliver these.

• Produce an Efficiency Plan to sit alongside the MTFP.

• Set and publish a range of challenging key performance indicators and put in place plans to meet these.

• Actively seek to work collaboratively with partners where a business case exists.


• Our plans and performance targets for the coming period.

• How you can get involved in any consultation exercises we run about the development of our plans.

• Our Medium Term Financial Plan to demonstrate the financial sustainability and affordability of our plans.


• Our performance indicators and achievement of these.

Page 36

Key Principle E Developing the entity’s capacity, including the capability of its leadership and the individuals within it.



that we deliver these commitments? We will: • Regularly review the Authority’s activities and

processes to ensure they remain effective and fit for purpose.

• Engage with external partners where it is beneficial to do so.

• Develop a workforce plan that ensures sufficient staff with the necessary skills and knowledge are in place when needed.

• Put in place arrangements for managing the relationship between Members and officers, including clear written delegations to officers.

• Ensure Members and officers have the skills, knowledge, resources and support to fulfil their roles and responsibilities.

• Monitor and manage the performance of Members and officers in their roles.

• Support officers in managing their health and wellbeing.

We will: • Set out in our plans, the risks, issues and factors we

face and our plans to address them.

• Develop and publish a workforce strategy that sets out our staffing requirements and plans for developing and training the workforce.

• Develop a policy for working in collaboration with key partners and suppliers to deliver more effective services.

• Set out the constitution of the Authority including arrangements for managing the relationship between Members and officers and the powers delegated to the Chief Executive.

• Provide all staff with annual appraisals to assess performance and identify development and training needs for the future.

• Provide access to effective training and development opportunities to ensure skill levels remain sufficient for our needs.

• Put in place arrangements to assist staff manage their own health and wellbeing effectively and provide access to support and assistance when problems are experienced.

We will publish on our website: • Our plans for the development of

services.

• Our workforce strategy to ensure we have sufficient staff with the necessary skills and knowledge within the Authority.

• Our constitution setting out the working arrangements between Members and officers of the Authority.

Page 37

Key Principle F Managing risks and performance through robust internal control and strong public financial management.

How will we meet this principle? What will we do to deliver this? Where can you find evidence that shows that

we deliver these commitments? We will: • Ensure risks are identified and managed

effectively.

• Publish regular reports on performance and progress in delivering our objectives.

• Encourage robust challenge and engagement in developing our plans and objectives.

• Objectively assess the outcomes of plans and policies and address any deficiencies.

• Implement and monitor strong governance arrangements that ensure our objectives and policies are delivered and threats and losses are minimised.

• Ensure data, including personal data, held is secured, used and shared in accordance with the law and good practice.

• Ensure that financial resources are protected and used effectively including arrangements to prevent fraud and corruption.

We will:

• Put in place arrangements for identifying and managing the risks faced by the Authority.

• Produce and publish regular reports on our performance against our indicators and targets.

• Consult with service-users and partners on our intended plans and projects before finalising our intentions.

• Monitor and review the success of our plans and policies to ensure delivery of planned outcomes, addressing any shortfall in expectations.

• Implement controls and systems to ensure the effective use of resources, the achievement of plans and projects, and strong stewardship of the Authority, including measures to prevent and detect fraud, corruption and bribery.

• Put in place effective arrangements for the secure storage, use and sharing of personal data held in connection with service delivery.

• Establish the highest standards of financial management to protect resources, ensure value for money in procuring goods and services and prevent losses and errors in accounting.


• Our key strategic risks and our plans to manage these.

• Regular assessments of our performance against our key indicators.

• Our arrangements for consulting on plans and proposals for the future.

• An annual assessment of the systems and controls that ensure strong governance arrangements are in place across the Authority.

• Regular financial reports on the performance against defined budgets.

• Our Medium Term Financial Plan.

• Our Annual Budget and Statement of Accounts.


• Our arrangements for safeguarding vulnerable people with whom we come into contact in the course of our work.

Page 38

Key Principle G Implementing good practice in transparency, reporting and audit to deliver effective accountability.

How will we meet this principle? What will we do to deliver this? Where can you find evidence that shows that

we deliver these commitments? We will: • Operate effective audit and review functions that

provide assurance on the effectiveness of controls and ensure that recommendations are implemented promptly.

• Publish statutory and commonly requested information on our website and put in place arrangements to enable easy access to other information requested.

• Encourage partners to adopt high standards of governance and transparency in their dealings with us.

• Publish an annual assessment of our governance arrangements and plans to improve them.

• Ensure that statutory officers and the Head of Audit have unfettered access to Members and are free to comment on policies and plans objectively.

We will:

• Maintain an effective internal audit process and ensure the Head of Audit has direct access to decision-makers, including Members.

• Comply with the requirements to publish certain information on our website and include other commonly requested information and data.

• Publish details of how to contact us to request information, data or assistance, including receiving and responding to freedom of information requests within the statutory timescales.

• Support and encourage our partners to establish strong governance and control processes and support us in providing access to information and data in a timely manner.

• Review, no less than annually, the governance arrangements in place, taking into account external and internal assessments, and publish our results.

• Enable the Section 151 officer, Monitoring Officer and Head of Audit to undertake their statutory and regulatory roles unhindered and report direct to Members when necessary.


• Annual Reports from our internal and external auditors.

• All information required to be published by regulation.

• Details of how to make a Freedom of Information Request and how we will deal with it.

• An annual assessment of the systems and controls that ensure strong governance of the Authority.

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LEAD/CONTACT OFFICER: Assistant Director, Policy and Performance - James Finch TELEPHONE NUMBER: 01622 692121 ext: 8453 EMAIL: [email protected] BACKGROUND PAPERS: None

Item Number: B4

By: Chief Executive


Subject: SAFEGUARDING POLICY AND REGULATIONS


FOR DECISION

SUMMARY

At its last meeting, the Committee approved a new Feedback and Allegations process. Following this, the existing documentation relating to Safeguarding of both children and adults has been substantially reviewed, and aligned with that document.

Furthermore, the Government has recently issued a consultation called “Reporting and Acting on Child Abuse and Neglect”. A summary of the issues raised in this consultation are provided for Members’ information.

RECOMMENDATIONS


1. Approve the Safeguarding Service Order (paragraphs 1 to 5 and Appendix 1 refer);

2. Note the Authority’s response to Kent County Council’s Adult Social Care Vision and Strategy 2016/2021, submitted as urgent action following consultation with the Chairman of the Authority (paragraphs 10 to 12 and Appendix 2 refer).

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COMMENTS

Safeguarding

1. At its meeting on 17 December 2015, the Authority approved a revised Safeguarding Service Order (Minute 16). This brought together children and adult safeguarding issues for the first time in a single document, but without a review of content. In July 2016, a new Feedback and Allegations Service Order was approved by this Committee (Minute 13), which linked the Authority’s safeguarding duties more explicitly to the process by which any alleged failures of this duty would be investigated. Adopting these Service Orders highlighted the need to ensure that adequate training is provided to staff, and that corporate accountability is increased for safeguarding at officer level. Consequently the supporting Service Order has been refreshed.

2. Service Order - The biggest change within the documentation is in relation to the training provided to staff. The previous iteration of the Service Order attempted to cover all the facets under which a case may be considered to become a safeguarding issue. In practice, this made the document unwieldy to use. It has therefore been simplified, and now does the following:-

• Sets out the Authority’s policy position;

• States the training which will be delivered to staff across the organisation;

• States the specific training requirements for specialist officers; and

• Appoints a member of Corporate Management Board as a Safeguarding Champion at Board level.

3. Training delivery - As contributors to both the Kent and Medway Adults’ and Children’s Safeguarding Boards, the Authority is able to access courses through both Boards’ learning and development systems. This includes continuous professional development courses and workshops on specific areas such as neglect, domestic violence, and child sexual exploitation. The Authority already has a number of staff that have been accredited by Kent County Council to “train the trainers”. Once these staff have undertaken the relevant training course for each programme they are able to deliver courses both internally and externally.

4. The training programme will identify staff in order of priority. The mandatory online basic safeguarding adults training package is in development and should be online by the beginning of December 2016. Staff who are required to undertake additional training over and above this will be allocated internal or external courses as identified and as a matter of urgency.

5. The revised Service Order is attached at Appendix 1 for Members approval.

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Consultation Documents

6. Two consultation documents related to this area of work have recently been received by the Authority.

7. Reporting and Acting on Child Abuse and Neglect - This Government consultation outlines options for reform of the child protection system for England, specifically in relation to reporting and acting on child abuse and neglect. This includes consideration of the introduction of mandatory reporting of child abuse and neglect, or an alternative duty to act which focuses on taking appropriate action in relation to child abuse and neglect. At present, no legal requirement for such reporting exists. The consultation also seeks views on whether the scope of these possible changes should be extended to vulnerable adults.

8. The consultation highlights that the current serious case review process will be replaced by a new system of national and local child safeguarding practice reviews. The new system is intended to improve the quality and timeliness of reviews of serious incidents to support the development of both national policy and local practice and improve outcomes for children. The Government will also seek to ensure that the outcomes of these reviews are properly analysed and disseminated through a new What Works Centre for children’s social care. The Centre’s primary role will be to collect and share good practice.

9. In discussion with colleagues nationally, it is felt that mandatory reporting would place a significant burden on fire and rescue services and the sector would be better served by the introduction of a duty to act, thereby strengthening accountability whilst avoiding an adverse impact on the child protection system through over-reporting. At a time when the volume of referrals to social services providers is increasing, there is a risk that thresholds would not be properly applied for fear of a breach of legislation which may have unintended negative consequences for both services – KFRS and the social services provider. As this is fundamentally an issue of how Social Services departments apply child protection thresholds, no response to the consultation was made on behalf of the Authority. It is however important for Members to be aware of developments in this area. An update on the outcomes of the consultation will be brought to a future meeting for Members’ information.

10. Kent County Council’s Adult Social Care Vision and Strategy 2016/2021 - Kent County Council (KCC) has recently issued a consultation document on its adult social care vision and strategy 2016/21. The Strategy sets out how KCC will address the main challenges it faces, such as the rising cost of care, increasing need to safeguard adults at risk of abuse or neglect, and changing public expectations, and how partners can assist in achieving the Strategy’s aims. The Strategy’s key themes are:-

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• Promoting well-being;

• Promoting independence; and

• Supporting independence.

11. The Strategy also seeks to achieve better safeguarding outcomes, a flexible workforce, smarter commissioning of services and improved partnership working. These outcomes fully align with the aspirations which the Authority agreed as part of its Safety and Wellbeing Plan, published in February 2015.

12. The closing date for comments on KCC’s Strategy was 4 November 2016. A supportive response to the consultation was sent following consultation with the Chairman of the Authority as urgent action. It is attached at Appendix 2 for Members’ information.

IMPACT ASSESSMENT

13. Service Orders form part of the Authority’s management framework and a failure by managers to follow them may constitute a disciplinary offence. It is therefore important that they are kept up to date and in line with current legislation and best practice.

14. Changes to the process of safeguarding and referrals have the potential to impact on the Authority, in terms of the actions taken in relation to specific client needs, and its engagement in serious case reviews. The full impact of this potential will not be known until the Government’s response to the consultation referred to earlier in this report is published.

RECOMMENDATIONS


15.1 Approve the Safeguarding Service Order (paragraphs 1 to 5 and Appendix 1 refer);

15.2 Note the Authority’s response to Kent County Council’s Adult Social Care vision and strategy 2016/2021, submitted as urgent action following consultation with the Chairman of the Authority (paragraphs 10 to 12 and Appendix 2 refer).

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Service Delivery Framework

Safeguarding Service Order

Introduction ......................................................................................................................... 45 Policy ...................................................................................................................................46Scope ..................................................................................................................................46 Regulations ..........................................................................................................................46

Definitions ........................................................................................................................48 Training………………………………………………………………………………………….....48 Procedures .......................................................................................................................48

Reporting a concern ......................................................................................................49 Permission to refer or pass information .........................................................................49 Immediate risk to an adult or a child ..............................................................................49 General safeguarding concerns ....................................................................................50

Data retention ...................................................................................................................51 Introduction Safeguarding is the process that organisations put in place to make sure that they protect the safety and welfare of children and vulnerable adults that they come into contact with in the course of their work. It also includes any specific activities that are undertaken to protect specific children and vulnerable adults who are suffering, or likely to suffer, abuse.

Staff and volunteers who work for the Authority have a lot of contact with the community, either through emergency situations or community safety activity. Through this contact, employees have the responsibility to help safeguard vulnerable members of the community. Failure by staff to correctly report and pass on safeguarding concerns, or not following the county-wide agreed processes for allegations against our staff, could lead to the collapse of a criminal investigation. It is important to remember that the information we have may be part of a bigger picture. Many reviews of tragic cases highlight the failure of services to share information which, had they done so, may have helped to safeguard vulnerable children or adults.

Whilst the safeguarding of children and adults has many similarities there are some fundamental differences which should be taken into account. The differences mainly focus on the human rights of adults to live their life however they wish to, including the right to make “bad choices”. People have the right to make decisions that others might regard as unwise or eccentric. Everyone has their own values, beliefs and preferences which may not be the same as those of other people. The Mental Capacity Act protects these rights. http://www.legislation.gov.uk/ukpga/2005/9/contents

Example: A person can choose to live in a house that has little furniture, no beds and material objects. They can choose not to wash or to keep the house clean. While this may raise concerns for others, as long as they are making those choices and have the mental capacity to do so, they are within their rights to do so. Now consider the same person but with a three year old child living with them. The child is reliant on the adult to meet their needs so they are able to thrive and develop in a safe environment. In this case it is unlikely those needs are being met and a safeguarding concern should be raised.


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http://www.legislation.gov.uk/ukpga/2005/9/contents

Policy The Policy aims to fulfil the following objectives: • To make Authority Members, staff and volunteers aware of their duty to safeguard

children and vulnerable adults and the procedure for doing so; • To set out the roles and responsibilities in order to fulfill the Authority’s safeguarding

duties; • To set, procure and deliver the appropriate levels of training required by staff to

undertake their role; • Transparency to the public, so they are aware of the steps that the Authority takes to

protect children and vulnerable adults they come into contact with in the community; • Clarity for members of the public in the action that will be taken in the event of a

safeguarding-related allegation or negative feedback against someone working for or on behalf of the Authority.

Scope This Policy is applicable to all Members, staff (operational and service support) and volunteers.

Regulations

Definitions

1 The definition of a child is:

• anyone who has not yet reached their 18th birthday. Safeguarding applies to all children from conception until their 18th birthday. This can be extended to their 24th birthday if they have additional learning or development needs.

2 The definition of a vulnerable adult is:

• A person aged 18 years or over who is in receipt of, or may be in need of, community care services by reason of mental or other disability, age or illness, and who is unable to take care of him or herself or unable to protect him or herself from significant harm or exploitation (Department of Health 2000).

3 The Authority is a named agency in the following documents and, as such, is committed to working within the relevant framework:

• Kent and Medway Safeguarding Children Policy and Procedures. http://www.proceduresonline.com/kentandmedway/chapters/quick_guide.html#terminology

• Kent and Medway Multi-Agency Adult Protection Policy and Protocols https://www.kent.gov.uk/__data/assets/pdf_file/0018/11574/multi-agency-safeguarding-adults-policies-protocols-and-guidance-kent-and-medway.pdf

Responsibilities

4 The Table below sets out the roles and responsibilities of involved parties, required to ensure that the Authority is able to appropriately fulfil its safeguarding responsibilities.

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http://www.proceduresonline.com/kentandmedway/chapters/quick_guide.html#terminology

https://www.kent.gov.uk/__data/assets/pdf_file/0018/11574/multi-agency-safeguarding-adults-policies-protocols-and-guidance-kent-and-medway.pdf

https://www.kent.gov.uk/__data/assets/pdf_file/0018/11574/multi-agency-safeguarding-adults-policies-protocols-and-guidance-kent-and-medway.pdf

Table 1: Roles and Responsibilities Role Responsibilities Contact

Safeguarding Lead

• To provide a strategic link to the Kent and Medway, Children and Adult Safeguarding Boards.

• Adult safeguarding board representative. • Monitor Kent and Medway’s Children Safeguarding

Board’s outcomes. • Ensure compliance with Kent and Medway child

and adult safeguarding policies and procedures. • Ensure compliance with relevant legislation. • Delegate staff to:

o Attend domestic homicide review steering group;

o Child death overview panels; o Attendance at safeguarding sub groups/

task and finish groups; o Attend serious case reviews or their

replacement; o Write Independent Management Reports; o Make safeguarding referrals.

Assistant Director, Service Delivery

On-call Safeguarding Officer (OCSO) and Corporate Management Board (Safeguarding champions)

• Responsibility for safeguarding children and vulnerable adults.

• Provide safeguarding advice, support and guidance outside office hours to all staff.

• Liaise with the Authority’s Information Officer. • Make immediate safeguarding referrals if required. • Make safeguarding enquiries. • Liaise with other safeguarding professionals/Local

Area Designated Officer.

OCSO. Group managers on the level 3 flexible duty system rota. Area managers on the level 4 flexible duty system rota.

Designated Safeguarding Officer (DSO)


• Point of contact for all staff for safeguarding advice and guidance within office hours Monday to Friday 9:00-17:00.

• Liaise with the Authority’s Information Officer. • Make safeguarding enquiries. • Make safeguarding referrals. • Liaise with other safeguarding professionals/Local

Area Designated Officer.

Staff with roles within Community Safety and Technical Fire Safety


• Make safeguarding enquiries. • Make safeguarding referrals. • Liaise with other safeguarding professionals/Local

Area Designated Officer. • Pass on safeguarding concerns.

All staff


• Listen to children and vulnerable adults. • Pass on safeguarding concerns.

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Training

5 To ensure staff are able to recognise safeguarding concerns and report them in the correct manner it will be necessary to provide training for all staff. This training will be mandatory. The level of training will vary depending of the person’s role within the Authority. Training will be specified in accordance with the policies and procedures of the Kent Child and Adult Safeguarding Boards’ learning and development frameworks.

6 The Table below sets out the minimum level of training required to undertake the roles as set out previously. Staff with specific roles will also be expected to undertake Continued Professional Development (CPD) training to increase their knowledge and understanding in relevant areas.

Role Level of training Refresher timescales

Safeguarding Lead

Levels A1+B2+B13+C4+CPD for children, basic and intermediate level for adults.

2 years maximum

Designated Safeguarding Officer

Levels A+B+B1+CPD for children, basic and intermediate level for adults.

2 years maximum

On-call Safeguarding Officer

Levels A+B+CPD for children, basic and intermediate level for adults.

2 years maximum

Community Safety and Technical Fire Safety staff

Levels A+B+ CPD for children, basic and intermediate level for adults.

2 years

All staff

Level A for children, basic level for adults.

3 years

Mandatory Guidance

7 This document details the process staff must follow if they suspect abuse or have a safeguarding concern. The Authority’s feedback and allegations process sets out how allegations against the Authority’s staff will be handled.

http://intranet.kent.fire-uk.org/corporate/Documents/Feedback%20and%20Allegations%20Service%20Order%20June%202016.pdf

1 Package A is an on-line children and an on-line adults safeguarding awareness tutorial. 2 Package B is delivered currently as a multi-agency workshop, to introduce safeguarding as a multi-agency issue. 3 Package B1, if required, is a continuation of package B. 4 Package C covers inquiries and serious case reviews, or their replacement.

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Reporting a concern

8 It is important for all staff who identify safeguarding concerns to report them appropriately and to do so in a timely way. The following is an extract from the Kent and Medway Adult Safeguarding Policy, to which the Authority is a signatory, and which highlights the importance of safeguarding:-

Early sharing of information is the key to providing effective help where there are emerging concerns. Statutory Guidance advises us that the fear of sharing information must not stand in the way of promoting and protecting the well-being of adults at risk of abuse and neglect. In relation to ensuring effective safeguarding, arrangements are in place that set out the processes and the principles for sharing information between each other and with other professionals. A professional should never assume that someone else will pass on information which they think may be critical to the safety and well-being of an adult at risk of abuse or neglect. If a professional has concerns about an adult’s welfare in relation to abuse and neglect they should share the information with the Local Authority.

9 In many recent child death inquiries and serious case reviews information-sharing has been identified all too often as an area of concern. It is vital that in order to properly assess the level of risk to a child, professionals are able to see the ‘whole picture’. This means that information known about the child or the adults in the child’s life is shared between the people who need to know it. In some circumstances this may include sensitive information and a person’s right to confidentiality would have to be put aside to act in the best interests of the child.

10 If you come across a safeguarding concern wherever you are, it is your duty to report it. The following guidance should be considered and if you are unsure that what you have seen or heard requires reporting then you should speak to one of the Designated Safeguarding Officers (DSO) or the On-Call Safeguarding Officer (OCSO) to get further advice.

Permission to refer or pass information

11 When making a referral on behalf of a client, the permission of the client’s legal guardian MUST be sought (where applicable) and recorded. Where there is risk of immediate or serious harm to the client by seeking permission, then a referral can be made without permission. In this instance, the referral should be clearly marked as such within the Authority’s case notes, together with the reason why permission has not been obtained.

Immediate risk to an adult or a child

12 If a situation is identified where a child or adult is at imminent or serious danger of harm or has already been harmed, then immediate assistance from the Police and if necessary the Ambulance service should be sought. This should be done through the 999 system requesting attendance to a serious safeguarding concern. For operational crews this can be requested through the Authority’s Fire and Rescue Control Centre (FRCC). Relevant information will need to be passed to the Police operator including the address, the nature of the concern, and any other information that may help them send the appropriate help.

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13 Examples of imminent serious danger or harm are:- • A young child in the care of a person who appears intoxicated; • Young children (under the age of 10) on their own at home; • If you believe an assault has just or is about to take place; • A vulnerable person is being threatened with violence.

14 Staff should remain in attendance until arrival of the services requested and a handover meeting stating concerns should be held. At this stage responsibility for the situation will be passed to the Police or Ambulance Service.

15 The incident must be reported to any of the DSOs or, out of hours, the OCSO.

16 To ensure we keep accurate records of safeguarding concerns, as soon as possible after the incident report all details of your concerns and associated actions, including date, time, location and any incident number to: [email protected].

17 A record of the incident will be created under the safeguarding section on the Customer Relationship Management (CRM) system. This will enable us to follow up and report appropriately on all safeguarding incidents in which we have been involved.

18 If the incident is subject to a formal investigation by the Police or the local authority, staff may be required to give statements or help with the ongoing enquiries. We try to provide feedback to those who make referrals as we realise it is important to help them understand what happened next and why. However there are occasions where we are not able to provide feedback.

General safeguarding concerns

19 These concerns will usually be passed to the Home Safety Team by the DSO as they have close links to other professionals who work in child/adult care and support services. General concerns are where there is not an identified imminent risk of harm or danger, but you consider that the information you have may form part of a bigger picture and someone should know or be informed of what you have seen or heard. That may be as a result of an operational incident or as part of Community Safety or Technical Fire Safety visit. Examples could include:-

• A property where children are living in dirty/verminous conditions; • A vulnerable adult who claims that family members are neglecting them; • A care home where you see signs of neglect or poor care being delivered; • A teenager who discloses to you a possible abusive relationship with an adult.

20 If you have any concerns, then you should call the Authority’s Duty Safeguarding Officer if your concern is in office hours. They will need as much information as possible to be able to assess the situation and take the right actions. This may include:

• Children’s/adults’ names and dates of birth; • Your contact details – phone number/email; • Family information – address, contact details; • Family make-up – extended family, people who live at the address; • Incident-related information – what you saw, what you were told and what concerns

you have.

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mailto:[email protected]

21 If you are not able to obtain all the information above you should still raise your concern with the details you have. Outside of office hours please contact the OCSO via the FRCC.

22 Where the information provided suggests an urgent referral or an immediate consultation needs to be made, this will be made on the same day as the risk is identified and, where possible, immediately. If the concern is not considered to be urgent then you will be asked to report your concerns to [email protected] detailing the information above to enable the concern to be passed on or dealt with appropriately.

23 All safeguarding concerns will be reviewed and acted on within three working days. The action taken could include:

• Anonymous consultation with Social Services; • Referral to Social Services; • Sharing of information with Social Services; • Agency referral for additional support/information; • Request for a Home Safety Visit.

24 If the incident is subject to a formal investigation by the Police or the Local Authority Social Services department, you may be required to give statements or help with the ongoing enquiries. We try to provide feedback to those who make referrals as we realise it is important to help them understand what happened next and why. However there are occasions where we are not able to provide feedback.

Data retention

25 All data recorded by the Authority will be securely held within the Authority’s network, and retained for the period set out within the Authority’s Publication and Retention Scheme. Data may only be shared with the relevant safeguarding agencies in Kent and Medway and for the purposes of preventing harm.

Introduced by Assistant Director, Service Delivery Date implemented 8 November 2016 Revision No 3 Review by 8 November 2020

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'Your life, your well-being' - vision and strategy for adult social care questionnaire

'Your life, your well-being' – vision and strategy for adult social care

Consultation Questionnaire

This questionnaire can be completed online at www.kent.gov.uk/adultsstrategy. Alternatively, fill in this paper form and return to: Strategy, Policy and Assurance, Sessions House, County Hall, Maidstone, Kent, ME14 1XQ. If you need the questions in an alternative format, please email [email protected] or call 03000 421553. Please ensure your response reaches us by Friday 4 November 2016.

Section 1 – About You Q1. Are you responding as…? Please select the option from the list below that most closely represents how you will be responding to this consultation.

Please tick one only. A service user (of Social Care services) A carer A family member of a service user A social care or health professional X Responding on behalf of an organisation

Please tell us the name of the organisation: Kent & Medway Fire & Rescue Authority Other

Please specify:

Section 2 – Your Response to the Strategy

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http://www.kent.gov.uk/adultsstrategy



Q2. Please tell us whether the strategy document was easy or difficult to understand. Please tick one only.

X The whole document was easy to understand Most of the document was easy to understand Some of the document was easy to understand The document was not at all easy to understand Don’t know / Not sure

Q2a. Please tell us what, if anything, you didn’t understand in the strategy document. Please write your comments below.

Values and Principles

We describe the ‘values and principles’ which guide our way of working.

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Q3. To what extent do you agree or disagree with our values and principles, as explained on page 13 of the strategy? Please select one option per ‘value and principle’ / row.

Values and Principles Agree strongly

Agree slightly

Neither agree

nor disagree

Disagree slightly

Disagree strongly

Don’t know

Person-centred care and support x

Supporting people to be safe x

Promoting independence x

Prevention x

Quality of care x

Integration x

Answering for what we do x

Best use of resources x

Q3a. Please tell us what, if anything, you don’t agree with in the values and principles. Please write your comments below.

Three themes for care and support The strategy breaks our approach to adult social care into three themes that cover the whole range of services provided for people with social care and support needs.

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These are:

• promoting well-being (pages 14 to 16) • promoting independence (pages 17 to 19) • supporting independence (pages 20 to 23)

Q4. To what extent do you agree or disagree with the proposed approach to care and support that we have set out in the three themes? Please select one option per ‘theme / row.

Themes Agree strongly

Agree slightly

Neither agree

nor disagree

Disagree slightly

Disagree strongly

Don’t know

Promoting well-being x

Promoting independence x

Supporting independence x

Q4a. Please tell us what, if anything, you don’t agree with in the three themes. Please write your comments below.

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General Comments Q5. If you have any other comments on the draft strategy, please provide them here:

Equality Impact Assessment (EqIA) We have completed an initial EqIA on the strategy. An EqIA is a tool to assess the impact any service change, policy or strategies would have on age, disability, gender, gender identity, race, religion or belief, sexual orientation, pregnancy and maternity, marriage and civil partnership and carers’ responsibilities. The EqIA is available online at www.kent.gov.uk/adultsstrategy or on request.

Kent & Medway Fire & Rescue Authority support’s the Vision and Strategy for Adult Social Care 2016-2021. It supports the vision of ‘helping people to improve or maintain their well-being and to live as independently as possible’ and this reflects its own strategy of supporting people to stay safe and well which was agreed in October 2015. Ensuring people can live safely in their own homes is an important aspect of promoting well-being and supporting independence. Kent Fire & Rescue Service visit around 10,000 people in their homes each year to help them stay safe and we are aiming to double that number over the next year. The fire and rescue service is able to support a number of areas in order to improve safety and wellbeing. We have recently increased the number of people in our specialist home safety team and we are providing them with training in health matters and behavioural change. We are also supporting the Make Every Contact Count programme as it is rolled out in Kent. We are very keen to continue working with KCC and other partners to develop this area under the ‘Safe and Well’ initiative. We believe we can play an important role in falls prevention, reducing excess winter deaths and supporting people living with dementia or mental health issues in particular. At the same time, we know that people in receipt of adult social care will be at more risk of having a fire in their home and would encourage KCC and its partners to refer people to KFRS where appropriate. This is clearly demonstrated in George’s story (case study) as the gentleman’s circumstances represent a number of fire risks and he would benefit from a referral to KFRS.

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http://www.kent.gov.uk/adultsstrategy


Q6. If you have any comments about the equality impact assessment, please provide them here:

Section 3 - More About You

We want to make sure that everyone is treated fairly and equally, and that no one gets left out. That's why we are asking you these questions. We won't share the information you give us with anyone else. We’ll use it only to help us make decisions and improve our services.

If you would rather not answer any of these questions, you don't have to.

It is not necessary to answer these questions if you are responding as a social care or health professional or on behalf of an organisation.

Q7. Please tell us your postcode We use this to help us to analyse our data. It will not be used to identify who you are. Please write in below:

Q8. Are you......? Please tick one only.

Male

Female

I prefer not to say

Q9. Is your gender the same as your birth? Please tick one only.

Yes

No

I prefer not to say

No comments

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Q10. Which of these age groups applies to you? Please tick one only.

0-15 25-34 50-59 65-74 85 + over

16-24 35-49 60-64 75-84 I prefer not to say

Q11. To which of these ethnic groups do you feel you belong? Please tick one only. (Source: 2011 Census) White English Mixed White & Black Caribbean

White Scottish Mixed White & Black African

White Welsh Mixed White & Asian

White Northern Irish Mixed Other*

White Irish Black or Black British Caribbean

White Gypsy/Roma Black or Black British African

White Irish Traveller Black or Black British Other*

White Other* Arab

Asian or Asian British Indian Chinese

Asian or Asian British Pakistani I prefer not to say

Asian or Asian British Bangladeshi

Asian or Asian British Other*

*Other Ethnic Group - If your ethnic group is not specified on the list, please describe it here

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The Equality Act 2010 describes a person as disabled if they have a longstanding physical or mental condition that has lasted, or is likely to last, at least 12 months; and this condition has a substantial adverse effect on their ability to carry out normal day-to-day activities. People with some conditions (cancer, multiple sclerosis and HIV/AIDS, for example), are considered to be disabled from the point that they are diagnosed.

Q12. Do you consider yourself to be disabled as set out in the Equality Act 2010? Please tick one only.

Yes No I prefer not to say

Q12a.

If you answered ‘Yes’ to Q12, please tell us the type of impairment that applies to you. You may have more than one type of impairment, so please tick all that apply. If none of these applies to you, please select ‘Other’, and give brief details of the impairment you have.

Physical impairment

Sensory impairment (hearing, sight or both)

Longstanding illness or health condition, or epilepsy

Mental health condition

Learning disability

I prefer not to say

Other Please write in

A Carer is anyone who cares, unpaid, for a friend or family member who due to illness, disability, a mental health problem or an addiction cannot cope without their support. Both children and adults can be carers.

Q13. Are you a Carer? Please tick one only.

Yes

No

I prefer not to say

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Q14. Do you regard yourself as belonging to a particular religion or belief? Please tick one only.

Yes No I prefer not to say

Q14a.

If you answered ‘Yes’ to Q14, which of the following applies to you? Please tick one only.

Christian Buddhist Hindu Jewish Muslim Sikh Other

Please write in below: I prefer not to say

Q15. Are you…? Please tick one only.

Heterosexual/Straight Bi/Bisexual Gay woman/Lesbian Gay man Other

Please write in below: I prefer not to say

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Thank you for taking the time to complete this questionnaire.

Please post it to:

Strategy, Policy and Assurance, Sessions House, County Hall, Maidstone, Kent, ME14 1XQ

Closing date for responses: Friday 4 November 2016 Privacy: Kent County Council collects and processes personal information in order to provide a range of public services. Kent County Council respects the privacy of individuals and endeavours to ensure personal information is collected fairly, lawfully, and in compliance with the Data Protection Act 1998

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LEAD/CONTACT OFFICER: Clerk to the Authority - Stuart Ballard TELEPHONE NUMBER: 01622 692121 ext 8206 EMAIL: [email protected] BACKGROUND PAPERS: None

Item Number: B5

By: Clerk to the Authority


Subject: ANNUAL REPORT ON MEMBERS’ STANDARDS, ALLOWANCES AND ACTIVITY 2015/16


FOR DECISION

SUMMARY

This report contains, for the information of the Committee and the public:-

(a) the annual report on Standards;

(b) details of the allowances and expenses paid by the Authority in accordance with its Members’ Allowances Scheme to each of its Members during the 2015/16 financial year;

(c) a summary of the reports submitted by Members on their activities on behalf of the Authority during the 2015/16 municipal year,

and recommends that the Member Activity Report process should be discontinued.

RECOMMENDATIONS


1. Agree that the Member Activity Report process should be discontinued (paragraphs 11 and 12 refer).

2. Consider and note:-

(a) the Annual Report on Standards (paragraphs 1 and 4 to 8 refer);

(b) Consider and note the contents of the schedule detailing the allowances and expenses paid by the Authority in accordance with its Members’ Allowances Scheme to each of its Members during 2015/16 (paragraphs 2 and 9 and Appendix 1 refer);

(c) Consider and note the summary of the Members’ Activity Reports for 2015/16 (paragraphs 3 and 10 and Appendix 2 refer).

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COMMENTS

Background

1. Under the Localism Act 2011, all local authorities ‘must promote and maintain high standards of conduct’ by their Members. Within the Authority, this duty forms one of the Terms of Reference of this Committee. In order to assist the Authority to promote and maintain high standards of Member conduct, the Committee receives an Annual Report on Standards Matters and this is set out in paragraphs 4 to 7 below. The Authority’s ‘Independent Person’, Mrs Janet Waghorn, has contributed to the report and will attend the meeting to co-present the report.

2. It is a requirement of The Local Authorities (Members’ Allowances) (England) Regulations 2003 that every local authority must publish each year details of the allowances and expenses which it has paid in accordance with its Members’ Allowances Scheme to each of its Members during the preceding year, and this report is the vehicle for doing that.

3. When it first adopted a Scheme of Members’ Allowances in 2003, the Authority also decided that all Members should be asked to complete a Members’ Annual Activity Report each year, setting out the activity they had undertaken in their capacity as a Member of the Authority, to be published alongside the Statement of Allowances and Expenses paid to each Member during the year.

Annual Report on Standards

4. Code of Conduct for Members – Together with almost all other local authorities in Kent (including Kent County Council but not Medway Council) the Authority adopted the Kent Code of Conduct for Members and the associated procedures (the ’Arrangements for Dealing with Code of Conduct Complaints’) with effect from July 2012. As a result, the Authority’s Code of Conduct and associated procedures are identical in all major respects to those of Kent County Council (KCC) and most, if not all, of the Authority’s Members have received training in the Authority’s Code of Conduct, courtesy of KCC.

5. The Code, and the associated procedures, are kept under regular review by a Kent-wide officer group, which makes recommendations for change to all the relevant authorities. The Code itself was last amended by the Authority at its meeting in December 2013 (Minute 33) and the Arrangements for Dealing with Code of Conduct Complaints were last amended by this Committee at its meeting in November 2015 (Minute 21).

6. Conduct of Members - It is satisfying to be able to report once again that no complaints alleging that a Member has breached the Code of Conduct have been

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made to the Authority during the past year. This was not unexpected as no such complaints have ever been received under the new or old Standards regimes since the Authority was first established. However, it is vital that the Authority must not become complacent.

7. Independent Person – Under the Localism Act 2011, the Authority is required to have an ‘Independent Person’ to investigate any complaint that a Member has breached the Code of Conduct, and the Authority appointed Mrs Janet Waghorn as its Independent Person (IP) from October 2012 and re-appointed her for a further four years from October 2016. Mrs Waghorn will be attending this meeting. Because no complaints alleging that a Member has breached the Code of Conduct have been made to the Authority, the IP has not so far needed to take any action in her primary role. However, given that the Authority had never in its history received a single allegation of misconduct by a Member, it was always expected that the formal workload of the IP was likely to be minimal, and that steps therefore needed to be taken to ensure that regular contact was maintained between the Authority and the IP. These steps include a meeting with the Clerk to the Authority in May each year; attendance at this meeting each year; receipt of electronic agendas for all meetings of the Authority and its Committees; and occasional email and telephone contact about topical Standards issues.

8. When the new Standards regime took effect in July 2012, a Kent Independent Persons’ Forum (KIPF) was established to allow Kent IPs to share experience and develop best practice. The KIPF has met on two occasions in the past year and Mrs Waghorn attended one of those meetings.

Allowances and Expenses Paid to Members During 2015/16

9. In order to meet the publication requirements of the 2003 Regulations, a schedule is attached at Appendix 1 listing each Member of the Authority and the allowances and expenses they were paid by the Authority in accordance with its Members’ Allowances Scheme during the 2015/16 financial year (1 April 2015 to 31 March 2016).

Members' Activity Reports

10. The Member Annual Report and Review Form for 2015/16 covered the period from 18 June 2015 to 15 June 2016 (ie, annual meeting to the day before the next annual meeting). The 20 current Members of the Authority who had served during any part of the reporting period were asked to complete a form and, to date, only eight have done so. A summary of the completed Member Annual Report and Review Forms for 2015/16 is attached at Appendix 2.

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11. The Authority adopted an activity reporting procedure for Members from 1 October 2003 at the suggestion of the Chairman of the Standards Committee at the time. One of the main justifications for adopting such a procedure was that it mirrored practice at Kent County Council (KCC), and the idea was that, by publishing the activity reports alongside the Statement of Allowances and Expenses paid to each Member during the year, local residents would be able to make judgements on what each Member had contributed to the work of the Authority in return for the allowances and expenses he or she had received.

12. The Authority’s activity reporting procedure has never previously been reviewed, but a number of factors, as set out below, suggest that the procedure should now be discontinued:-

(a) KCC ceased requiring its Members to complete activity reports some time ago (and Medway Council has never had such a procedure);

(b) The fact that only a minority of Members completed and submitted activity reports this year suggests that most Members feel that the procedure serves little purpose, or find it onerous or demeaning;

(c) Website data shows that, during the past 12 months, last year’s Member Activity Reports appendix was downloaded 88 times. As this figure will include Members and officers of the Authority, it suggests that few, if any, members of the public look at the Member Activity Reports at all, let alone use them to make judgements on what their local Member has contributed to the work of the Authority in return for the allowances and expenses he or she has received. In any case, Members are more likely to be judged by the public on their performance in their primary role as a directly-elected councillor, whether of KCC or Medway;

(d) Much of the information contained in activity reports, such as attendance at meetings and special responsibilities, is already in the public domain.

IMPACT ASSESSMENT

13. The Localism Act places a duty on the Authority to promote and maintain high standards of conduct, and the purpose of the first part of this report is to assist the Authority to fulfil this duty. It is a legal requirement that the Authority publish each year details of the allowances and expenses which it has paid to each of its Members during the preceding year, and Appendix 1 to the report is the vehicle for doing that.

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RECOMMENDATIONS


14.1 Agree that the Member Activity Report process should be discontinued (paragraphs 11 and 12 refer).

14.2 Consider and note:-

(a) the Annual Report on Standards (paragraphs 1 and 4 to 8 refer);

(b) Consider and note the contents of the schedule detailing the allowances and expenses paid by the Authority in accordance with its Members’ Allowances Scheme to each of its Members during 2015/16 (paragraphs 2 and 9 and Appendix 1 refer);

(c) Consider and note the summary of the Members’ Activity Reports for 2015/16 (paragraphs 3 and 10 and Appendix 2 refer).

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Members’ Allowances and Travel Expenses 1 April 2015 - 31 March 2016 KMFRA MEMBER TRAVEL (Gross) BASIC ALLOWANCE

(Gross) SPECIAL

RESPONSIBILITY ALLOWANCE (Gross)

TOTAL RECEIVED

MRS A ALLEN - £1400.04 - £1400.04

MR M ANGELL £71.55 £1400.04 £1836.00 £3307.59

MR H BIRKBY - £1400.04 - £1400.04

MR D BRAZIER (wef 01/06/15) - £1166.70 - £1166.70

MR R BROOKBANK - £233.34 - £233.34

MS S CAREY £88.65 £1400.04 - £1488.69

MR D CARR (wef 27/05/15) £54.00 £1185.52 - £1239.52

MR N CHARD £241.42 £1400.04 £18360.00 £20001.46

MR G COWAN £319.05 £1400.04 £5508.00 £7227.09

MS C CRIBBON £101.25 £1400.04 - £1501.29

MR D DALEY - £1400.04 £5808.00 £7208.04

MR J DAVIES - £1400.04 - £1400.04

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KMFRA MEMBER MILEAGE (Gross) BASIC ALLOWANCE (Gross)

SPECIAL RESPONSIBILITY

ALLOWANCE (Gross)

TOTAL RECEIVED

DR M EDDY £223.20 £1400.04 £450.00 £2073.24

MR T GATES £159.30 £1400.04 £7344.00 £8903.34

MR P GODWIN £46.80 £1400.04 £450.00 £1896.84

MR A GULVIN - £1400.04 £5773.20 £7173.24

MR M HARRISON (to 21/05/15) £32.40 £233.34 - £265.74

MR M HEALE (wef 01/06/15) £174.60 £1166.70 - £1341.30

MRS S HOHLER £86.40 £1400.04 - £1486.44

MR P HOMEWOOD (wef 01/06/15) £7.20 £1166.70 £1173.90

MR G KOOWAREE - £1400.04 £1400.04

MR R LATCHFORD - £1400.04 - £1400.04

MR S MANION £68.85 £1400.04 - £1468.89

MR T MASON (to 11/05/15) - £157.79 £829.44 987.23

MR R PARRY £129.60 £1400.04 - £1529.64

MR T SHONK (wef 08/04/15 to 31/05/15)

£41.40 £206.12 - £247.52

MRS P STOCKELL - £1400.04 - £1400.04

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KMFRA MEMBER MILEAGE (Gross) BASIC ALLOWANCE (Gross)

SPECIAL RESPONSIBILITY

ALLOWANCE (Gross)

TOTAL RECEIVED

MR A TERRY - £1400.04 £6408.00 £7808.04

MR S TRANTER (wef 27/05/15) - £1185.52 - £1185.52

MR R TURPIN (to 27/05/15) - £233.34 - £233.34

TOTALS

£1845.67 £34935.87 £52766.64 £89548.18

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Appendix 2

to Item No: B5 Summary of Member Activity 2015/16 (18 June 2015 – 15 June 2016) Name Activity

ALLEN, Ann

KCC Electoral Division: Wilmington Authority and Committee Meetings attended Authority: Member 3 meetings attended out of 3 GP Committee: Member 2 meetings attended out of 3 (1 meeting missed because of family funeral) Special Responsibilities - Nil Representing the Authority on Outside Bodies - Nil Attendance at Conferences, Seminars, Events etc - Nil Learning and Development Training/Briefings on Finance. Liaising with your local Community - Nil Supplementary Information – Nil

BIRKBY, Hod KCC Electoral Division: Folkestone West Authority and Committee Meetings attended Authority: Member 3 meetings attended out of 3 GP Committee Member 3 meetings attended out of 3

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Special Responsibilities - Nil Representing the Authority on Outside Bodies - Nil Attendance at Conferences, Seminars, Events etc - Nil Learning and Development Operational Exercise, Folkestone – February 2016 Liaising with your Local Community - Nil Supplementary Information - Nil

CARR, David Medway Ward: Rainham North Authority and Committee Meetings attended Authority: Member 2 meetings attended out of 3 (1 meeting missed because of hospital operation) GP Committee Member 3 meetings attended out of 3 Special Responsibilities - Nil Representing the Authority on Outside Bodies - Nil Attendance at Conferences, Seminars, Events etc Licence2Kill discussions and presentations. Medal Presentation Ceremony, Maidstone. Opening of Rochester Fire Station. Learning and Development - Nil

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Liaising with your Local Community - Nil Supplementary Information - Nil

DAVIES, John

KCC Electoral Division: Tunbridge Wells West Authority and Committee Meetings attended Authority: Member 2 meetings attended out of 3 (1 meeting missed because of hospital visit) P&P Committee: Member 1 meeting attended out of 3 (1 meeting missed because of hospital visit and 1 because of leave) Special Responsibilities - Nil Representing the Authority on Outside Bodies - Nil Attendance at Conferences, Seminars, Events etc – Nil Learning and Development Kent Police Control Room – November 2015 KMFRA Training Operational Issues Drones – December 2015 Liaising with your local Community Negotiations and discussions regarding sale of the former Rusthall Fire Station to the Parish Council, and officially opening the new Community Centre located in the former Fire Station. Supplementary Information – Nil

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EDDY, Mike

KCC Electoral Division: Deal Authority and Committee Meetings attended Authority: Member 3 meetings attended out of 3 P&P Committee Member 2 meetings attended out of 3 (1 meeting missed because of illness) Special Responsibilities Labour Group Spokesperson on Planning and Performance Committee – briefed prior to meetings via conference call with officers. Representing the Authority on Outside Bodies - Nil Attendance at Conferences, Seminars, Events etc - Nil Learning and Development Occasional briefings following formal meetings. Liaising with your Local Community As local KCC Member provides regular monthly written reports to Deal Town and Walmer Parish Councils, which include specific accounts of KMFRA meetings and activities. As Member of Dover District Council requested (and got) an Emergency Planning training session for DDC Members. Supplementary Information – Nil

HEALE, Martyn KCC Electoral Division: Ramsgate Authority and Committee Meetings attended Authority: Member 3 meetings attended out of 3 P&P Committee Member 1 meeting attended out of 3 (2 meetings missed because of illness)

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Special Responsibilities – Nil Representing the Authority on Outside Bodies - Nil Attendance at Conferences, Seminars, Events etc - Nil Learning and Development Briefing sessions on latest equipment, as presentation after Authority meeting. Liaising with your Local Community Various local residents’ associations and local church attendees of St Lawrence, Ramsgate. Has received over 60 emails and attended four local meetings all objecting to site of new Ramsgate Fire Station, and has debated with fellow KCC Members and Thanet District Councillors in Ramsgate, and on social media, the merits of the proposed location. In response to a vehement campaign, has defended and extolled the virtues of the new station location and believes has persuaded majority of objectors to support it. Supplementary Information - Nil

HOHLER, Sarah

KCC Electoral Division: Malling North Authority and Committee Meetings attended Authority: Member 3 meetings attended out of 3 P&P Committee Member 1 meeting attended out of 3 (2 meetings missed due to diary conflicts) Special Responsibilities - Nil Representing the Authority on Outside Bodies - Nil Attendance at Conferences, Seminars, Events etc Licence to Kill, Mote Park – November 2015

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Learning and Development Training/Briefing at or following meetings attended. Liaising with your Local Community As KCC Member has attended one Town Council and seven Parish Council meetings most months; the Tonbridge and Malling Parish Partnership Board and Joint Transportation Board, so can comment and answer queries on KMFRA activities. Supplementary Information – Nil

LATCHFORD, Roger

KCC Electoral Division: Birchington and Villages Authority and Committee Meetings attended Authority: Member 2 meetings attended out of 3 (1 meeting missed because out of country) GP Committee Member 3 meetings attended out of 3 Special Responsibilities - Nil Representing the Authority on Outside Bodies - Nil Attendance at Conferences, Seminars, Events etc - Nil Learning and Development - Nil Liaising with your Local Community – Nil Supplementary Information – Nil

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LEAD/CONTACT OFFICER: Assistant Director, Finance - Alison Kilpatrick TELEPHONE NUMBER: 01622 692121 ext 8262 EMAIL: [email protected] BACKGROUND PAPERS: None

Item Number: C1

By: Assistant Director, Finance


Subject: EXTERNAL AUDITORS’ ANNUAL AUDIT LETTER 2015/16


FOR INFORMATION

SUMMARY

This report brings to Members’ attention the External Auditors’ Annual Audit Letter relating to the 2015/16 financial year. The Letter confirms that the audit for 2015/16 has now been concluded and that an unqualified opinion on the 2015/16 financial statements has been issued.

CONCLUSION


1. Consider and note the contents of the report and the External Auditors’ Annual Audit Letter (Annex 1 refers).

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COMMENTS Annual Audit Letter

1. Attached as Annex 1 is the External Auditors’ Annual Audit Letter for 2015/16 which was issued in October. This Letter provides a summary of the external auditors’ findings from the 2015/16 audit work, which comprised two key elements:-

• The audit of the 2015/16 financial statements; and

• A value for money (VFM) conclusion on the Authority’s arrangements for securing economy, efficiency and effectiveness in its use of resources.

2. Financial Statements - As confirmed in the Letter, the External Auditors issued an unqualified opinion on the Authority’s 2015/16 financial statements on 15 July 2016, following the last meeting of the Committee. The Auditors highlighted that a comprehensive set of supporting working papers had been produced by the Finance team to support final accounts. There was only one recommendation highlighted in the final audit, and that related to the measures that the Authority needed to put in place to ensure that it was able to achieve a performance target it had set itself.

3. Value for Money (VFM) - The External Auditors are required to give a VFM conclusion based on guidance issued by the National Audit Office, which specifies the criteria on which the evaluation should take place, and that is:-

• In all significant respects, the audited body takes properly informed decisions and deploys resources to achieve planned and sustainable outcomes for taxpayers and local people.

The External Auditors were satisfied that, in all significant respects, the Authority had put in place proper arrangements to secure economy, efficiency and effectiveness in its use of resources for the year ended 31 March 2016.

IMPACT ASSESSMENT

4. There are no financial implications arising from this report that cannot be managed within the overall budget.

CONCLUSION


5.1 Consider and note the contents of the report and the External Auditors’ Annual Audit Letter (Annex 1 refers).

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© 2016 Grant Thornton UK LLP | The Annual Audit Letter for Kent and Medway Towns Fire Authority | September 2016

The Annual Audit Letter

for Kent and Medway Towns Fire

Authority

Year ended 31 March 2016

4 October 2016

Cover page

Emily Hill Director T 0207 728 3259 E [email protected]

Terry Blackman Audit Manager T 0207 728 3194 E [email protected]

Keyasha Pillay Executive T 0207 728 2494 E [email protected]

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ff0f523

Typewritten Text

Annex 1 to item No: C1

© 2016 Grant Thornton UK LLP | The Annual Audit Letter for Kent and Medway Towns Fire Authority | September 2016 2

Contents

Section Page

1. Executive summary 3

2. Audit of the accounts 5

3. Value for Money conclusion 9

Appendices

A Reports issued and fees

Contents

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Executive summary

Overall review of financial statements

Purpose of this letter

Our Annual Audit Letter (Letter) summarises the key findings arising from the

work that we have carried out at Kent and Medway Towns Fire Authority (the

Authority) for the year ended 31 March 2016.

This Letter is intended to provide a commentary on the results of our work to the

Authority and its external stakeholders, and to highlight issues that we wish to

draw to the attention of the public. In preparing this letter, we have followed the

National Audit Office (NAO)'s Code of Audit Practice (the Code) and Auditor

Guidance Note (AGN) 07 – 'Auditor Reporting'.

We reported the detailed findings from our audit work to the Authority's General

Purposes Committee as those charged with governance in our Audit Findings

Report on 15 July 2016.

Our responsibilities

We have carried out our audit in accordance with the NAO's Code, which reflects

the requirements of the Local Audit and Accountability Act 2014 (the Act). Our

key responsibilities are to:

• give an opinion on the Authority's financial statements (section two)

• assess the Authority's arrangements for securing economy, efficiency and

effectiveness in its use of resources (the value for money conclusion) (section

three).

In our audit of the Authority's financial statements, we comply with International

Standards on Auditing (UK and Ireland) (ISA(UK&I)s) and other guidance issued

by the NAO.

Our work

Financial statements opinion

We gave an unqualified opinion on the Authority's financial statements on 15 July

2016.

Value for money conclusion

We were satisfied that the Authority put in place proper arrangements to ensure

economy, efficiency and effectiveness in its use of resources during the year ended

31 March 2016. We reflected this in our audit opinion on 15 July 2016.

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Certificate

We certified that we had completed the audit of the accounts of Kent and Medway

Towns Fire Authority in accordance with the requirements of the Code on 5

September 2016.

We would like to record our appreciation for the assistance and co-operation

provided to us during our audit by the Authority's staff.

Grant Thornton UK LLP

September 2016

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Audit of the accounts


Our audit approach

Materiality

In our audit of the Authority's accounts, we use the concept of materiality to

determine the nature, timing and extent of our work, and in evaluating the results

of our work. We define materiality as the size of the misstatement in the financial

statements that would lead a reasonably knowledgeable person to change or

influence their economic decisions.

We determined materiality for our audit of the Authority's accounts to be

£1,573,000 , which is 2% of the Authority's gross revenue expenditure. We used

this benchmark, as in our view, users of the Authority's accounts are most

interested in how it has spent the income it has raised from taxation and grants

during the year.

We also set a lower level of specific materiality for certain areas such as cash and

senior officer remuneration for example due to increased public interest. We set a

lower threshold of £79,900, above which we reported errors to the General

Purposes Committee in our Audit Findings Report.

The scope of our audit

Our audit involves obtaining enough evidence about the amounts and

disclosures in the financial statements to give reasonable assurance that they are

free from material misstatement, whether caused by fraud or error.

This includes assessing whether:

• the Authority's accounting policies are appropriate, have been consistently

applied and adequately disclosed;

• significant accounting estimates made by management are reasonable; and

• the overall presentation of the financial statements gives a true and fair view.

We also read the narrative report and annual governance statement to check

they are consistent with our understanding of the Authority and with the

accounts on which we give our opinion.

We carry out our audit in line with ISA(UK&I)s and the NAO Code. We

believe the audit evidence we have obtained is sufficient and appropriate to

provide a basis for our opinion.

Our audit approach was based on a thorough understanding of the Authority's

business and was risk based. We identified key risks and set out overleaf the

work we performed in response to these risks and the results of this work.

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Audit opinion

We gave an unqualified opinion on the Authority's accounts on 15 July 2016, well

in advance of the 30 September 2016 national deadline.

The Authority made the accounts available for audit in line with the agreed

timetable, and provided a good set of working papers to support them. The

finance team responded promptly and efficiently to our queries during the course

of the audit.

Issues arising from the audit of the accounts

We reported the key issues from our audit of the accounts of the Authority to the

Authority's General Purposes Committee on 15 July 2016.

The key messages arising from our audit of the Authority's financial statements

are:

• the draft financial statements provided to audit were prepared in advance of the

statutory deadline, already meeting the requirements for earlier closedown that

will apply from 2017/18

• the financial statements were supported by comprehensive supporting working

papers and the finance team and other officers responded promptly and

knowledgeably to audit queries.

A small number of minor amendments to disclosures were agreed, with no impact

on the Authority's reported financial position.

Annual Governance Statement and Narrative Report

We are also required to review the Authority's Annual Governance Statement

and Narrative Report. It published them on its website with the draft accounts

in line with the national deadlines.

Both documents were prepared in line with the relevant guidance and were

consistent with the supporting evidence provided by the Authority and with

our knowledge of the Authority.

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Risks identified in our audit plan How we responded to the risk

Operating expenses Risk: Creditors understated or not recorded in

the correct period, operating expenses

understated

There is an element of estimation uncertainty for accruals which require estimation techniques and management judgment. There is an inherent risk that payables may not be posted in the correct financial year.

As part of our audit work we: • documented and confirmed the processes and controls in place around the accounting for operating expenses • undertook substantive testing on a sample of operating expenses, and carried out cut-off testing to ensure operating expenses

had been accurately accounted for and in the correct period • tested the completeness of the subsidiary system (purchase ledger) interfaces with the ledger • documented the processes in place for year end accruals, and carried out substantive testing of a sample of creditor balances

including accruals • reviewed post year end payments made to identify unrecorded liabilities. We did not identify any issues to report

Employee remuneration (Payroll) Risk: Employee remuneration and benefit

obligations and expenses understated.

The Authority has a large number of employees and related payroll transactions which form a significant proportion of expenditure. This means the inherent risk, which includes year end accruals, is high.

As part of our audit work we: • documented and confirmed the processes and controls in place around the accounting for employee remuneration (payroll) • undertook substantive testing on a sample of employees and completed a monthly trend analysis to identify any unusual or

irregular movements for investigation • reviewed the monthly payroll reconciliation to ensure that information from the payroll system could be agreed to the ledger and

the financial statements • agreed employment remuneration disclosures to supporting documentation and reviewed disclosures on senior officer

remuneration and pensions to ensure they complied with the requirements • reviewed year end employee remuneration accruals and agreed to supporting documentation where significant. We did not identify any issues to report

Firefighters' pensions benefit payments Risk: Benefits improperly computed/ claims

liability understated

Payments to retiring officers are low in volume but high in value and the service is reliant on effective controls both within and outside the organisation to ensure that payments made are valid and accurate.

As part of our audit work we: • documented and confirmed the processes and controls in place around the accounting for Firefighters' pensions benefit

payments agreed pension disclosures in the financial statements to supporting evidence • completed a monthly trend analysis to identify any unusual or irregular movements for investigation, and rationalised pensions

paid with reference to changes in pensioner numbers and increases applied in the year to ensure that any unusual trends were satisfactorily explained.

We did not identify any issues to report

These are the risks which had the greatest impact on our overall strategy and where we focused more of our work.

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Audit of the accounts (cont.)


Risks identified in our audit plan How we responded to the risk

Estimates and judgements – valuation of property plant and equipment The Authority revalues its entire land and building portfolio every 5 years. Between full revaluations, at the end of each year values are reviewed and an adjustment needs to be made for any impairment or increase in valuation as appropriate. Material additions to the premises estate also need to be brought onto the balance sheet at an appropriate value. The Authority relies on the expertise of an external valuer in estimating the value of its property plant and equipment.

As part of our audit work we: • reviewed the accounting policy adopted for property, plant and equipment to ensure that it was appropriate under

the Authority's accounting framework • reviewed the qualifications and competence of the Authority's external valuer • reviewed the key assumptions made by the Authority (e.g. asset lives, market movements) for reasonableness • undertook testing to ensure additions were fully and appropriately accounted for, and to ensure the information in

the valuer's report was accurately and appropriately reflected in the financial statements. We did not identify any issues to report

Estimates and judgements – pension fund liability Estimation of the Authority's net liability to pay pensions under the Local Government and Firefighters pension schemes depends on a number of complex judgements. Actuaries are engaged to provide the Authority with expert advice about the assumptions to be applied.

As part of our audit work we: • reviewed the accounting policy adopted for the pension fund liability to ensure that it was appropriate under the

Authority's accounting framework • reviewed the qualifications and competence of the Authority's actuary • reviewed the key assumptions made by the Authority (e.g. discount rates, life expectancy, increases in salary) for

reasonableness, and considered whether the Authority had given due consideration to the range of possible outcomes

• Considered the accuracy of data supplied to the actuary and obtained assurance from the auditor of Kent County Council regarding the operation of controls in the pension schemes it administers on behalf of the Authority

• undertook tests to ensure the information in the actuaries' reports was accurately and appropriately reflected in the financial statements.

We did not identify any issues to report

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Value for Money conclusion


Background

We carried out our review in accordance with the NAO Code, following the

guidance issued by the NAO in November 2015 which specified the criterion for

auditors to evaluate which was that:

In all significant respects, the audited body takes properly informed decisions and deploys resources

to achieve planned and sustainable outcomes for taxpayers and local people.

Key findings

Our first step in carrying out our work was to perform a risk assessment and

identify the key risks where we concentrated our work.

The key risks we identified and the work we performed are set out in table 2

overleaf.

As part of our Audit Findings report agreed with the Authority in July 2016, we

agreed one recommendation to address our findings, that the Authority monitor

the initiatives designed to improve response performance on life threatening

incidents to ensure that improvements in response times are delivered and the

Authority achieves the targets it has set itself.

Overall VfM conclusion

We are satisfied that in all significant respects the Authority put in place proper

arrangements to secure economy, efficiency and effectiveness in its use of

resources for the year ending 31 March 2016.

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Value for Money


Risk identified Work carried out Findings and conclusions

Medium term financial plan The Authority's medium term financial planning has identified the need for £8.1 million of savings over the next four years, £3.8m of which is required in 2016/17.

We reviewed the Authority's saving plans and the sensitivity of the medium term financial plan to potential changes in assumptions, for assurance that these are sufficiently robust.

The Authority has sound arrangements for developing, updating and implementing its medium term financial plan (MTFP). Focus on achievement of corporate priorities is evident through the financial planning process, and the MTFP ensures that resources are focused on priorities. Service and financial planning processes are well integrated, and the MTFP is consistent with other key strategies, including workforce plans. There are adequate plans in place to address identified funding gaps, and there is regular review of the MTFP and the assumptions made within it. It has performed sensitivity analysis on its financial model using a range of economic assumptions. The Authority responds to changing circumstances and manages its financial risks effectively.

Achieving key service targets In December 2015 the Authority reported that its performance was below target for the majority of fire indicators, including attendance at life-threatening incidents which we reported on in our VfM findings for 2014/15.

We reviewed the Authority's plans to deliver an improved performance against its performance indicators, in the context of its comparative performance nationally.

For attendance at life-threatening incidents within 10 and 12 minutes, the Authority continued to underperform against its targets of 80% and 89% respectively. As noted when we reported on this last year, the target covers both fires and road traffic collisions (RTCs) and in both cases the performance for fire incidents is above target, but the underperformance on RTCs reduces the Authority's overall performance to below target level. Figures for the full year for 2015/16 show that response times to life-threatening incidents within 10 and 12 minutes were 76.5% and 85.8%, in both cases slightly better than performance last year (75.8% and 85.7% respectively). We note that the Authority performs well compared to other authorities nationally – for example, recent statistics on fire incidents response times from the Department of Communities and Local Government (DCLG) showed that the Authority was one of only five who reported a decrease in average response times for all primary fire incidents in 2014/15 when compared to the previous year. The Authority continues to have a wide range of initiatives designed to improve performance on life threatening incidents, and the impact of these continues to be monitored to ensure their effectiveness. Recommendation: Monitor the initiatives designed to improve response performance on life threatening incidents to ensure that improvements are delivered and the Authority achieves the targets it has set itself.

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Appendix A: Reports issued and fees

Fees

Planned £

Actual fees £

2014/15 fees £

Statutory audit of Authority 35,608 35,608 47,477 Total fees (excluding VAT) 35,608 35,608 47,477

We confirm below our final fees charged for the audit and the provision of non-audit services.

Fees for other services

Service Fees £

Non-audit services - Tax services 8,500

Reports issued

Report Date issued

Audit Plan March 2016

Audit Findings Report July 2016

Annual Audit Letter September 2016

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© 2016 Grant Thornton UK LLP | The Annual Audit Letter for Kent and Medway Towns Fire Authority | September 2016

Back page

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Item Number: C2

By: Assistant Director, Finance


Subject: INTERNAL AUDIT MID-YEAR PROGRESS REPORT 2016/17


FOR INFORMATION

SUMMARY

Under Section 6 of the Accounts and Audit Regulations 2015, the Authority is required to maintain an adequate and effective Internal Audit process, and therefore it has contracted with Kent County Council’s Internal Audit team to fulfil this obligation. As part of the contract, the Head of Internal Audit is required to submit an Annual Audit Plan, with the Plan for 2016/17 being approved by the Committee in April 2016 (Minute 34).

This report sets out the Head of Internal Audit’s half-yearly update for 2016/17. This provides Members with an opportunity to consider progress in delivering the current Audit Plan, to question the Head of Internal Audit on any issues raised in the report, and to raise any questions or concerns they may have about governance and assurance matters in general.

CONCLUSION


1. Consider and note the Internal Audit Mid-Year Progress Report for 2016/17 (paragraphs 1 to 3 and Appendix 1 refer).

LEAD/CONTACT OFFICER: Exchequer Accountant - Sarah Dawe TELEPHONE NUMBER: 01622 692121 ext 8327 EMAIL: [email protected] BACKGROUND PAPERS: None

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COMMENTS

Background

1. The Authority’s Service Level Agreement (SLA) with Kent County Council for Internal Audit sets out that the Audit Manager assigned to the Authority’s contract takes on the role of Head of Internal Audit for the Authority. This provides the Head of Internal Audit with direct access to Members and senior management and enhances the independence of the role, thus improving the overall governance of the process.

2. As part of the SLA, the Head of Internal Audit is required to prepare a half-yearly update on the progress made in delivering the Annual Audit Plan. The 2016/17 half-yearly update is attached for Members’ consideration at Appendix 1.

3. At the time of writing, two reviews have been completed; one of which was in an advisory capacity. The remainder are scheduled for completion later in the year. Details of the issues identified and the opinion given for each review is contained in the attached report. Any actions agreed in response to the recommendations contained in the final reports are being initiated and will be monitored to implementation to ensure the necessary control improvements are made. The Head of Internal Audit has indicated that there are no specific issues that need to be brought to Members’ attention at this stage.

IMPACT ASSESSMENT

4. There are no direct financial impacts associated with this report. The Audit Plan is developed taking into account the current allocation of 95 days audit work so no additional funding is required. Should it be necessary to exceed the stated resource, the SLA provides daily rates that would apply to additional work over the budgeted sum.

5. Whilst the provision of information and the review of reports, plus the implementation of agreed recommendations, may involve some staff resource, this is generally minimal and undertaken over a specified time period according to the severity of the issues identified and the importance of implementing corrective action. This activity is a regular feature each year and, although the focus changes, it is unlikely that any additional major resource requirements will be needed. As such delivery of the Audit Plan is unlikely to impact significantly on current activities in the audited area.

CONCLUSION


6.1 Consider and note the Internal Audit Mid-Year Progress Report for 2016/17 (paragraphs 1 to 3 and Appendix 1 refer).

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Appendix 1 to Item No: C2

Internal Audit Update Report

November 2016

Release: Draft V3

Date: 13 October 2016

Author: Samantha Buckland CMIIA Head of Internal Audit for KMFRA

PROGRESS REPORT 2016/17

Kent and Medway Fire and Rescue Authority

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INTERNAL AUDIT PROGRESS REPORT November 2016/17

Purpose of this report 1.1 This report summarises the work that the Kent County Council (KCC) Internal

Audit service has undertaken on behalf of the Kent and Medway Fire and Rescue Authority (KMFRA) for 2016/17 to date in order to provide assurance on governance, risk management and control. It also highlights any key issues arising from that work.

The Internal Audit Process 2.1 The 2016/17 Annual Internal Audit Plan was approved by Members of the

General Purposes Committee (GPC) in April 2016. The majority of the reviews internal audit undertake are designed to provide assurance to Members and management on the operation of the KFRS internal control environment as part of the overall governance assurance process. However, we also carry out consultancy reviews where this adds value in line with our professional standards. Such reviews will typically be c arried out where new systems or processes are being designed or implemented. All reviews include our recommendations and actions agreed with management that will, if implemented, improve the adequacy and effectiveness of the controls already in place.

2.2 Audit activities are designed to provide specific advice and support to

management to enhance the efficiency, effectiveness and economic delivery of the services and functions for which they are responsible. Internal audit work and findings are informed by any investigations and fraud risk management work carried out under the anti-fraud element of the plan as well as the risk management framework of the Authority.

2.3 An overall summary of progress to date on the planned audits for 2016/17 is

included at Annex 1. This includes the assurance level and the number/priority of recommendations made for completed audits. A summary of the outcomes of all audits completed to date appear at Annex 2; all audits will be reported in detail in the 2016/17 Annual Audit Report at the meeting of this committee in July 2017.

Anti-Fraud, Irregularities and Ad Hoc Tasks 3.1 A fraud awareness session is scheduled for the end of October 2016 and will

be delivered to members of the Finance and Procurement teams. In addition to detection and prevention of fraud, this session will also include an introduction to the Bribery Act and money laundering. There will be a f urther training

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session arranged for members of the HR and Finance team, which will focus on possible payroll related fraud.

3.2 In addition Internal Audit provides advice and information on individual issues

as and when requested by officers. In 2016/17 to date we have carried out some ad-hoc advisory work on Safeguarding and related processes.

Compliance with Professional Standards 3.3 The Authority has chosen not to have an in-house Internal Audit Service and

therefore has contracted with Kent County Council for this service. KCC Internal Audit underwent an independent external assessment in February 2015. The result of that assessment was that we were fully conformant with 52 of the 56 Public Sector Internal Audit Standards and partially conformant with the remaining four. A follow-up to this assessment was carried out in June 2016; the result of this follow-up was that we are now fully conformant with all 56 standards.

Performance of Internal Audit 4.1 In line with the agreed Service Level Agreement, Key Performance Indicators

exist to measure the performance of the Internal Audit service together with the timeliness of response to audit plans and reports from officers. The performance for 2016/17 to date is attached at Annex 3.

Conclusion 5.1 Members can be assured that no issues have been identified in the 2016/17

work completed to date that impact significantly on t he overall system of control. Where areas for development have been identified appropriate actions have been agreed with management and these will be followed up to ensure actions are completed in line with agreed timescales.

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Annex 1

2016/17 Summary at 5 October 2016

Audit area Status Recommendations made

Assurance Level

Risk Management Fieldwork near completion

TBC TBC

Decision-Making Fieldwork near completion

TBC TBC

New Finance and Procurement System

Due Q3 / Q4, dependent on progress with the new system

Security Vetting Complete 3 - Advisory NA - Advisory

Safeguarding and Safe and Well Visits

Advisory work completed, assurance work due in Q4

Technical Fire Safety

Complete 4 – Medium Substantial

Incident Command Due Q3 / Q4

Fraud Awareness Campaign

Sessions planned for October 2016

IT and Information Management

In planning, due to start in Q4

Follow-ups

Operational Risk Management (May16)

Kent Resilience Team

Revisit in Q4

Revisit in Q3

N/A

N/A

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Annex 2

Summaries of completed audits at 5 October 2016

Technical Fire Safety (FS06 2016) - Substantial

Final Report issued: 5 October 2016

Objective: This piece of work focused on the inspection / audit and enforcement work carried out by the Technical Fire Safety Team with regard to public buildings. The overall objective of the audit was to provide assurance that the current inspection strategy is adequate and effective to manage risk, taking into account the Authority’s key strategic objective to work in partnership with businesses as the most effective way to mitigate risks. Findings: There were a num ber of areas where controls are operating effectively. The audit process is line with statutory legislation and the audits tested were compliant with the process. The team members interviewed were aware of strategic objectives and highlighted the importance of customer service in order to meet these objectives. Risk is considered from a variety of sources when planning the audit programme and there was a clear risk-based rationale for inspecting the premises in our sample. Some areas for improvement were identified. Much of the guidance had not been reviewed for several years, during which time both actual and des ired practice has changed. There is no formal quality assurance framework to ensure that audit work is in line with desired practice. There is also no structured follow-up process once audits have been completed to ensure that action has been taken to mitigate identified risks. Recommendations: Four medium-priority recommendations were raised, all of which were accepted by management. A summary is given below.

Recommendation Priority Implementation Guidance Medium Not yet due Quality Assurance Framework

Medium Not yet due

Follow-Up Process Medium Not yet due System control Medium Not yet due

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Security Vetting (FS04 2016) - Advisory

Final Report issued: 12 July 2016

Objective: At the time of fieldwork, KFRS were carrying out a management review of the existing arrangements for security vetting staff, including Disclosure and B arring Service (DBS) checks. The overall objective of our piece of work was to work alongside officers to establish the adequacy of the controls in place to manage risks in relation to security vetting and to provide advice where gaps or weaknesses were identified. Findings: We were satisfied that the KFRS internal management review was being carried out using a robust methodology and with due regard to the majority of key risks. The KFRS review was in progress at the time of our work and as such there were some areas that had not yet been reviewed. However we discussed the scheduled work with management and there were plans in place to address the remaining areas. We understand that the final policy is due to be completed by the end of 2016. We identified a s mall number of areas where further work or policy development would be benef icial to mitigate risks. These related to the details retained with the central record to ensure transparency and r educe error and enha ncements to the DBS renewal process.

Recommendations: Three recommendations were raised, all of which were accepted by management. A summary is given below.

Recommendation Priority Implementation Rationales for non-renewal of security clearances

Advisory Not yet due

DBS Renewal Process Advisory Not yet due Disclosure of Clearances Advisory Not yet due

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Definition of Audit Opinions

Assurance

Level

Definition

High

The controls evaluated are well designed, appropriate in scope and applied consistently and effectively. A ny issues identified are minor in nature and should not prevent the achievement of objectives.

Substantial

Whilst the controls evaluated are generally well designed, appropriate in scope and appl ied consistently and e ffectively, weaknesses have been identified that require management attention. These issues increase the possibility that objectives may not be achieved.

Limited

Some controls are generally well designed, appropriate in scope and applied consistently and effectively. However, issues of poor design, gaps in coverage or inconsistent or ineffective implementation have been identified that require immediate management attention. The issues identified, if unresolved, mean that objectives may not be achieved.

No

Expected controls are absent, or where evaluated are flawed in design, scope or application. The auditor is unable to form a view as to whether objectives will be achieved.

Definition of Recommendation Priorities

Risk Level

Definition

High

There is a g ap in the control framework or a failure of existing internal controls that results in a significant risk that service or system objectives will not be achieved.

Medium

There are weaknesses in internal control arrangements which lead to a moderate risk of non-achievement of service or system objectives.

Low

There is scope to improve the quality and/or efficiency of the control framework, although the risk to overall service or system objectives is low.

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Annex 3

KPI Results at 30 September 2016

KCC Internal Audit Indicator Target

Performance Performance to date

1. Planning meeting to be undertaken 4 weeks prior to commencement of audit

90% 100%

2. Engagement Plan to be issued 2 weeks prior to commencement of audit

90% 100%

3. Verbal feedback to be provided on completion of audit fieldwork

100% 100%

4. Draft Reports to be issued within 10 days of completing fieldwork

90% 50%

5. Final Report to be issued within 5 days of agreement by auditee

90% 100%

7. Client Satisfaction Questionnaires to be issued for all audits/investigations completed.

100% 100%

8. % Positive Client feedback

90% 100%

9. % completion of Annual Internal Audit Plan at 31st March 2017 (Prorated target at end of Q2)

90% (36%) 36%

KMFRA Indicator Target

Performance Performance to date

1. Agreement of Engagement Plan to be provided prior to fieldwork start date

100% 100%

2. Response to Draft Report to be provided within 20 days of issue

90% 100%

3. Client Satisfaction Questionnaires to be completed and returned

100% 100%

4. High and Medium Priority recommendations to be implemented within agreed timescales.

90% N/a*

*Due to timing we cannot report on some KPI results as these are measured at year-end

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Item Number: C3

By: Corporate Facilities and Environmental Manager


Subject: CARING FOR THE ENVIRONMENT UPDATE


FOR INFORMATION

SUMMARY

This report provides Members with the final emissions report for the 2015/16 financial year. It also explains that work is in progress to determine the appropriate targets which could be effective in measuring the potential fall of carbon emissions in future years.

CONCLUSION


1. Consider and note the final emissions report for 2015/16 (paragraphs 1 to 3 and Appendix 1 refer).

LEAD/CONTACT OFFICER: Corporate Facilities and Environmental Manager - Peter Austen TELEPHONE NUMBER: 01622 692121 ext: 8282 EMAIL: [email protected] BACKGROUND PAPERS: None

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COMMENTS

Background

1. The Caring for the Environment Strategy sets the Authority’s target to reduce carbon emissions by 35% (compared to the baseline year of 2008/09) by the end of March 2017. However, it also provides a number of measures that could be progressed to meet the target reduction in the future.

2. Draft figures for 2015/16 carbon emissions were presented to the Committee at its last meeting on 15 July 2016 (Minute 14). However, the data for 2015/16 has now been finalised and consequently the final version for 2015/16 is attached at Appendix 1, for Members to review.

3. The carbon footprint (CO2) for 2015/16 shows a 30.7% reduction against the baseline year of 2008/09, which is a very slight improvement on the draft figures presented in July. Overall the key headline reductions are as follows (compared to the baseline of 2008/09):-

• Electricity - 44% better

• Gas - 21.8% better

• Heating Oil - 64.7% better

• Water - 45.7% better

• Transport - 21.3% better

• Utility and Fuel Costs - 34.7% better

Progress towards 2016/17 target

4. Last year saw a landmark achievement, breaking the 30% barrier towards the overall target reduction for CO2 of 35%. The 2016/17 financial year is the final year of this target period and consequently work is now underway to determine what possibilities there may be in the future to continue reducing carbon emissions. The significant reduction achieved over recent years does limit the scope and opportunities in future years as the more obvious reductions and improvements have already been made.

5. It is too early to determine the potential achievements in 2016/17, as winter weather and operational factors are unknown. However, currently both gas and mileage are showing a reduction against the same period last year, whilst electricity is slightly higher. The recent installation of solar panels on many of the Authority’s properties is slowly beginning to reap benefits in the form of financial savings.

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6. Work continues to highlight possibilities for further ways to reduce carbon emissions. At the next meeting of this Committee in April 2017, Members will be presented with a proposal for measuring carbon emissions into the future.

IMPACT ASSESSMENT

7. The Caring for the Environment Strategy and wider environmental improvements will not only reduce energy consumption, but will also contribute to financial savings in the future.

CONCLUSION


8.1 Consider and note the final emissions report for 2015/16 (paragraphs 1 to 3 and Appendix 1 refer).

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Page 106


2015/16 CO2 Emissions End Of Year Summary

Kent Fire & Rescue Service

Page 107

Contents Executive Summary.............................................................................................................................................................................................................108

Introduction .........................................................................................................................................................................................................................109

CO2 Emissions (kg) Summary .............................................................................................................................................................................................109

Financial Summary ..............................................................................................................................................................................................................111

CO2 Emissions (kg) – Utility Summary ................................................................................................................................................................................112

CO2 Emissions (kg) – Transport Summary ..........................................................................................................................................................................115

1. Executive Summary

• In 2015/16, KFRS produced 2,940,669kg of CO2, which was 2.7% better than in 2014/15 and 30.7% better than the baseline year 2008/09. These figures are encouraging as the Service continues to improve but it is looking unlikely that the 2016/17 35% reduction target (against baseline year) set out in the ‘Caring for the Environment’ Strategy will be achieved.

• The Service spent approximately £896k in 2015/16 on station utilities and vehicle fuel/mileage. This figure is 34.7% better than the baseline year (2008/09) and 14.3% better than the £1,046k spent in 2014/15.

• Overall, CO2 from utilities has reduced by 5.8% and 36.4% respectively against 2014/15 and the baseline year 2008/09. This is in large part due to significant reductions in electricity, gas and heating-oil consumption. Water consumption was again at its lowest level, although this contributes minimally to the overall footprint. Over half (50.1%) of the utility footprint is generated by wholetime stations; 18.1% is by day-crewed stations; 19.1% by administrative buildings; and the remaining 12.7% from on-call stations.

• CO2 from transport has increased by 1.7% against 2014/15 and reduced by 21.3% against the baseline year 2008/09. This reduction is due to a considerable reduction in claimed business transport. This is largely down to the implementation of the ‘pool car scheme’, where members of staff use pool cars owned by the Service, instead of using their own cars and then claiming mileage. Fleet transport emissions (those from Service-owned fleet) have increased by 1.7% when compared with 2014/15 and are 1.8% worse when compared with the baseline year. The main reason for the rise last year is an increase in incident activity during 2015/16 compared to 2014/15.

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2. Introduction

The following document is the 2015/2016 CO2 emissions end of year summary report. It reviews the Service’s overall CO2 footprint as well as a performance breakdown by ‘utilities’ and ‘transport’. Performances against the sub-categories that sit under these two main groups are also reviewed within this report. This document also highlights the Service’s expenditure against utilities and transport.

3. CO2 Emissions (kg) Summary

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Category 2008/09 (baseline)

2010/11 2011/12 2012/13 2013/14 2014/15 2015/16 15/16 performance against 08/09 (baseline)

15/16 performance against 14/15 (previous year)

Utilities 2,632,182 2,770,477 2,280,917 2,332,193 1,984,524 1,775,231 1,673,028 -36.4% better -5.8% better Utility - Electricity 1,378,544 1,348,787 1,234,133 1,169,553 956,491 850,816 771,305 -44% better -9.3% better Utility – Natural Gas 1,066,023 1,227,703 919,985 1,077,478 929,535 844,547 833,608 -21.8% better -1.3% better Utility – Heating Oil 177,455 185,346 119,079 77,876 103,786 73,893 62,602 -64.7% better -15.3% better Utility – Water 10,161 8,641 7,720 7,286 6,421 5,975 5,512 -45.7% better -7.7% better Transport 1,611,208 1,633,358 1,802,749 1,574,650 1,448,159 1,246,941 1,267,641 -21.3% better 1.7% worse Fleet Transport 1,230,338 1,266,804 1,481,668 1,363,207 1,375,920 1,231,707 1,252,863 1.8% worse 1.7% worse Business Transport 380,870 366,554 321,081 211,443 72,238 15,233 14,778 -96.1% better -3.0% better CO2 (kg) 4,243,390 4,403,835 4,083,667 3,906,843 3,432,683 3,022,172 2,940,669 -30.7% better -2.7% better

The Table above highlights the Service’s carbon footprint for 2015/16 as well as yearly performance figures dating back to the baseline year 2008/09. Figures for Electricity, Gas, Heating Oil, Water, Service Fleet Transport and Claimed Business Transport form two main groups which are emissions by ‘Utilities’ and ‘Transport’.

CO2 emissions in 2015/16 are at the lowest level since the Service began recording its carbon footprint in 2008/09 (baseline year). The 2015/16 figure of 2,940,669 kilograms of CO2 is 2.7% lower than the previous year 2014/15, and 30.7% lower when compared with the baseline year 2008/09. These figures are encouraging and, moving forward, the Service will continue to strive towards reducing the total CO2 to the set 35% reduction target. However this may now be achieved at a later point than the original target date of 31 March 2017.

CO2 emissions from utilities in buildings equate to approximately 57% of the total 2015/16 footprint. Performance is 36.4% better against the baseline year and 5.8% better than 2014/15. When this is examined further, it can mainly be attributed to a reduction in electricity consumption across most Service buildings. This is promising considering the Service opened a new wholetime fire station, Rochester, in February this year. Figures show that electricity CO2 output was 9.3% better in 2015/16 than in 2014/15 and 44% better compared with the baseline year 2008/09. Gas CO2 output was 1.3% better in 2015/16 than in 2014/15 and 21.8% better compared with the baseline year. The lower drop in gas consumption between last year and this year is due to an addition of a new wholetime station and the first full-year presence of the three new gas contracts in Paddock Wood, Tonbridge and Edenbridge mentioned in last year’s report. There has also been a slight increase in gas consumption at on-call stations. CO2 emissions recorded from heating oil have decreased in 2015/16 by 15.3% when compared with 2014/15. A primary reason for the reduction is that Tonbridge have now moved over to gas consumption for heating. This now leaves Thanet as the only consumer of heating oil across the Service. Overall, heating oil has experienced a reduction of 64.7% since the baseline year. Figures and further analysis regarding utility CO2 consumption can be found under the ‘CO2 Emissions – Utility Summary’ section of the report.

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The remaining 43% of the 2015/16 carbon footprint is attributed to vehicle transport usage. This is distributed between Service fleet transport (mileage covered by Service-owned vehicles) and claimed business transport (claimed mileage covered by staff’s lease/personal cars). The majority (98.8%) of transport emissions arise from fleet transport. The 2015/16 transport emissions figure is 1.7% worse than the 2014/15 total but 21.3% better compared with the baseline year 2008/09. The primary reason for this rise is the increase in the number of incidents attended by the Service in 2015/16 compared to 2014/15.

With the implementation of the ‘Fleet Review’, there has been an evident drop in the number of claimed miles which has had a direct effect on claimed business transport CO2 emissions. This business travel is now conducted through the use of Service pool vehicles, which by its very nature has affected fleet transport emissions. Figures and further analysis regarding utility CO2 consumption can be found under the ‘CO2 Emissions – Transport Summary’ section of the report.

4. Financial Summary

The Table below shows KFRS expenditure on building utilities and vehicle fuel/mileage. In 2015/16, the Service spent £896k on both utilities and vehicle mileage/fuel. These figures are 34.7% better than the baseline year 2008/09 and 14.3% better than the previous year (2014/15). 2015/16 has again seen a large reduction in transport costs when compared with both the baseline year and the previous year. This is due to a reduction in expenditure on vehicle fuel, caused by falling diesel prices and the continued requirement for staff to use the Service’s own bulk fuel tanks rather than more expensive commercial forecourts. As energy prices continue to increase, these figures are encouraging considering local authorities are being put under increasing pressure to reduce budgets.


2009/10 2010/11 2011/12 2012/13 2013/14 2014/15 2015/16 15/16 performance against 08/09 (baseline)


Utilities £552k £641k £574k £507k £477k £474k £433k £385k -26.2% better -11% better Transport £822k £804k £871k £968k £882k £777k £613k £511k -37.8% better -16.6% better Total £1,373k £1,445k £1,445k £1,474k £1,360k £1,250k £1,046k £896k -34.7% better -14.3% better Totals may differ slightly due to rounding.

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5. CO2 Emissions (kg) – Utility Summary


2010/11 2011/12 2012/13 2013/14 2014/15 2015/16 15/16 performance against 08/09 (baseline)


Utility - Electricity 1,378,544 1,348,787 1,234,133 1,169,553 956,491 850,816 771,305 -44% better -9.3% better Utility - Natural Gas 1,066,023 1,227,703 919,985 1,077,478 917,929 844,547 833,608 -21.8% better -1.3% better Utility - Heating Oil 177,455 185,346 119,079 77,876 103,786 73,893 62,602 -64.7% better -15.3% better Utility - Water 10,161 8,641 7,720 7,286 6,460 5,975 5,512 -45.7% better -7.7% better Utilities 2,632,182 2,770,477 2,280,917 2,332,193 1,984,524 1,775,231 1,673,028 -36.4% better -5.8% better

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The Table above highlights the carbon footprint from utilities in Service buildings for 2015/16, as well as yearly performance figures dating back to the baseline year 2008/09. Figures are broken down by individual categories – Electricity, Gas, Heating Oil, and Water.

Overall, utility CO2 emissions in 2015/16 were 36.4% better than the 2008/09 baseline year and 5.8% better than the previous year (2014/15). The drop in utility usage is largely underlined by a decrease in electricity and heating oil output. These reductions have been helped by the continuing programme of maintenance work undertaken by the property team, incorporating energy saving measures such as replacing older lights with more energy efficient fittings, adding automated controls to both lighting and boilers, increasing insulation as part of roof replacements and replacing doors and windows. Heating oil experienced a significant decrease in 2015/16 due to Tonbridge fire station switching to gas, which is more CO2 friendly, for heating.

Station specific targets for energy reduction have provided a greater focus for staff and this has raised awareness of energy usage to influence and change staff behaviour.

CO2 emissions from electricity have steadily reduced since 2009/10 and this has continued in 2015/16 where the figure of 771,305 kilograms of CO2 is 9.3% better than the previous year and 44% better than the baseline year. Electricity has a very high CO2 conversion per kWh and therefore electricity is an expensive utility when compared with gas. Consequently, it is encouraging to see a downward trend in electricity consumption and this is reflected in the expenditure. In 2014/15, £181k was spent on electricity compared with £158k in 2015/16. The fitting of solar panels to 36 sites has reduced further the need to buy grid electricity and contributed towards the reduction in CO2 during the 2015/16 period. During 2015/16 the total levels of CO2 created from electricity dropped to below the total CO2 output for gas for the first time.

Gas CO2 emissions fluctuated over the first few years whilst the last two years have remained relatively static; this behaviour is mainly dictated by weather conditions. As previously highlighted, gas is the primary heating fuel across most of the Service’s stations, and so the Service can expect to use more gas in colder years. Figures in 2015/16 show that the 833,608 kilograms of CO2 used is 1.3% better than the previous year (2014/15) and 21.8% better than the baseline 2008/09 figure. Gas expenditure in 2015/16 was £147k which is a reduction on the £167k spent in 2014/15.

Emissions from heating oil dropped significantly in 2015/16 when compared with previous years. Over the 2015/16 period Thanet became the sole remaining user of heating oil across the Service. Figures show that CO2 emissions from heating oil in 2015/16 were 64.7% better than the baseline year 2008/09.

The chart below highlights the breakdown of 2015/16 Utility CO2 emissions (excluding water emissions) by property type. The chart shows that just over half of the utility footprint (50.1%) is generated by wholetime stations, Day crewed stations and administrative buildings (SHQ, Fire Safety buildings, Training Centre) generate 18.1% and 19.1% respectively whilst the remaining 12.7% of emissions is produced by on-call stations.

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CO2 emissions from water contribute very little to the overall Service footprint but reassuringly there has been a year-on-year drop in CO2 from water since 2009/10. Figures show that 2015/16 was 7.7% better than the previous year and 45.7% better than the baseline year of 2008/09.

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6. CO2 Emissions (kg) – Transport Summary

Category

2008/09 (baseline)

2010/11 2011/12 2012/13 2013/14 2014/15 2015/16 15/16 performance against 08/09

(baseline)


Fleet Transport 1,230,338 1,266,804 1,481,668 1,363,207 1,375,920 1,231,707 1,252,863 1.8% worse 1.7% worse Business Transport 380,870 366,554 321,081 211,443 72,238 15,233 14,778 -96.1% better -3.0% better Transport 1,611,208 1,633,358 1,802,749 1,574,650 1,448,159 1,246,941 1,267,641 -21.3% better 1.7% worse

The Table above highlights the Service’s transport carbon footprint for 2015/16 as well as yearly performance figures dating back to the baseline year 2008/09. Figures are broken down into two separate categories of Service Fleet Transport (mileage covered by Service owned vehicles) and Claimed Business Transport (claimed mileage covered by lease/personal cars).

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Overall, Transport CO2 emissions in 2015/16 were at their second lowest level since carbon footprint figures have been published. In 2015/16 there was a slight increase (1.7%) on the previous year (2014/15) but a 21.3% reduction compared with 2008/09 (baseline year). Overall, compared to last year, only claimed business mileage showed a reduction in total mileage when compared to the previous year.

Looking at CO2 emissions from the Service’s fleet transport, 2015/16 figures are 1.7% worse when compared with the numbers recorded in the previous year. Compared with the baseline year, figures are showing as 1.8% worse. The minor increase in 2015/16 compared to last year is primarily due to an increase in incident activity during the period. When compared with the baseline year the main reason for the increase is due to the implementation of the pool car scheme, where staff who would have previously used their own cars and claimed mileage now use a pool car owned by the Service.

There has been a steady reduction of CO2 emissions from claimed business transport from 2008/09 to 2011/12 and a significant drop between 2011/12 and 2014/15 with a continued drop into 2015/16. CO2 emissions from claimed business transport has dropped by 96% in comparison to the baseline and 3% in comparison to the previous year. This significant reduction is due to the implementation of the pool car scheme mentioned above, with most business in-county travelling being undertaken using a Service-owned vehicle.

The Table below amalgamates both transport groups (Service fleet transport and claimed business transport) into three groups of vehicles – heavy response, light vehicles and other vehicles (Argocat, Mobile Workshops etc.). The data in the Table shows both the CO2 impact and the total number of miles for 2015/16, 2014/15, 2013/14 and baseline year 2008/09.

2008/09 Miles (Baseline)

2013/14 Miles 2014/15 Miles 2015/16 Miles 2008/09 CO2 (Baseline)

2013/14 CO2 2014/15 CO2 2015/16 CO2

Heavy Response 529,641 551,126 452,154 519,537 645,941 655,371 534,465 592,082 Light Vehicle 2,177,061 2,207,156 2,019,108 1,961,052 706,741 570,547 523,784 497,014 Other Vehicle 400,366 339,530 283,720 349,707 258,526 222,241 188,692 178,545 Grand Total 3,107,068 3,097,812 2,754,982 2,830,296 1,611,208 1,448,159 1,246,941 1,267,641

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LEAD/CONTACT OFFICER: Assistant Director, Human Resources - Karen Irvine TELEPHONE NUMBER: 01622 692121 ext 8298 EMAIL: [email protected] BACKGROUND PAPERS: None

Item Number: C4

By: Assistant Director, Human Resources


Subject: CORPORATE HEALTH PERFORMANCE

Classification: Unrestricted FOR INFORMATION

SUMMARY

This report provides Members with an analysis of how the Authority has performed against the strategic Corporate Health indicators relating to Human Resources for the first six months of this financial year (ie, from 1 April to 30 September 2016).

The report also highlights the Authority’s intention to achieve reaccreditation against the Fire and Rescue Service Equality Framework by March 2017.

CONCLUSION


1. Consider and note the contents of the report.

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COMMENTS

Background

1. There is a suite of performance indicators which help to measure and monitor the Authority’s performance across a variety of areas. Two of these indicators, namely Staff Sickness (LPI 406) and Reportable Incidents (LP150), fall within the Terms of Reference of this Committee.

Staff Sickness (LPI 406)

2. In 2015/16, 2.62% of all contracted hours were lost due to sickness, which was better than the previous year (3.11%). For 2016/17, the target agreed by the Authority is 2.62% of contracted hours. For the first six months of the 2016/17 financial year, 2.63% of contracted hours have been lost to sickness for all staff, which is slightly higher than the year-end target.

3. For the year 2015/16, business support staff lost 2.37% of contracted hours to

sickness which was an improvement on the previous year (2.54%). So far this year (Apr-Sep), business support staff have lost 2.14% of contracted hours to sickness.

4. In 2015/16, operational staff lost 2.67% of contracted hours to sickness which was an improvement on the previous year (3.23%). So far this year (Apr-Sep) operational staff have lost 2.73% of contracted hours to sickness.

5. In September, the Authority undertook an assessment for the Kent and Medway Healthy Business Award. These awards are for businesses that have committed to improving the health and wellbeing of their workforce. The award uses the national framework which looks at how health and wellbeing is improved in the workplace through good leadership, communication and cultural change. Members will be pleased to note that the Authority has been successful in achieving this award, which will be presented later in November.

6. In its continued work around wellbeing, the Authority has identified that one of the key external factors that impact on an individual’s performance and wellbeing at work is financial pressure. Therefore, as part of its wellbeing work, the Authority is looking at putting in place a mechanism which will provide support and advice to colleagues to help with financial planning and debt management.

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LPI 406 – Staff Sickness (Percentage of available hours lost to sickness)

2012/13 2013/14 2014/15 2015/16 2016/17

KFRS Results

3.14% 2.57% ↑ 3.11% ↓ 2.62% ↑ 2.63% ↓

Reportable incidents (LPI 500) 7. RIDDOR-reportable injuries are those that the Authority is required to report to the

Health and Safety Executive under the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR).

8. There were five RIDDOR-reportable incidents during 2015/16 which is the lowest figure ever recorded. The Authority has agreed a three-year average target (2014/15 to 2016/17) of 17 incidents, a reduction of 3 from the previous three-year average target.

9. Since the update presented to the meeting of this Committee in July, there have been no further RIDDOR-reportable incidents, so the previously reported four incidents are still the only ones to have been reported for 2016/17 so far.

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LPI 500 - Incidence rate of RIDDOR-reportable incidents per 100,000 workers

2011/12 2012/13 2013/14 2014/15 2015/16 2016/17

KFRS Results

1,022

(17 incs)

733

(12 incs) ↑ 1,330

(22 incs) ↓ 1,232

(19 incs) ↑ 358

(5 incs) ↑

286

(4 incs) ↓

Fire and Rescue Service Equality Framework

10. In 2013, the Authority was awarded ‘Excellent’ under the Fire and Rescue Service Equality Framework, one of the first fire and rescue authorities to be awarded this level of performance. The accreditation lasts for three years. However, as a currently Excellent Authority, the option of a lighter-touch reassessment and, potentially, revalidation as Excellent for a further period of time has been offered to the Authority. This represents a good opportunity for the Authority to reaffirm its commitment to providing excellent services across the diverse communities of Kent and Medway.

11. The Local Government Association will be interviewing a number of Members and officers during March 2017. This will follow the submission of a refreshed self-

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assessment which is currently being developed. Members who are likely to be interviewed will be provided with a briefing in due course.

IMPACT ASSESSMENT

12. Comprehensive and reliable data allows the Authority to assess performance accurately, identify and rank areas of priority, steer policy development and direct resources and activity to ensure that the Authority’s plans are delivered effectively.

13. The Corporate Health indicators also help to ensure that the Authority is supporting and encouraging the wellbeing of its employees.

CONCLUSION


14.1 Consider and note the contents of the report.

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LEAD/CONTACT OFFICER: Corporate Governance and Risk Manager - Richard Feltham TELEPHONE NUMBER: 01622 692121 ext 8261 EMAIL: [email protected] BACKGROUND PAPERS: None

Item Number: C5

By: Corporate Governance and Risk Manager

To: General Purposes Committee – 8 November 2016

Subject: CORPORATE RISK UPDATE


FOR INFORMATION

SUMMARY

This report provides Members with details of the status of the revised Corporate Risk Register as at 30 September 2016.

CONCLUSION


1. Consider and note the latest position in relation to the key corporate risks potentially facing the Authority over the medium to long term (paragraphs 4 to 8 and Appendix 1 refer).

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COMMENTS Background

1. Paragraph 3(c) of the Accounts and Audit Regulations (England) 2015, which came into force on 1 April 2015, requires the Authority to ensure it has a sound system of internal control including effective arrangements for the management of risk. Risk management constitutes a key part of the overall governance of the Authority and helps ensure that its stated aims and objectives are achieved. Members are responsible for ensuring that a proper system for the management of risks is implemented and followed, and that they give due consideration to the potential risks facing the Authority as part of the decision-making process. To enable Members to fulfil this role, regular reports on the status of the Authority’s corporate strategic risks, together with any changes to the process in operation, are reported to this Committee.

2. The latest version of the Corporate Risk Register is presented for Members’ information twice a year, at the April and November meetings of this Committee, enabling Members to monitor the status of risks and ensure that these are being managed effectively by officers whilst also ensuring they are considered in developing policies and services for the future. The risks listed are those that are likely to influence the development of the Authority’s policies and plans over the coming five to ten years and are therefore, by their nature, medium to long term issues; recent emerging issues; or issues that may possibly materialise over that period. Keeping these under review is therefore essential to ensuring that the Authority’s policies and services evolve to address the changing needs of users and the environment in which it operates.

3. Attached at Appendix 1 is a summary of the current risk register, showing the 11 risks currently on the register. In accordance with the reporting process outlined at the Committee’s meeting on 14 April 2016 (Minute 36), this report only details those significant changes, amendments or new risks identified in the preceding six months.

Status of Corporate Risks

4. In general, there has been some improvement in the risk profile with some issues now felt to be less likely or less immediate. Some of the initiatives identified as additional control activity have now commenced but not all are completed so cannot at this stage be said to be reducing the risk, although progress will increasingly help the situation.

5. Significant progress has been made in improving IT resilience and security, with the appointment of a number of key post holders, including a data security

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manager. The completion of the rollout of encrypted laptops and phones over the next few months will reduce the risk of data breaches by removing the need for personal devices to facilitate remote working.

6. Of the 11 risks, one is regarded as severe, seven as material, and three as manageable. An arrow has been included, as requested by Members at the last meeting, to indicate the general direction of travel of each risk. Risk C1 has been re-worded to reflect a longer term view for the public sector funding risk rather than the specific risk issues arising from the 2015 spending review which has now been concluded.

7. In considering the risks, it should be remembered that, at this level, changes and developments happen relatively slowly, often due to Government policy or legislation, and sometimes as a result of developments within Kent and Medway. As such, providing that any significant changes are identified, it should be possible for policies and procedures to be adapted to deal with the risk. On rare occasions though, change happens relatively quickly, presenting a different risk scenario.

8. In future, the full risk register will be reported to the Corporate Management Board (CMB) on a quarterly basis, ensuring broader awareness of risk issues and improved resilience in managing any issues that may arise.

IMPACT ASSESSMENT

9. There are no direct impacts from this report which is for information only. However, some of the action plans developed may require resourcing. Any policy or project requirements will be developed, costed and submitted for approval in the normal way as part of the development of the Budget and Corporate Plan and, where required, submitted to Members for consideration. Members may notice that the 2016-18 Safety and Wellbeing Plan already contains actions and proposals that are designed to have a beneficial impact on some of the risks currently being managed.

CONCLUSION


10.1 Consider and note the latest position in relation to the key corporate risks potentially facing the Authority over the medium to long term (paragraphs 4 to 8 and Appendix 1 refer).

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Appendix 1

to Item No: C5

DRAFT STRATEGIC RISK REGISTER - SEPTEMBER 2016

Risk Tolerance Tables

The following Table sets out the Authority’s tolerance for risk and the measures that will be introduced, based on the combined risk scores.

Descriptor

Score Range

Definition

Very Severe 40-80 The Authority is extremely concerned about this risk as the impact is potentially highly disruptive for the Authority’s key objectives, projects or targets. Management action in the form of a comprehensive action plan is required immediately to reduce the risk and progress will be assessed by CMB.

Severe 20-32 The Authority is concerned about this risk. The consequences could have a significant impact for the Authority. The proposed action to reduce this risk to an acceptable level should be established and reported to CMB. Monitoring reports are required by CMB on a quarterly basis thereafter.

Material 12-16 The Authority is uneasy about this risk as the consequences, though not severe, will be disruptive to the delivery of the objectives. Proposals should be drawn up to reduce the risk to an acceptable level within six months and reported to CMB.

Manageable 1-10 The Authority is content to carry the risk as the likelihood and impact are within acceptable tolerances. The status of the risk should be reviewed regularly by the risk-owner to ensure that it remains within acceptable tolerances, and reported to CMB.

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DRAFT STRATEGIC RISK REGISTER - SEPTEMBER 2016

Risk Description Risk Owner Risk Manager Risk Status and Direction of Travel

C1: Ongoing financial savings requirements have an impact on the effectiveness of the Service and its ability to deliver its plans

Charles Kerr, Director, Finance

and Corporate Services

Alison Kilpatrick, AD, Finance

Material

Current Status: The new Government has yet to set out its proposals for public sector funding for the future, but there is some concern that the current four-year settlement might need to be revisited, requiring a revision of the MTFP. Longer term, the financial impact of the Brexit settlement and whether this will impact on public finances significantly remains unclear. The Chancellor’s Autumn Statement is expected to provide some clarity in this direction in the near future. The risk score has been reduced slightly but remains a material risk.

C2: Changes to the funding mechanism in relation to business rates and Council Tax create volatility in income levels year on year affecting financial planning assumptions.




Material

Current Status: The Government has consulted on returning FRA funding to a grant-based system rather than the current allocation of business rates. Whilst this might offer a more stable funding basis over time, it remains unclear whether the sums provided will match current income levels and whether the Government will use this to control FRA spending more tightly. The Director, FCS, continues to work with Government officials on behalf of the Fire Finance Network to influence policy, and Authority reserves are kept at an adequate level to accommodate any impact. However, there remains a risk that the impact will significantly reduce the Authority’s funding levels.

C3: The Authority incurs a major unfunded or uninsured financial impact which reduces reserves and impacts on financial planning assumptions.




Material

Current Status: The Fire and Rescue Indemnity Company (FRIC) has been in operation for a full year and continues to provide good protection against insurable risks with claims in the first year below projections. A risk management plan to improve controls around high risk activities has been agreed by the FRIC Board and will be implemented over the next two years by all nine FRIC member FRAs. However, a major incident or loss could occur at any time, impacting on the Authority and FRIC. Status remains material.

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C5: The Authority is unable to respond effectively to a major shift in population or population profile that requires the Authority to re-focus or relocate its services.

Sean Bone-Knell, Director, Operations

Martin Adams, AD, Community

Safety

Material

Current Status: Reports suggest a need for a significant number of new houses in Kent and Medway over the next 10-15 years. Officers continue to monitor planning proposals across the area and assess impact where identified. The Infrastructure Plan includes proposals to upgrade or update stations where needed and the Medium Term Financial Plan identifies finance to complete these works, but with ever-reducing resources this will eventually become more difficult. Note: Plans for the Ebbsfleet development are subject to a specific risk assessment (C7) due to the size of the project. No change to current risk status.

C6: The Authority is unable to secure sufficient suitable candidates for recruitment or promotion, reducing the effectiveness of its services.



Karen Irvine, AD, Human Resources

Severe

Current Status: Work has commenced on recruiting additional firefighters to ensure operational resilience. Work to create a cadet scheme has also commenced. Meanwhile the Authority has successfully recruited to three senior management positions in recent weeks. The issues created by this risk remain real however, and the risk remains severe.

C7: The scale of development planned in the Thames Gateway region creates a significant impact on resources across a wide range of Authority activities and areas.

Sean Bone-Knell, Director,

Operations

Martin Adams, AD, Community

Safety

Manageable

Current Status: The development company proposing the London Paramount site continues to work on a planning application which is now expected to be submitted in 2017. If and when approved, the development, alongside plans for Ebbsfleet Garden City, are likely to absorb a considerable amount of labour and construction resources, potentially making access to these harder or more expensive for the Authority. London Paramount is expected to generate 27,000 jobs and result in an influx of workers requiring housing and using the roads. The Authority will have a role to play in delivering a fire safety presence on the site as well as adapting to changing risks in the wider area due to the development and the increased traffic flows it generates. A watching brief has been established pending further details of the planning application and its impact. The risk remains unchanged at a manageable level at this stage but could escalate once details become known.

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C8: High staff turnover/staff reductions reduce the knowledge, competence and skill levels amongst operational firefighters, reducing operational performance.


Operations

Chris Colgan, AD, Response and Training

Material

Current Status: The ability to replace experienced staff as they retire is inevitably challenging. However, a number of senior posts have recently been filled by external candidates, bringing a fresh perspective and different experience to these roles. This risk remains a concern in the medium term.

C9: The Government imposes new duties or implements major changes to the structure, role or activities of the fire and rescue service requiring a major reorganisation.



James Finch, AD, Policy and Performance

Material

Current Status: The Police and Crime Bill places a duty on emergency services to explore collaboration and empowers PCCs to assume political control of fire authorities. This Bill has yet to gain Royal Assent, but is expected to do so in December 2016/January 2017. Whilst the Authority already collaborates significantly with Kent Police it will continue to look at other options where they offer advantages to both parties. The Kent PCC has indicated that he wishes to support these initiatives for the time being rather than use the powers to be granted in the Bill. A process for assessing and monitoring the benefits from these arrangements is being developed to support future proposals. Risk status is at target level for now, but remains material in the medium term.

C10: A key contract or partnership fails, leaving the Authority unable to replicate the failed service within available resources.


Operations

Paul Flaherty, AD, Channel Tunnel and Resilience

Material

Current Status: All existing significant collaborative arrangements continue to operate well and bring mutual benefits to all parties. KFRS is leading on a collaborative procurement exercise for PPE involving a number of partners and has put in place arrangements to protect the Authority’s interests in the event of any challenge. Risk rating is currently at the target level.

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C11: The Authority’s key IS systems are penetrated or compromised disrupting service delivery or involving loss of personal data.




Manageable

Current Status: The Authority has now been accredited under the Public Service Network (PSN) Code of Connection (CoCo). This requires an independent assessment of IT and data security standards and supports interconnectivity with other PSN-accredited authorities. Additional resources have been invested in IT including access to the services of an external security expert and additional staff, including a data security manager to improve resilience, security and capacity within the IS team. Roll-out of encrypted laptops and phones to staff is well underway, removing the need, and therefore the risk, for personal devices to be used for remote working. This risk is improving with the introduction of these measures and is now within acceptable parameters.

C12: Systems development and replacement fails to keep pace with technological advances, limiting opportunities for efficiencies and better services.




Manageable

Current Status: A number of new posts have been agreed to increase capacity within the IT team to support the roll-out of new developments. A strategic move to Cloud-based technology has been agreed which will facilitate an easier adoption of new systems and software in the future. The three-year IT Infrastructure Plan is being amended to reflect this decision. The roll-out of encrypted laptops and mobile devices, currently underway, also enables greater access to new systems and software. This risk is within acceptable tolerances with the current controls in place.

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LEAD/CONTACT OFFICER: Assistant Director, Channel Tunnel and Resilience - Paul Flaherty TELEPHONE NUMBER: 01622 698212 ext 8202 EMAIL: [email protected] BACKGROUND PAPERS: None

Item Number: C6

By: Assistant Director, Channel Tunnel and Resilience (as Chairman of Pension Board)


Subject: PENSION BOARD UPDATE


FOR INFORMATION

SUMMARY

This report provides Members with the minutes of the latest meeting of the Authority’s Firefighter Pension Board.

CONCLUSION


1. Consider and note the contents of the report.

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COMMENTS

Background

1. As Members will know from previous reports, the Public Service Pensions Act 2013 required Pension Boards to be established for the public service pension schemes for civil servants, armed forces, health service workers, teachers, judiciary, police, firefighters and local government workers, in order to help to ensure that each scheme complies with the governance and administration requirements as set out in the Act. In accordance with the Act, the Authority established a Pension Board in relation to the Firefighters’ Pension Schemes.

2. The National Pensions Board has recently had a Chair appointed and regular updates regarding the various pension schemes are now being received.

3. In order to keep members of the various schemes up to date, the Authority now publishes detailed guidance and information on the changes being made in relation to pensions on its intranet. A number of pension seminars have also been held recently for staff, to advise them on the implications of the latest changes, particularly around annual and life-time allowanaces. These seminars have been well received by staff.

4. The minutes of the last meeting of the Authority’s Firefighter Pension Board are attached at Appendix 1 for Members’ information.

IMPACT ASSESSMENT

5. The Committee receives the Minutes of Firefighter Pension Board meetings so that Members are kept informed of the issues discussed and can be reassured that the Authority is complying with its duties under the Public Service Pensions Act 2013.

CONCLUSION


6.1 Consider and note the contents of the report.

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MINUTES OF THE FIREFIGHTER PENSION BOARD MEETING

TUESDAY 5 JULY 2016

Present: Paul Flaherty (PF) KFRS (employer representative) James Finch (JF) KFRS (employer representative Mark Simmons (MS) FBU Representative (employee representative) Lawrence Pater (LP) FOA Representative (employee representative) Andrew Bayne (AB) Senior HR Policy Adviser Kay Banfield (KB) Head of HR Policy Marie Curry (MC) Deputy Clerk Apologies:

NEXT MEETING Date: 19 October

Venue: Fordham Room

Time: 10.00hrs

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1. Minutes of the last meeting held on 21 March 2016

Risk Register (Minute 4) AB reported that he has met with Richard Feltham to look at the corporate risks in terms of

Pensions and will be working on completeing this over the coming weeks. AB will report back to the next meeting on outcomes. (Action: AB)

Pension Audits (Minute 10) AB confirmed that KCC undertake an annual audit of all leavers paperwork as part of the

scheme membership but there was no specific audit carried out on pensions. PF asked whether there was an audit report being used as part of the SLA renewal. JF also said that internal audit will pick up some element of audit on pensions as part of the Statement of Accounts.

Pension Board Members Training (Minute 11) AB reported that the training for those board members who were available took place at the end

of May. AB to give some thought to additional training before the next meeting. MS asked whether there was any regional training planned. AB to discuss at the next meeting (Action: AB).

The minutes of the meeting held on 21 March 2016 were agreed. 2. Service Level Agreement Update

AB reported that negotiations on the Authority’s options were still being looked in to. MS asked again for a copy of the SLA to be circulated to Board Members (Action: KB/AB)

3. Latest Position on G&P Reconcilliation

AB said that the reconciliation has now been concluded by KCC and the records are being agreed with HMRC. AB had no further update at this time so will report back to the Board at its next meeting. (Action: AB)

4. Scheme Manager Discretions Summary

AB reported that there were no discretionary items for the Board to consider at this time. MS asked again whether a summary of each discretion could be added to the pension board intranet site for scheme members to view. PF asked KB/AB to action. (Action KB/AB)

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5. Highlight Report

KB reported that the recalculations in respect of Norman Vs Cheshire are nearly done. The implication for the Authority is around the reclaim of retrospective contributions from existing employees and those who have left the organisation since April 2009 . Existing personnel have been offered options to either pay regular instalments which can be deducted directly from their salary or to make the payment from their lump sum at retirement. MS reitereated that there is still some confusion around day-crewed earnings and holiday pay and the feeling is that the contributions will be given back once holiday pay has been received. KB/AB will provide an update on the latest position at the next Board meeting . (Action: KB/AB) Following a query raised at the last meeting from LP as to whether a calculator tool could be added to the intranet to enable staff to calculate their own pensions, AB raised his concerns that with the complexity of the different schemes, adding a tool where staff can do this will only lead to confusion and inaccurate figures. MS asked whether worked examples for each scheme could be added to the intranet instead. AB said that the scheme guides already have basic examples of methodology and these are on the intranet for staff to access. KB agreed to make enquiries through the Regional Groups to see whether other authorities are using any type of calculating tools and bring back to the Board for further discussion. (Action: KB) MS asked whether the Board is going to receive a comparison report giving a snap shot on how many members are in each scheme in particular the comparisons between 2015/16 and 2016/17 so the Board can see the variance. PF asked KB/AB to action this for the next meeting. (Action KB/AB).

6. RDS Modified FPS Retirees

MS asked for an update on the lastest position. AB said that the information has now been processed and is being finalised to go to KCC to make payment.

7. Staff Seminar

PF confirmed that the Pension Seminars are in place and happening. Dates have been communicated out via the e-bulletin.

8. AOB

• KB said that Pension Buy Back is in progress and is planned to be done by October 2016.

• The date of the next Pension Board meeting will take place In October. MC to source a suitable date. (Action: MC)

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