meeting to be held on monday 30 september 2013 …...2013/09/30 · 1 of 2 cornwall housing board...

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CORNWALL HOUSING BOARD MEETING

Meeting to be held on Monday 30 September 2013 Trelawny Room, New County Hall, Treyew Road, Truro, TR1 3AY

6.30 pm (or immediately following the close of the AGM) – Board Meeting

Please note that the timings are approximate and dependent on the closing time of the AGM

AGENDA 1. Appointment of Chair and Vice Chair and Committee Membership (6.30 pm-6.45 pm)

(attached) – Managing Director and Chair 2. Welcome and Apologies 3. Declarations of Interest 4. Minutes of meeting held on 29 July (attached) (6.45 pm-6.55 pm) 5. Questions received from Customers (6.55 pm-7.00 pm) 6. Verbal update from the Chair (7.00 pm-7.15 pm) 7. Verbal update from the Managing Director (7.15 pm-7.30 pm) 8. Feedback from Shareholder (7.30 pm-7.40 pm)

FOR DECISION:

9. Review of Governance (attached) – Jane Barlow (7.40 pm-7.55 pm) 10. Risk Assurance and Management Framework (attached) (7.55 pm-8.10 pm) – Emma Blatchford

FOR NOTING:

11. Update from Committees: (8.10 pm-8.25 pm)

(a) Property Development (attached) – Adrian Pengelly (b) Customer Focus (attached) – Cathy Hadfield/Pete Jarman (c) Performance and Delivery (to follow) – Emma Blatchford (d) Finance (attached ) – Jeanette Beavors

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12. Any Other Business (8.25 pm-8.35 pm) 13. Next Meeting: Monday 28 October 2013, New County Hall 14. EXCLUSION OF THE PRESS AND PUBLIC (8.35 pm-8.45 pm)

The Board is asked to consider a resolution that the press and public be excluded from the meeting by virtue of Category 3 (Information relating to the financial or business affairs of any particular person (including the authority holding that information) on the grounds that there is likely to be a disclosure to the public of exempt information

Confidential Minutes of the Meeting held on 29 July 2013

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Cornwall Housing Limited

Agenda No: 1

Report to: The Board

Part 1 Report

Date: 30 September 2013

Title: Appointment of Chair and Vice Chair and Committee Membership

Author: Jane Barlow Role: Managing Director

Contact: 07515 896029 / 01209 614322 / [email protected]

For Board reports only

Committee:

Date:

Recommendations:

1. That the Board appoint Nick Ball as Chair until the Annual General Meeting in Autumn 2014

2. That the Board appoint Martin Emery as Vice Chair of the Board until further notice

3. That the Chair and Vice Chair draft a role profile for the Vice Chair, to be brought to the next Board for approval

4. That the Board agree the appointment of the new Council nominees to the Board to the Committees as outlined in Appendix A

5. That the Board consider the vacancies on committees and nominate Board members to fill the vacancies.

1. Executive Summary:

This report outlines the process used to gather nominees for the roles of Chair and Vice Chair and identifies the nominations made. This is required in the case of the Chair by the Company’s Articles of Association, and for the Vice Chair due to the resignation from the Board of the former incumbent. It also highlights the need for a clear Role Profile for the Vice Chair. The report also considers the current vacancies on the Committees following the elections and changes to our Council nominees and recommends the filling of vacant posts.

mailto:[email protected]

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2. Background and Cornwall Housing Objectives:

Good governance is a key objective of Cornwall Housing, and the appointment of both Chair and Vice Chair is crucial for the Company. Cornwall Housing’s Articles of Association require that the Chair stand down at the first Annual General Meeting (and at each subsequent AGM). The AGM is to take place immediately preceding this Board meeting and a Chair must therefore be appointed by the Board. The Vice Chair appointment is not determined by the Articles and is for the Company to decide on both process and duration. The former Vice Chair, Gerald Chin-Quee, resigned from the Board in 2013 and the role is therefore currently vacant. Following the Local Government elections in May 2013, the Council nominees to the Board have changed, with 4 of the 6 nominees being new to the Company. This has resulted in some vacancies on committees which need to be filled to ensure that the committees can be quorate and able to make the decisions required of them. 3. Decision and Supporting Information (Including Options):

3.1 Election of a Chair and Vice Chair The Board approved the process for election of the Chair and Vice Chair at their meeting in July 2013. It was agreed that Board members would declare any interest in standing for either post during the month of August. It was also agreed by the Board at their meeting in July that the roles would be reserved for Tenant and Independent Board members, and that both groups would be represented (eg if there were an Independent Chair, that there would be a Tenant Vice Chair and vice versa). There was one expression of interest in the role of Chair – Nick Ball, and one expression of interest in the role of Vice Chair – Martin Emery. 3.2 Role of the Vice Chair The Board agreed at their meeting in July 2013 that the role of Vice Chair would benefit from some clarification and by the development of a role profile. It was agreed that the new Chair and Vice Chair would draw up a suitable draft role profile for consideration by the Board. 3.3 Committee Membership Subsequent to their appointment to the Board, the new Council nominees have been asked to advise of their preferences for committee membership. The table at Appendix A advises the Board of the proposed allocation of committees. Every attempt has been made to meet with preferences but this was not possible in all cases, particularly in relation to Property Development which was very popular. Some vacancies still exist on committees due to the resignation of Gerald Chin-Quee and the Board is asked to indicate where they may be willing to sit on additional committees to ensure that there are sufficient members to comply with the requirements of the Terms of Reference.

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4. Financial Implications and Budget:

There are no additional financial implications arising from this report. 5. Other Resourcing Implications:

There are no significant additional resource implications arising from this report, other than the need for any training to be provided for Board members joining new committees. 6. Equality Impact Assessment:

No EIA required for this report 7. Significant Risks:

There are no significant risks arising from this report. 8. Consultation carried out including staff, SMT, Directors,

specialist advice and the community:

Board report in July 2013. 9. Board committee: (For Board reports)

Supporting Information

Appendix A – committee members Background Papers: None Approval and Clearance of Report

Report cleared by: Jane Barlow Date: 16 September 2013

Customer Focus Assets Performance and Delivery

Property Development

Audit Finance Remuneration

John Harris (C) Joanne Marks John Bailey Tony Canton Mary May Vacant Supporting PA: Lynne Carr

Martin Emery (C) Joe Cooke Nathan Waller Daiman Baker Ann Kerridge Supporting PA: Jane Aldridge

Nick Ball (C) Shelley Thornton Peter Ledson Tony Canton Joanne Marks Roy Taylor Supporting PA: Brenda Edwards

Peter Ledson (C) John Harris Martin Emery Derris Watson Steve Chamberlain Supporting PA: Jane Aldridge

Shelley Thornton (C) John Bailey Tony Canton Joanne Marks Vacant Supporting PA: Brenda Edwards

Martin Emery (C) Nick Ball Peter Ledson John Harris Malcolm Moyle Vacant Supporting PA: Brenda Edwards

Nick Ball (C) Peter Ledson John Bailey Vacant Chief Executive, Cornwall Council* Supporting PA: Michelle Pattison

Committees and Membership of Cornwall Housing Board

Appendix A

* By invitation on matters of MD salary only

Minutes Meeting Title: Board Meeting

Date: 29 July 2013

Time: 18:00

Location: Council Chamber, St Austell One Stop Shop

Chaired by: Martin Emery

Attendees:

Joanne Marks Board Member John Bailey Board Member John Harris Board Member Tony Canton Board Member Derris Watson Board Member Peter Ledson Board Member Nathan Waller Board Member Steve Chamberlain Board Member (from point mentioned) Ann Kerridge Board Member Mary May Board Member Roy Taylor Board Member Adrian Pengelly Director of Assets Cathy Hadfield Director of Housing Options Jeanette Beavors Director of Finance Pete Jarman Director of Landlord Services Nicky Mannell Independent Living Service Manager Michelle Pattison PA to the Managing Director Mrs Harris Tenant Representative Paul Putnam Grant Thornton UK (to point mentioned)

Apologies: Nick Ball Board Member (Chair) Daiman Baker Board Member Joe Cooke Board Member Shelley Thornton Board Member Malcolm Moyle Board Member Jane Barlow Managing Director Emma Blatchford Head of Resources Michael Crich Corporate Director of Resources

Minutes Action

1 Welcome

Martin welcomed the new Councillor Board Members to their first meeting.

2 Minutes of the Meeting held on 24 June 2013

The above Minutes were agreed. Housing Asset Management System – Tony advised that a proposal would be submitted to withdraw the current procurement of this system and re-procure the software with an enhanced specification to meet new legislative requirements. A full report would be presented to the next meeting.

TS

3 Statutory Accounts

Martin introduced Paul Putnam from Grant Thornton UK, Auditors, and thanked him for attending the meeting. Jeanette referred to the Annual Report and Financial Statements and to the Profit and Loss Account on page 17 which indicated a surplus of £1,015M retained profit for the period and the balance sheet indicated a reserve balance of just short of £3M, which was in line with the position previously submitted to the Board so there were no movements to report back to Board. Paul referred to the Key Issues Memorandum from Grant Thornton UK to Cornwall Housing which was the standard document required to report on any audit findings and subsequently confirm governance arrangements. Paul reported that there were no adjustments to report which was very unusual and was testament to the quality of the working papers produced by Cornwall Housing. Two key points were highlighted, the largest area of risk was in respect of the pension scheme but full guarantee had now been provided by the Council resulting in no liability associated with Cornwall Housing Ltd. However, Cornwall Housing continued to contribute to the fund each year and these costs were reflected within the accounts. The other element was around the termination of the previous repairs contracts (Mears and Ocean) and the potential that the accrued costs included within the accounts may be insufficient to cover all costs arising on termination. Although processes had been put in place to ensure the accruals were as accurate as possible, it was common for unknown costs to arise at a much later date when contracts were terminated. Paul stated that the accounts were now complete and reflected a true and fair view. Jeanette advised that Nick had requested that he sign-off the

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Minutes Action accounts on behalf of the Board so the accounts had today’s date, but that would need to change to the date that Nick signed the accounts. The Board was therefore requested to approve the accounts with delegated authority to the Chair to sign-off. It was proposed by John Bailey, seconded by Joanne Marks, and RESOLVED that: The Statutory Accounts for the year ended 31 March 2013 be approved with delegated responsibility given to the Chair to sign-off the documents. (Paul Putnam left the meeting)

4 Verbal Update from the Chair

Martin referred to the recent residential Away Day which was very beneficial, particularly in relation to the skills/training analysis. Martin had attended the National Federation of ALMOs Annual General Meeting, together with John Harris, Nick Ball and Jane Barlow. The event was interesting and highlighted that Cornwall Housing was as far ahead generally than any other ALMO. Martin confirmed that Gerald Chin-Quee had resigned from the Board therefore leaving a vacancy as Vice-Chair of the Board which was the subject of a report on the Agenda. Martin advised that John Harris had achieved a BA with honours in Art History and the Board extended their congratulations.

5 County-wide Tenant Participation Compact, Policy and strategy

Emma referred to the circulated documents and advised that Cornwall Council inherited three tenant participation agreements (Compacts) from the former districts. It was a year one work programme task for Cornwall Housing to review these agreements with tenants, and agree a single Compact and supporting documents for all Council and Cornwall Housing tenants. A draft single Tenant Participation Compact, Policy and Strategy was produced by the Tenant Forums’ joint working group, and circulated for consultation last autumn. Feedback was received from tenants’ groups, the tenants’ forum ITA, tier 3 staff, Directors’ Leadership Team (DLT), the Board, the Council’s Commissioning Team, and the Council’s Housing Task Group. Following that feedback, the drafts were revised and put to all tenants and leaseholders for consultation. Tenants contacted us from across our

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Minutes Action service area in support of the proposals. The Compact and Policy were due to be considered and agreed by the Council’s Homes and Communities PAC on 5 September. Emma advised that a working group was formed in order to develop 4 sets of documents, three of which were for approval as part of this report. The fourth document relating to the Core Standards to form supporting documentation to the Compact was presented to the Customer Focus Committee on 18 July and would be taken to the tenant forums on 12 August. The Tenant Participation Compact would help deliver the company objectives (Excellent Housing Services; Better Governance and Tenant Involvement; and Efficient use of Resources), along with delivering the Council’s duties under the 1985 Housing Act to consult tenants and publish these arrangements. Emma outlined the difference that tenant participation made and that there was a strong business case for involving tenants, ensuring effective business management. Having such a formal structure created partnership working between the customers, Cornwall Council and Cornwall Housing. It created a pro-active process to how the Council, the ALMO and tenants work together to improve services. It was proposed by John Harris, seconded by Ann Kerridge and RESOLVED that the Board approve the:

Tenant Participation Compact Agreement; Tenant Participation Policy; and Tenant Participation Strategy

6 Process for the election of Chair and Vice-Chair

Pete Jarman referred to the submitted report on behalf of Jane and explained that in accordance with the Articles of Association, it was necessary for the current Chair of the Board to stand down at the Company’s first Annual General Meeting. In addition, and as previously discussed, the Company’s Vice-Chair had resigned. Pete referred to the relevant section within the Articles of Association which set out the arrangements for the appointment of the Chair of the Board and also gave the Company the decision of whether or not to appoint a Vice-Chair.

The first Annual General Meeting would be held on Monday 30 September, at which point the current Chair, Nick Ball, would stand down. In addition, Gerald Chin-Quee, the Vice-Chair of the Board, had recently tendered his resignation from the Board due to work commitments. When the Chair was appointed initially, the Board agreed that the Chair would be selected from the groups of Tenants or

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Minutes Action Independents on the Board and it was only these 12 members who were invited to express an interest in the role. It was also agreed at the time that following the appointment of the Chair, the Vice-Chair would be appointed from the other group of members of the Board, so if the Chair was an Independent, the Vice-Chair would be a Tenant, and vice versa. These stipulations were agreed by the Board but not included in the Articles of Association, so the Board was able to revisit these if it so wished. At the Board Away Day in July, those members of the Board who were present considered the situation and developed the following proposal for the Board’s approval. The Chair was not present for this discussion. It was proposed that the appointment would be made in line with the previous arrangements agreed by the Board and outlined above, ie that the Chair and Vice-Chair be elected from the Independent and Tenant groups of Board Members and that once the Chair was elected, the Vice-Chair be elected from the other group. The Managing Director would contact all members of the Board following the July meeting, should the proposal be approved, and would invite any Tenant or Independent Board Members to express an interest for the roles of Chair and Vice-Chair by the end of August. The Board would be advised of those who put their names forward in early September. A Board meeting would be held immediately following the AGM on 30 September, at which meeting the Chair and Vice-Chair would be appointed. In the event that there was more than one name for a role, the candidates would be asked to give a 5 minute presentation to the Board on why they considered themselves to be the best candidate and a vote would follow. The Chair would be appointed first, followed by the Vice- Chair. At the Away Day, Members of the Board also considered whether a Role Profile should be developed for the Vice-Chair and proposed that this should be put in place to enable the Vice-Chair to fulfil other functions than simply deputising for the Chair. For example, the group wished to consider how they may improve the links with the Tenants’ Forums, and felt that the Vice-Chair could play a very useful role as link between the Board and the Forums and ensure that their views were fed into the Board discussions. A role profile would therefore be drafted by the Chair and Vice-Chair once appointed, for approval at a future Board meeting. It was proposed by Derris Watson, seconded by Tony Canton and RESOLVED that the Board approves the proposed process to elect the Chair and Vice-Chair of the Board of Cornwall Housing.

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Minutes Action

7 Update from the Committees

Audit Committee – Jeanette Beavors advised that the Audit Committee had met the previous week and considered the Statutory Accounts, as well as progress on the internal audit programme and audit plan for next year. Jane Barlow also attended and presented the Statement of Internal Control. The committee also discussed risk management. It was proposed by Joanne Marks, seconded by Nathan Waller and RESOLVED that the Board:

1 Note the findings of the Audit Committee; 2 Approve the Statement of Internal Control; and 3 Approve the Terms of Reference for Audit Committee

Customer Focus – Peter Jarman advised that in June the committee discussed the Tenant Participation Compact, Policy and Strategy, as well as the Customer Involvement Expenses Policy and a confidential report on the Independent Living Service. Cathy Hadfield explained the Housing Options Gold Standard which was based on a set of ten challenges to ensure the delivery of efficient and effective housing prevention services and was recommending to the Board that a member of the committee was elected as the Gold Standard Champion. It was proposed by John Harris, seconded by John Bailey and RESOLVED that Joanne Marks be elected as the Gold Standard Champion. Finance Committee – Jeanette Beavors advised that the draft Medium Term Financial Strategy was discussed and it was agreed that consultation should commence with the Council with the aim being to finalise the strategy and present back to the next Finance Committee. The committee also considered the Welfare Reform monitoring report which demonstrated that the implications were being contained with the set budget as at Quarter 1, although it is likely that the implications would increase later in the year, as further elements of welfare reform came into force and pressures increased on tenants to meet additional costs such as heating. Property Development – Adrian Pengelly advised that the committee discussed the unsuccessful bid for the redevelopment of Albion Court and the requirement to look at funding for the upgrade but there was a capital sum to put towards the scheme. Business cases were also discussed but these would be covered under the confidential session of the meeting.

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Minutes Action Performance and Delivery – Joanne Marks advised that a meeting had been held in June and there was a subsequent meeting in July. The committee signed off the Scheme of Delegation and the performance report for the first quarter. There was a proposal from Jane regarding the appointment of a Business Development Manager and the details would soon be circulated to the committee for approval. There was a discussion about the Forward Plan and the committee felt that it will still unclear what should be included in this document and a request for the Directors’ Leadership Team to ensure consistency with this document. The Flexible Working and Workbase Relocation Policies were also discussed and the proposed changes to those documents were approved.

8 Any Other Business

Future venues for Board Meetings - Peter requested that future Board Meetings be held in a more informal room in the future, as opposed to a Council Chamber. Feedback from Residential Away Day - The Board generally discussed receiving feedback from the Residential Away Day, including details on the skills/behavioural exercise.

MP

JB/NB

The Board resolved that the public be excluded from the meeting by virtue of Category 3 – Financial and Business Affair (including those of the organisation).

The meeting closed at 19:45.

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Agenda No: 9


Part 1 Report


Title: Review of Governance

Author: Jane Barlow Role: Managing Director

Contact: 07515 896029 / 01209 614322 / [email protected]


Committee:

Date:

Recommendations:

1 That the Board note the report and approve the proposed next steps set out in section 3 of the report.


Cornwall Housing Board has, as one of its objectives, to ensure that there is good governance of the company. Ensuring good governance not only requires that there is an appropriate structure and procedures in place, but also that the governance arrangements be regularly reviewed to ensure that they are effective and fit for purpose. The Board held a residential away day in July, at which they focussed on how the Board worked, what members as individuals bring to the Board, and what could be improved. This report summarises the findings of the away day and proposes a programme of improvement. Clearly not all of the present Board were able to attend the away day, and those members not able to attend may have other views and comments to add to those outlined in this report. 2. Background and Cornwall Housing Objectives:

Good Governance is a key objective of Cornwall Housing. It is also a performance measure within the company’s balanced scorecards.


The Board has worked hard in its first 18 months to ensure that the Board and its committees are fit for purpose and provide the company with the appropriate strategic direction and scrutiny required, and that decision-making is clear and fit for purpose. Reviewing effectiveness is an ongoing requirement and, to start this process, the Chair held individual review meetings with all members of the initial Board of the Company during Spring and early Summer. This information helped inform the residential Board away day in July, the objectives for which were to:

1. identify behaviours of the Board members and therefore gaps in

particular behaviours of the Board as a whole 2. identify the strengths and weaknesses of the Board 3. identify training requirements and a Board appraisal process 4. build Board member relationships.

2.1 Summary of the away day 2.1.1 Board member behaviours An HBDi enquiry session, led by Cornwall College, was undertaken to identify the preferred behaviours of the Board members. The majority of those Board members present at the away day had completed an on-line questionnaire prior to the day. The outcome of the session was very clear, that of those present, there were more preferences for Blue (logical) and Green (organised) behaviours, and a lack of yellow (holistic) and red (interpersonal) behaviours. The Board found the exercise very informative and a largely accurate assessment of their behaviours. A summary of the findings can be found at Appendix B, and a sample assessment (that of the Chair) can be found at Appendix D.

The following link provides an overview of HBDi: http://www.hbdi.com/WholeBrainProductsAndServices/programs/thehbdi.php

2.1.2 Group assessments of the governance of the company

An exercise was carried out in two groups – Board members and executive directors – to consider the findings of the behaviours exercise and to consider how we can learn from this. The feedback from the two groups was very similar and is found at Appendix B and summarised below:

i. There is a need for the company to better understand its customers, both existing customers and potential future customers. This is particularly necessary in Housing Options which is less familiar to the Board.

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http://www.hbdi.com/WholeBrainProductsAndServices/programs/thehbdi.php

http://www.hbdi.com/WholeBrainProductsAndServices/programs/thehbdi.php

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ii. The Board should consider the creation of Red and Yellow (HDBi) behaviour champions, to ensure we have focus on areas which are not necessarily the Board’s natural preferences.

iii. Other Board members who have not carried out the HDBi enquiry should be encouraged to do so, to build-up the whole picture.

iv. When vacancies come up on the Board, we should take account of the behaviour preference of new members, when making appointments. Such consideration will of course be one of a wide range of assessments made in the selection process.

v. Board reports should include specific reference to impact on people and the wider vision of the company.

vi. We need to strengthen links between the Board and the tenant forums.

vii. More focus on the strategic direction of the Board and company.

2.1.3 Feedback from individual discussions with the Chair and Board members

The presentation by the Chair can be found at Appendix A, which gives full detail of what Board members felt had gone well and not so well in year one. It also lists some recommendations for change which are summarised here:

i. Involve senior Council staff more

ii. Remove any geographical split from former companies

iii. Optimise the relationship with the Council

iv. Engage with the NE of the County of Cornwall

v. Board reports should “lead” us to the right decision

vi. Mentoring

vii. Review Board and Committee Structure, both size and frequency

viii. Develop summary KPIs

ix. Re-affirm commitment and availability of Board members

x. Consider formal appraisal processes for the Board.

2.1.4 Summary of group session regarding the structure and operation of the Board

The final exercise at the away day was to consider the Board structure and operation. A full list of the comments made can be found at Appendix C. A summary of the key issues discussed is as follows:

i. Size of the Board

The general view was that the Board is too big, and would be able to operate more effectively and efficiently if it were smaller. There was some debate on the overall size and the ratio of Council nominees, Independents and Tenants, but by the end of the discussions, 12 was the preferred number with 4 members of each group. There was then some concern about the impact of a limited

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pool of Board members to enable the Committees to be serviced. A suggestion was to use co-optees on the committees.

ii. Role of the Vice Chair

It was recognised that the Vice Chair had not been given a specific role within the Board other than to deputise in the absence of the Chair. There was agreement that this needs to change to make better use of the role and to provide support to the Chair.

iii. Board and Committee operation

There was a discussion regarding the frequency of meetings and the structure, with many differing views. There were some key messages – Finance Committee to be retained, Committee chairs to consider frequency of meetings, and Board meetings to be held 9 times per year with then 3 away days, one of which should be residential each year.

iv. Timing of changes and consultation required

There was some debate, with some appetite for quick change as everyone had identified that the current size of the Board was less effective. Others felt there should be some stability, with a change at the 2014 Annual General Meeting.

2.1.5 Initial discussions with the Shareholder and legal opinion

As requested by the Board members at the away day, the Managing Director has had initial discussions with the Shareholder and also sought views of the legal service regarding potential changes to the Articles of Association.

The Shareholder understands the views of the Board regarding size, and is happy for the company to further develop its proposals to enable the Shareholder to give a formal view in due course.

Legal advice is that changes to the Board structure are possible, both in the areas of the creation of an “executive Board” and the introduction of co-optees onto the Committees. There are areas which we would have to consider to ensure that we both protect the company and also any co-optees, but these are not barriers to making the changes if the Board wishes to follow either option.

The legal service has also advised on the consultation required to change the Articles of Association. Article 31 requires that no changes shall be made without prior consultation with the Tenant Forums, which would be therefore the starting point.

Any decision to change the Articles is a Shareholder decision. The company would need to pass a special resolution and the Council would then need to pass a written resolution.

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3. Decision and Supporting Information (Including Options):

Considering the findings of the away day and individual interviews, there are some clear themes and areas for potential improvement which are summarised below, with proposals on next steps for each area: Issue Proposed next steps Board and committee structure and operation

1. Chairs of committees to be consulted regarding frequency and operation of individual committees, and links to the sub groups of the tenant forum.

2. Report to be brought back to the Board in October 2013, with a proposal for moving to a Board of 12 and using co-optees on committees, and identifying next steps and a timescale for consultation and decision making.

Board Development and behaviours

1. Develop Board training plan – to be brought to the Board in November 2013.

Strategic Direction of the Board

1. Agree now to move to 9 Board meetings per annum and to hold 3 away days per annum, one being a residential, to consider strategic issues. 2. The next away day to be held before Christmas and to consider other improvements suggested by the Board including closer working with senior Council staff and engagement with more remote areas.

The role of the Vice Chair 1. A role profile to be developed, to be brought to the Board for approval in October 2013.

4. Financial Implications and Budget:

There are no additional financial implications arising from this report. 5. Other Resourcing Implications:

There are no significant additional resource implications arising from this report. 6. Equality Impact Assessment:

No EIA required for this report 7. Significant Risks:

There are no significant risks arising from this report. There may be a risk for the company of not achieving ongoing good governance if we do not develop our action plan and deliver improvements.

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8. Consultation carried out including staff, SMT, Directors, specialist advice and the community:

Board away day – some Board members and Directors Leadership Team Individual Board member discussions with the Chair. 9. Board committee: (For Board reports)

Supporting Information

Appendix A – Presentation to Away Day by Nick Ball Appendix B – CHL away day – summary of day one feedback Appendix C – CHL away day – Group feedback exercise on Board operation. Appendix D – Nick Ball’s HDMi assessment Background Papers: None Approval and Clearance of Report

Report cleared by: Jane Barlow Date: 18 September 2013

Board 1 to 1s FEEDBACK

WHAT’S GONE WELL

• The transition to the New Company• Outturn in 12/13 – all key targets

met• Staff have moved on with us• DFTs coming together• Great top team• Board Community• Training

What’s gone badly• Relationship with the Council

– Too controlling– Slow to respond– IT and ESR– Councillor interest

• Connections with Forums• Committees

– Scheme of delegation– Attendance– Chairing

• Vice-Chair• Pay assimilation• Comms between Board members• Size of Board

What should we do Differently

• Involve senior council staff more• Remove any geographical split• Build a different relationship with the

Council• Engage with the NE of the County• Board reports should “lead” us to the

right decision• Mentoring

What we should do differently (2)

• Review Board and Committee structure–Size–Frequency

• Develop summary KPIs• Re-affirm commitment and

availability• Consider formal appraisals processes

for Board

CHL:

Away Days July 2013

Quadrant Summary

We have many here

We need more here

We have many here

We need more here

Quadrant Summary

Counterbalancing and voices of

customers needed here and

here

Moving forward Let’s take more input

and reports from

Tenant Forums; thru

teaming Martin and

Emma B

More board member

attendance at Tenant

Forums [new

councillors?]

Quarterly “visioning

days” for idea

generation between

tenant reps and board

[committee?]

• What exactly does

this look like?

• Focus on

deliverables next

year

From Kathy, we’d

like more data on:

• Current

customers

• Potential

customers

When vacancies

come up, recognise

the behaviours we

are short of.

Create behaviour

champions in Board

meetings to ensure

Red and Yellow

voices are heard.

Officers to try to be

more specific in

reports wrt impact

on people, vision.

Find out about the

other Board members’

behaviours.

Invite independent

eval of Board

meetings; part of

annual review?

Use empathy maps

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Board Away Day – Group Feedback Exercise The Board Members were asked to consider a number of questions in small groups and feed back their collective thoughts. Size of board

Reduce Councillors on board (now there is a better relationship with CC) Some groups suggested an equal number of each of the groups. Perhaps now that the six councillors are people who have chosen to be

on the Board, equal numbers would no longer be an issue. Equal numbers would provide a balance of skills/depth of discussion.

Of those suggesting unequal numbers, the majority wanted fewer councillors. Other groups suggested a higher ratio of tenants, with an even number of independents and councillors.

The majority suggested reducing the overall size of the Board (to between 12-14 people). One group suggested keeping it as it is.

Smaller Board would be easier to manage but would perhaps increase pressure on the Board.

Would there be enough people for the committees (currently need three on each one)? Could consider having 2x Board 1x specialist. Is this too much risk?

Would the Council be likely to object to unequal numbers? Would parity be easier to sell/discuss?

If change constitution would also need to consult tenants. Keen to fit round a table, have balance, reassure CC. Run as now until September 2014 (Too long? Consistency?) 4 6, 4 4, 4 4 (12/15/18) Also commented that when tenants are re-elected need to make sure its

a fair process (are there details in the constitution?)

Suggested combinations: Councillors Tenants Independents 6 6 6 4 4 4 (second most popular) 4 6 4 (most popular) 3 5 5

Towards the end of the day size of the Board was discussed again. The general consensus seemed to be that 18 is too big and 12 would be more effective. However, would need to consider how this would work with the committees. 3 on each committee is achievable with 12. It was agreed that 2 people would be bad governance. An additional question was whether non-voting members of the Board count towards the quorum? Jane agreed to seek advice on this.

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It was also agreed to leave the size of the Board as it is until September 2014 to provide stability. It was agreed that a paper would be produced, with a discussion and vote. It was suggested that all the proposed changes be put together into one package. The Board suggested it would be helpful to get a view from CC at this stage in case changing the Board size/dynamics would be a deal breaker. There seemed to be a suggestion that 4,4,4, would be an easier sell. It was also suggested that the Tenant Members get a view from the Tenant Forums. Frequency of meetings

B&C every other month Finance = Monthly Finance = Bi-monthly All monthly Leave it up to each committee chair Where does the decision making sits? Board Meetings 9 per year and 3 away days (quarterly, including one

residential). Committee structure

Increase membership to include non Board Members Keep all committees Finance and P&D link together Concise detail unless specifically requested Over complicated but agenda led by officers/chair Structure OK

Development of a new Vice Chancellor

Re-scope role - task with red/yellow and must be customer focused. Tenant forums, ‘blue sky’ thinking/ visioning days Needs to be individual best for job Depends whether interim or permanent position Chair recommendation - they must be able to work well together and

build trust- although this was debated Should be filled by a tenant It was suggested that the Chair should be elected first and then the

process for the new Vice Chancellor will follow on

1


Agenda No: 10

Report to: Cornwall Housing Board


Title: Risk Assurance and Management Framework

Author: E Blatchford Role: Head of Resources

Contact:


Committee: Audit Committee

Date: 18th July 2013

Recommendations to the Board:

1. That the Board approve the Risk Assurance and Management Framework subject to any amendments.


This report presents Cornwall Housing’s Risk management and assurance framework developed over the last six months. The framework outlines how Cornwall Housing will manage risks in the company and provides assurance to the Board and wider stakeholders that the Company can effectively manage risks. The framework has been considered by the Audit Committee and recommended for approval to the Board. The document has been amended to reflect the comments made by the Audit committee, which removed the use of a form to record risks within service areas and a simple process has replaced this. The Audit Committee recognised that the definition of risks and the terminology used will require further refinement as the understanding and management of risks is developed and understood across the company.


2.1 It is important that Cornwall Housing has systems in place to

manage and monitor risks that it considers are significant to such an extent that it may affect the company’s ability to deliver its objectives;

2

Creating new homes Efficient use of resources Excellent housing services Good governance and tenant involvement Achieving the Cornish Housing Standard and maintaining our

homes not only on a day to day operational level, but also at a strategic level. It is considered to be an essential part of a company’s strategic management process.

3. Risk management

Risk management protects and adds value to the company and stakeholders by:

increased focus on what needs to be done (and not done) to

meet objectives;

more satisfied stakeholders;

better management of programmes and projects;

supports innovation;

reduces complaints;

greater control of costs;

potential quality improvements in service delivery;

enhanced ability to justify actions taken;

protects and enhances the reputation of Cornwall Housing;

reduces the risk of mistakes

Annex A details how the process of risk management will work in Cornwall Housing through;

identification evaluation prioritisation management monitor/review ensuring that the concept will be embedded in the

culture

4. Risk Assurance

Assurance is defined as ‘an objective examination of evidence for the purpose of providing an independent assessment on governance, risk management and control processes for the organisation’ (HM Treasury, 2012).

3

Cornwall Housing’s assurance will be derived from the monitoring of the management of risks by the Audit Committee and Performance and Development Committee. It is therefore essential managers understand their role in providing evidence based assurances on how they are managing identified risks and embed risk management into the performance culture.

5. Cornwall Housing Company risks

Cornwall Housing’s Director Leadership Team have identified a number of company risks that currently have an impact on the delivery of its objectives. Detailed at Annex B.

These risks are entered into the Council’s performance management system (SPAR.net) and are monitored in accordance with their priority and will be reported to the Performance and Delivery Committee on a quarterly basis, indicating how progress is made in managing the risks.

Directors have identified specific risks within their service areas and these form part of the Service Plan and again will be monitored and reviewed through SPAR.net on a quarterly basis.

6. Other Resourcing Implications:

None 7. Legal Implications:

None 8. Equality Impact Assessment:

None required for this report. 9. Significant Risks:

If not approved the Company will not be compliant in achieving good governance and assurance.

10. Consultation carried out including staff, SMT, Directors,

specialist advice and the community:

10.1 Consultation has taken place with DLT, Committee Members,

Strategy Manager, Resources Team. Supporting Information

Appendices:

Annex A – Risk management and assurance framework Annex B – Company risks

Report cleared by: Date:

RISK MANAGEMENT AND ASSURANCE FRAMEWORK Cornwall Housing Treven Kernow

Date: July 2013

Version 0.3

Cornwall Housing Ltd, Risk Management and Assurance Framework 2 Version 0.3, July 2013 Author:T Goodchild

1. Introduction

Cornwall Housing recognises risk management as an essential management tool in achieving its overall stated objectives and has introduced arrangements to ensure it becomes and remains embedded in the organisation’s culture. This Risk Management and Assurance Framework sets out the principles designed to ensure that all risks are dealt with both systematically and dynamically throughout the Directorates of Cornwall Housing. In this respect, arrangements provide for the management of both existing known risks and new unknown risks that can arise on a day to day basis through circumstances such as changes in service provision or the development of tasks and projects. Risk can be defined as the combination of the likelihood of an event or action and its consequences, which may potentially adversely affect an organisation’s ability to achieve its objectives. Risk Management is the process by which risks are identified, evaluated and controlled. It has critical links to the following areas:- • corporate governance;

• community focus;

• structures and processes;

• standards of conduct;

• service delivery arrangements.

2. Steps to manage risk

Cornwall Housing has identified six steps to risk management;

• identification • evaluation • prioritisation • management • monitor/review • ensuring that the concept will be embedded in the culture

2.1 Risk identification and categorisation

Risks should be categorised under the following headings;

Political

Governance

Managerial/professional

Legislative/regulatory

Competitive

Reputational


Customer/Tenant

Economic

Social

Technological

Environmental

Partnership/Contractual/Supplier

Financial

Legal

Physical

Managers are required to consciously review and update their risk management plans to ensure that a complete list of all risks of any significance or potential significance are maintained at all times.

All risks identified will show the cause, trigger and the effect of the risk. Managers will be expected to update the Council’s performance management system (SPAR.net) on a quarterly basis to report progress on risks. Risks identified and linked to a project will be monitored through the project management process, unless they pose a significant risk to the company.

2.2 Risk Evaluation

Risks will be evaluated (scored) against a defined matrix. New risks will be evaluated as they emerge and added to directorate or company risk management plans, as agreed by the Director Leadership Team. The matrix below will be used to evaluate risks.

Risk Overview

5 Critical

5 10 15 20 25

4 Serious

4 8 12 16 20

3 Moderate 3 6 9 12 15

2 Marginal

2 4 6 8 10

Impact

1 Negligible

1 2 3 4 5

1 Very low

2 Low

3 Medium

4 High

5 Very high

Likelihood


EXAMPLE OF LIKELIHOOD AND IMPACT RANKINGS Likelihood of the Risk Occurring Term Score Guidance Evidence Very High 5 There is strong evidence (or belief)

to suggest that the risk will occur during the timescale concerned

A history of it happening at the organisation Expected to occur in most circumstances

High 4 There is some evidence (or belief) to suggest that the risk will occur during the timescale concerned

Has happened at the organisation in the recent past Expected to occur at some time soon

Medium 3 There is some evidence (or belief) to suggest that the risk may occur during the timescale concerned

Has happened at the organisation in the past Can see it happening at some point in the future

Low 2 There is little evidence (or belief) to suggest that the risk may occur during the timescale concerned

May have happened in the organisation in the distant past Not expected to occur for years

Very Low 1 There is no evidence (or belief) to suggest that the risk may occur during the timescale concerned

No history of it happening at the organisation Not expected to occur

Impact of the Risk Occurring Term Score Guidance Critical 5 Critical impact on the achievement of objectives. Very high

impact on people, costs and/or reputation. Very difficult to recover from; and long term consequences

Serious 4 Serious impact on the achievement of objectives. High impact on people, costs and/or reputation. Difficult to recover from; and some long term consequences

Moderate 3 Moderate impact on the achievement of objectives. Medium impact on people, costs and/or reputation. Not easy to recover from; and medium term consequences

Marginal 2 Marginal impact on the achievement of objectives. Low impact on people, costs and/or reputation. Easy to recover from; and mostly short term consequences

Negligible 1 Negligible impact on the achievement of objectives. Very low impact on people, costs and/or reputation. Very easy to recover from; and no lasting consequences

Red – Immediate action and monitoring

Amber – Action and monitoring but less time critical

Green – Does not require extra attention at this time 2.3 Risk Prioritisation and management

Where risks are identified and evaluated with a high score, these will be given priority to ensure appropriate actions and plans are in place to manage these risks. Directors may want to have monthly reports on how the risk is being


managed. Alternatively, Audit Committee can monitor the effectiveness of any plans in place to manage risk and request evidence to demonstrate this.

2.4 Monitor and Review

Managers will be required to review their risks and update Directorate risk plans on a quarterly basis. Some risks may be reviewed more frequently if it is felt that this is appropriate, as a result of scoring or high priority. A quarterly report will be provided to the Director Leadership Team and the Performance and Delivery Committee detailing progress made against managing risks.

3. Roles and Responsibilities

Board Level

Responsible for ensuring a good system is in place Should know about the most significant risks facing the company Know the possible effects on the shareholder of deviations to be expected

in performance ranges Ensure appropriate levels of awareness throughout the company Know how the company will manage in a crisis Know the importance of stakeholder confidence in the company Be assured the risk management process is working effectively Publish a clear risk management policy covering risk management

philosophy and responsibilities

Committee Level Audit Committee

Responsible for providing assurance that the risk management system appears sound and risk is likely to be managed well

High risks are flagged At any time ask to review the action plans of any risk and how they are

being managed Performance and Delivery Committee

Want to know what is red and amber Want to know what ‘management action’ is in place to manage risk Want to know the movements of risk between the impact/likelihood Want to know new risks Want to know timeframe on managing the risk to move from red to

amber to green High risks are flagged

Directorate Level

Know the risks which fall into their area of responsibility, the possible impacts these may have on other areas and the consequences other areas may have on them

Assign risks to key responsible managers/themselves


Have measures in place to monitor the risks, provide progress reports to Audit and Performance and Delivery Committee, detailing how the risk is moving from red to amber to green.

Report systematically and promptly any perceived new risks or failures of existing control measures

Contribute to the management of the Risk and Assurance Framework.

Tier Three Level

Understand their accountability for individual risks and complete proformas and update SPAR.net

Understand how they can enable continuous improvement of risk management response

Understand that risk management and risk awareness are a key part of the company’s culture

Report systematically and promptly to Directors any perceived new risks or failures of existing control measures

Operational Level

Undertake risk assessments where appropriate for day to day activities, in accordance with procedures.

4. Ensuring that Risk Management is embedded in the culture

There is a risk that once the initial risk management plans are produced that the process will be seen as complete. This potential problem is largely overcome through the use of the Council’s performance management database, SPAR.net. All risks are held centrally and are divided into Company and Directorate risks. Responsible managers are automatically notified of any outstanding actions and have to up date progress made in managing the risk. This will assist in ensuring risk management becomes mainstream within day to day service management. The Service Planning cycle will also assist in making risk management mainstream as the process will involve identifying any future potential risks. The Company has adopted project management methodology to effectively manage projects that are identified as ‘corporate’ in the work programme. Each project has a project initiation document, project plan and risk register and risks associated with the project will be managed through the Project Board. The Performance Improvement Team are responsible for coordinating the Company risks and reporting progress made on managing them, on a quarterly basis, to the Performance and Development Committee.

5. Assurance Framework

Providing evidence-based assurances on the management of risks can support and reassure the Board; Committees, and Cornwall Council that the company is responsible in managing and mitigating risks.

The role of the Audit committee is to examine the arrangements that are in place to provide comprehensive and reliable assurance, identifying the assurance need; how it will be met; and whether there are any assurance gaps. The role of the Performance committee is to monitor the progress made against actions to mitigate risks, on a quarterly basis.

The diagram below shows how the levels are linked:



6. What needs to be done to promote good Risk Management?

A risk management culture needs to be established whereby there is awareness and understanding within the company of;

the nature and extent of the risks it faces; the extent and categories of risks regarded as acceptable; the likelihood of the risks materialising and potential impacts; our ability to reduce the impact of risks that do occur.

The process needs to be continuous, embedded in our culture and have the potential to strengthen and improve our performance. It is not so much about totally eliminating risk as understanding it and managing it more effectively. The benefits of a systematic approach to Risk Management are:

increased focus on what needs to be done (and not done) to meet

objectives;

more satisfied stakeholders;

better management of programmes and projects;

supports innovation;

reduces complaints;

greater control of costs;

potential quality improvements in service delivery;

enhanced ability to justify actions taken;

protects and enhances the reputation of Cornwall Housing;

reduces the risk of mistakes. There are two categories of risk; these are company and directorate risks. Company Risks

Our capacity to manage the issues out in the Community. Our capacity to meet the demands of the medium term financial strategy Our capacity to deal with technological change. Our capacity to develop customer care. Our capacity to improve outward communications. Our capacity to extend partnership working. Our capacity to maintain and replace our infrastructure. Our capacity to ensure that an appropriate level of staff training is

maintained and that expertise and experience is retained. Our capacity to deliver greater levels of efficiency and effectiveness in

service delivery.

Directorate Risks These are risks that are faced every day in the delivery of our services and include:-

the competence of our managers policy decisions; sound financial control; the need to ensure our actions are legal; the need to ensure that our physical assets do not pose any risk to

employees or members of the public (for example, fire hazards, health and safety, and lack of resources for adequate maintenance);

the possible failure of our contractors in terms of statutory compliance and to deliver services to an agreed cost and quality specification,

reliance upon IT and other operational equipment; environmental pollution, noise or the energy efficiency of operations.

6.1 The Risk Management process

There are a number of steps in the process of identifying and managing risk, these are as follows:-

Identifying Risks It is important to ensure that anyone can identify a risk for their service and these should be reported to Tier 3 managers. Include all the significant risks even if you feel you have them well under control. Evaluating the Risks When evaluating your risk you need to consider how you can reduce the effect of the risk and also what you will put in place to manage the risk if you cannot eliminate the risk altogether. All risks should be discussed with your line manager and raised to Tier 3 managers for discussion and agreement. Once considered and agreed by your Director, risks should be entered into SPAR.net. Monitor and review quarterly Regularly monitor all actions taken to control risk to ensure that they remain effective and appropriate and modify the controls if necessary. Review progress on a quarterly basis and reports will be presented to Directorate Leadership Team and Performance and Delivery Committee.



An example of a simple form for capturing and considering risks within your service

RISK ASSESSMENT FOR INDIVIDUAL ACTIVITIES

To be used when evaluating risks and when existing functions/activities are changed. Risk Assessment No:

Date:

Linked Assessments:

Risk Identified: Cause Trigger Effect Description of Service, Activity or Event: Location: Number of those exposed:

Employees Contractors Public Company

Existing Controls: Proposed/Additional Controls Required: Company Risk Classification: High Medium Low (please tick and score) (Use matrix to score)


Operational Risk Classification:

High Medium Low

(please tick and score) (Use table on reverse) Likelihood x Severity

Comments: Monitoring Arrangements: Review Dates: Name of Person carrying out Assessment: .............................................................. Signature: .............................................. Date: .............................................. Name of Service Manager: ....................................................................................... Signature: .............................................. Date: ..............................................


The matrix below will be used to evaluate risks.

Risk Overview

5 Critical

5 10 15 20 25

4 Serious

4 8 12 16 20

3 Moderate

3 6 9 12 15

2 Marginal

2 4 6 8 10

Impact

1 Negligible

1 2 3 4 5

1 Very low

2 Low

3 Medium

4 High

5 Very high

Likelihood EXAMPLE OF LIKELIHOOD AND IMPACT RANKINGS Likelihood of the Risk Occurring Term Score Guidance Evidence Very High 5 There is strong evidence (or belief)

to suggest that the risk will occur during the timescale concerned

A history of it happening at the organisation Expected to occur in most circumstances

High 4 There is some evidence (or belief) to suggest that the risk will occur during the timescale concerned

Has happened at the organisation in the recent past Expected to occur at some time soon

Medium 3 There is some evidence (or belief) to suggest that the risk may occur during the timescale concerned

Has happened at the organisation in the past Can see it happening at some point in the future

Low 2 There is little evidence (or belief) to suggest that the risk may occur during the timescale concerned

May have happened in the organisation in the distant past Not expected to occur for years

Very Low 1 There is no evidence (or belief) to suggest that the risk may occur during the timescale concerned

No history of it happening at the organisation Not expected to occur


Impact of the Risk Occurring Term Score Guidance Critical 5 Critical impact on the achievement of objectives. Very high impact

on people, costs and/or reputation. Very difficult to recover from; and long term consequences

Serious 4 Serious impact on the achievement of objectives. High impact on people, costs and/or reputation. Difficult to recover from; and some long term consequences

Moderate 3 Moderate impact on the achievement of objectives. Medium impact on people, costs and/or reputation. Not easy to recover from; and medium term consequences

Marginal 2 Marginal impact on the achievement of objectives. Low impact on people, costs and/or reputation. Easy to recover from; and mostly short term consequences

Negligible 1 Negligible impact on the achievement of objectives. Very low impact on people, costs and/or reputation. Very easy to recover from; and no lasting consequences

Red – Immediate action and monitoring

Amber – Action and monitoring but less time critical Green – Does not require extra attention at this time

Annex B

Cornwall Housing Risk Register

Printed by: Zoe Gofton SPAR.net Print Date: 02 August 2013

14:48 Risk: Ambitious work programme for 2013/14 Cause: Company has developed and approved an ambitious work programme for 2013/2014. Trigger: The programme is not delivered, within timescale, budget and resources. Effect: Reputation through non delivery of projects. Loss of funding if project has funding. Projects fail to get started or completed.

Risk Code: CHLMA1

Current Status: Medium (9)

Current Risk Impact: 3 - Minor/Moderate Impact on Corporate

Current Risk Likelihood: 3 - Possible

Date Identified: 25 Jul 2013

Mitigation records Mitigation Status

Mitigation Info Responsible Person

Date Identified

Last Review Date

Action Ongoing

DLT are responsible for re-prioritising projects where necessary.

Tessa Goodchild

25/07/2013 02/08/2013

Action Completed

Lead managers have been identified and notified of responsibility.

Tessa Goodchild

25/07/2013 02/08/2013

Action Ongoing

Monthly highlight reports.

Tessa Goodchild

25/07/2013 02/08/2013

Action Completed

Projects have been identified as Corporate and will have project management in place.

Tessa Goodchild

25/07/2013 02/08/2013

Action Ongoing

Quarterly performance progress reports.

Tessa Goodchild

25/07/2013 02/08/2013

Action Ongoing

Resources team working with managers.

Tessa Goodchild

25/07/2013 02/08/2013

http://sparnet/sparnet/default.aspx?Type=5&ID=2179

Cornwall Housing Risk Register Action Ongoing

Review of work programme and key projects to identify if sufficient resource available.

Review of work programme and key projects to identify if sufficient resource available through development of PIDS and plans.

Tessa Goodchild

25/07/2013 02/08/2013

Action Completed

Use of resource from partners to contribute to achieving specific projects.

Tessa Goodchild

25/07/2013 02/08/2013

Responsible Officer: Tessa Goodchild

Risk: An emergency occurs for which there are no adequate plans to manage and continue service delivery Cause: An emergency occurs for which we do not have adequate plans to manage and continue with service delivery. Triggers: An unexpected major event e.g. fire, flood, epidemic. Effect: Loss of life. Damage to assets. Legal action. Reputation. Loss of service delivery.

Risk Code: CHLEN1


Current Risk Impact: 4 - Moderate Impact on Corporate





Date Identified

Last Review Date

Action Needed

Development of a business continuity plan.

Emma Blatchford

22/04/2013 02/08/2013

Action Needed

Part of the Council's emergency plan.

Tessa Goodchild

25/07/2013 02/08/2013

Action Needed

Review and revise business continuity plans for services by Oct 2013.

Tessa Goodchild

25/07/2013 02/08/2013




Cornwall Housing Risk Register Risk: Carrick House is earmarked for sale and is in a poor state of repair Cause: One of the main Company buildings (Carrick House) is earmarked for sale and is in a poor state of repair. Trigger: Health and Safety and well-being, security breaches. Effect: Low morale. People come to harm. HSE etc investigations. Complaints, claims, litigation. Adverse financial effects. Adverse publicity. Damage to reputation.

Risk Code: CHLPH1

Current Status: Low (6)

Current Risk Impact: 2 - Minor Impact on Corporate


Date Identified: 01 Mar 2013



Date Identified

Last Review Date

Action Ongoing

Agree contracts with CC. Adrian Pengelly

25/07/2013 02/08/2013

Action Ongoing

Escalation of issues with Landlord.

Adrian Pengelly

25/07/2013 02/08/2013

Action Ongoing

Input into property premise, meeting to raise issues.

Adrian Pengelly

25/07/2013 02/08/2013

Responsible Officer: Adrian Pengelly

Risk: CC contact centre has been passed back to CHL Cause: CC contact has passed back to CHL the service provision of Housing Option calls which was an unplanned occurrence and the team support team have not been sufficiently prepared or trained to handle the calls, thus affecting other service provision. Trigger: Notification by CC Contact centre that this would happen unless additional payment is made. Effect: Calls are not answered in a timely manner, affecting customers expectations of the service. Other admin duties previously undertaken are not able to be carried out to the same level.

Risk Code: CHLCU2








Cornwall Housing Risk Register Mitigation records Mitigation Status


Date Identified

Last Review Date

Action Ongoing

Call numbers are monitored and resources diverted within the teams.

Vicki Brooke 26/07/2013 31/07/2013

Action Ongoing

Investigations underway to understand where other duties can be allocated.

Vicki Brooke 26/07/2013 31/07/2013

Action Ongoing

Training provided by Housing Options team.

Vicki Brooke 26/07/2013 31/07/2013

Responsible Officer: Vicki Brooke

Risk: Communal/Amenity Services and Charges Cause: The company has a number of historical inconsistencies relating to how grounds maintenance and communal cleaning contracts are delivered and funded (HRA or GF), and how a range of communal services are recharged to tenants and leaseholders. Trigger: By trying to address these inconsistencies, the risk will be triggered if the changes are met with opposition from tenants and/or potentially the Council if there are additional cost implications for the General Fund. Effect: Loss of income for the HRA. Reputational damage. Budget pressures for shareholder. Additional charges to tenants/leaseholders, some of whom will not be entitled to claim Housing Benefit to cover these charges.

Risk Code: CHLEC2







Date Identified

Last Review Date

Action Ongoing

Project mandate and options appraisal in development.

Sara Nott 25/07/2013 01/08/2013

Action Ongoing

Research being undertaken. Sara Nott 25/07/2013 01/08/2013

Responsible Officer: Sara Nott


Cornwall Housing Risk Register Risk: ERP and company restructure causes delays in suppliers being paid within 30 days Cause: ERP and finance restructure causes delays in Suppliers being paid within 30 days of receipt of invoice. Trigger: Accounts stopped by suppliers. Complaints received by suppliers. Effect: Workforce cannot purchase materials. Suppliers may cease trading with CHL. Loss of reputation. Service to tenants may be reduced.

Risk Code: CHLRE1







Date Identified

Last Review Date

Action Completed

Additional resources provided by CC to manage work.

Jeanette Beavors

22/04/2013 02/08/2013

Action Ongoing

Blockages within system currently being flagged up with Directors

Jeanette Beavors

02/08/2013 02/08/2013

Action Ongoing

IT system issues identified and in the process of being corrected.

Jeanette Beavors

25/07/2013 02/08/2013

Action Completed

Manual workarounds to address shortfalls.

CHL Finance assessing and implementing temporary workarounds to address issues.

Jeanette Beavors

30/04/2013 02/08/2013

Responsible Officer: Jeanette Beavors



Cornwall Housing Risk Register Risk: ERP not a fully operational system Cause: The Company requires a robust management information system to operate effectively, is compelled to use the Council's ERP system which is not fully operational. Trigger: Unreliable sickness absence data reports available. Lack of accurate financial information available. Lack of reports available-mileage/ overtime. No one point of contact to develop reports. Effect: Inability to manage the business as; no management of employee absence, no performance information, increased use of resources to manage processes, increase use of other systems and work-arounds to get information. Inability to manage the financial position. Inability to pay suppliers.

Risk Code: CHLTE2







Date Identified

Last Review Date

Action Ongoing

Fortnightly meetings with Finance.

Jeanette Beavors

25/07/2013 02/08/2013

Action Ongoing

Issues Log for Finance.

Jeanette Beavors

25/07/2013 02/08/2013

Action Ongoing

Liaison with CC Head of Finance.

Jeanette Beavors

25/07/2013 02/08/2013

Action Needed

Procedure to be developed for managers to input data correctly into ERP.

Procedure to be developed for managers to input data correctly into ERP for reporting sickness absence.

Emma Blatchford

25/07/2013 02/08/2013

Action Needed

SLA to be put in place with CC/BT.

Emma Blatchford

25/07/2013 02/08/2013

Action Ongoing

Workforce Development verifying data for sickness absence.

Emma Blatchford

25/07/2013 02/08/2013


Cornwall Housing Risk Register Responsible Officer: Jeanette Beavors, Emma Blatchford

Risk: External funding for the ILS has been cut Cause: External funding for the ILS has been cut following a decision to freeze Council Tax and added to efficiencies needed within ADHW. Alongside the cuts is a new contract and service specification which asks that services change and deliver services on less money. This means a change in the way services are currently delivered. Trigger: CC reduction of 28% funding for the Housing Support Service. Effect: Cut to budget of 22% resulting in a reduction of £140K pa. Possible redundancies. Possible loss of contract and support to vulnerable tenants. Services no longer just for tenants so potential to cross subsidise. Dissastisfied tenants. Increase in Housing Management costs.

Risk Code: CHLCU1



Current Risk Likelihood: 4 - Probable

Date Identified: 01 Apr 2013




Date Identified

Last Review Date

Action Ongoing

Cease the free Lifeline service and commence charging to maximise income.

Cease the free Lifeline service and commence charging to maximise income and maintain low level services that are important to tenants. This will generate income outside of the ACHW funded service.

Pete Jarman

26/07/2013 01/08/2013

Action Ongoing

Options appraisals being undertaken and financial modelling worked on.

Options appraisals being undertaken and financial modelling worked on to understand impact of options to be able to present clarity to the P&D committee and Board.

Pete Jarman

25/07/2013 01/08/2013

Action Needed

Redesign and restructure the ACHW contracted service to meet the objectives of the contract.

Pete Jarman

26/07/2013 01/08/2013

Responsible Officer: Pete Jarman

Risk: Government's Public Sector Spending Cuts Agenda results in reduction in management fee allocations Cause: The Government's Public Sector Spending Cuts Agenda results in reduction in management fee allocations for General Fund Services. Trigger: Cornwall Council impose budget cuts on General Fund Services. Effect: Inability to fund General Services. Service demands outweigh budget availability Reputational damage.

Risk Code: CHLFI1



Cornwall Housing Risk Register Current Status: Medium (12)






Date Identified

Last Review Date

No Data Directorate seminar

submissions being developed. Jeanette

Beavors 25/07/2013 25/07/2013

No Data Efficiency plans developed to

reduce costs of services and release funds.

Jeanette Beavors

25/07/2013 25/07/2013

No Data Income generation and

collection to be maximised. Jeanette

Beavors 25/07/2013 25/07/2013

No Data Mechanism for bidding for

additional funding to meet demand currently being proposed.

Jeanette Beavors

25/07/2013 25/07/2013

Responsible Officer: Jane Barlow

Risk: Gypsy and Traveller sites secured £1.2m from HCA Cause: The Company is tasked with providing Gypsy and Traveller sites in specified locations across the county. The Company has secured £1.2m from the HCA to deliver 30 pitches by March 2015. Trigger: Public opposition creates difficulty in identifying sites and obtaining planning permissions. Effects: Failure to achieve target of 30 pitches. Failure to provide suitable authorised sites for Gypsies and Travellers. Loss of £1.2m funding, but accommodate needs not addressed so Council may need to fund in future. Reputational damage with HCA.

Risk Code: CHLPO1








Date Identified

Last Review Date

Action Ongoing

Close working relationship with the Planning Service.

Adrian Pengelly

25/07/2013 02/08/2013

Action Ongoing

Consultation protocol in place and being followed.

Adrian Pengelly

25/07/2013 02/08/2013

Action Ongoing

Lessons learned from Tregantle application being applied to future sites.

Adrian Pengelly

25/07/2013 02/08/2013

Action Completed

Project Plan in place. Adrian Pengelly

25/07/2013 02/08/2013

Responsible Officer: Adrian Pengelly

Risk: Ineffective data security Cause: Transporting manual and computerised files and records between destinations, without sufficient procedures in place to manage possible security breaches. Ineffective data security within offices. Trigger: Personal/ customer case files are lost or fall into the wrong hands. Effect: Fine by Information Commissioner. Loss of reputation. Possible press exposure. Individual claims may lead to financial settlements. Potential risk to vulnerable client if personal information disclosed.

Risk Code: CHLLE1







Date Identified

Last Review Date

Action Ongoing

Data Protection Policy to be reviewed by August 2013 and procedures developed.

Tessa Goodchild

25/07/2013 02/08/2013

Action Completed

Data Protection training being undertaken in July 2013.

Tessa Goodchild

25/07/2013 02/08/2013

Action Ongoing

Data Security Policy. Tessa Goodchild

25/07/2013 02/08/2013


Cornwall Housing Risk Register Responsible Officer: Tessa Goodchild

Risk: Introduction of welfare reform places increased pressure on income collection rates (Phase 1) Cause: Introduction of welfare reform legislation places increased pressure on income collection rates. Trigger: Tenants don't pay. Effect: Reduction on future year's management fees. Increase in rent arrears. Reduction in service provision levels. Increase in applications to move accommodation. Increased court action. Increased Homeless applications. Reputational damage.

Risk Code: CHLEC1




Date Identified: 08 Oct 2012





Date Identified

Last Review Date

Action Ongoing

£500,000 secured for mitigating impact.

Finance working with project team to monitor impact, report impact monthly to DLT and to update busness plan as impacts known.

Jeanette Beavors

01/06/2012 01/08/2013

Action Completed

Comprehensive communication campaign to tenants to inform of options.

Sara Nott 26/07/2013 01/08/2013

Action Completed

Consultation and communication programme developed to inform tenants of the impact.

Sara Nott 01/06/2012 01/08/2013

Action Ongoing

delete Sara Nott 26/07/2013 01/08/2013

Action Ongoing

Financial modelling and monitoring in place.

Sara Nott 26/07/2013 01/08/2013

Action Completed

Increase in overall bad debt provision of £642,000.

Jeanette Beavors

30/04/2013 01/08/2013

Action Completed

Welfare reform advisors recruited.

Sara Nott 26/07/2013 01/08/2013

Responsible Officer: Sara Nott

Cornwall Housing Risk Register Risk: Lack of clarity around decision making responsibility between the Council and the Company Cause: Lack of clarity around decision making responsibilities between the Council and the Company. Trigger: When a decision is required, which is not clearly a shareholder or company sole responsibility. Effect: Business decisions are delayed or not made at all and the delivery of our objectives is detrimentally affected.

Risk Code: CHLGO1



Current Risk Likelihood: 2 - Unlikely




Date Identified

Last Review Date

Action Ongoing

Contribute to the corporate procurement strategy.

CH is engaging with CC on the development of their strategy

Jane Barlow

12/12/2012 09/05/2013

Action Ongoing

Ensure there is a consistent and transparent process in place.

Work with CC to agree and communicate process.

Jane Barlow

01/08/2012 09/05/2013

No Data Strategic working

group in place to develop a protocol, including both Council and CHL.

Jane Barlow

25/07/2013

Responsible Officer: Jane Barlow

Risk: Lack of clarity in all areas about the cost of service provision Cause: Lack of clarity in all areas about the cost of service provision and how we compare to others. Trigger: Failure to win contracts and have services passported due to high costs. Effect: Loss of income and existing contracts.

Risk Code: CHLCO1





Cornwall Housing Risk Register Current Status: Medium (9)






Date Identified

Last Review Date

Action Ongoing

Housemark benchmarking exercise underway.

Jeanette Beavors

25/07/2013 02/08/2013

Action Ongoing

Individual service reviews to be undertaken commencing 2013/14.

Jeanette Beavors

25/07/2013 02/08/2013

Responsible Officer: Jeanette Beavors

Risk: Lack of knowledge within the company to manage legacy systems Cause: Lack of knowledge and resource within the company to manage legacy systems- Housing Options Arbitras and Peter Lally and CHL Orchard system. Trigger: Key resources have left the organisation or been assimilated into different roles. Effect: System errors. Data loss. Data extraction failure.

Risk Code: CHLTE1







Date Identified

Last Review Date

Action Ongoing

Procurement of new housing system.

Tessa Goodchild

25/07/2013 02/08/2013

Action Ongoing

Resources need to be identified to learn the systems.

Tessa Goodchild

25/07/2013 02/08/2013




Cornwall Housing Risk Register Risk: No succession planning model in place Cause: No succession planning model in place. Trigger: Loss of key people across specialised roles in the company. Effect: Gaps in knowledge and skills which will take time to develop, inadequacies in service delivery leading to poor customer satisfaction.

Risk Code: CHLMA2







Date Identified

Last Review Date

Action Ongoing

Development of a workforce development strategy.

Tessa Goodchild

25/07/2013 02/08/2013


Risk: Support services provided by the Council are not subject to contracts, SLA's should be in place Cause: Many of our support services are provided by the Council so are not subject to contracts, but SLA's should be in place for these service areas. Trigger: Disagreement regarding the level or cost of service provided by the Council and no SLA in place to clarify. Effect: Breakdown of relationships. Unrealistic expectations of services provided. Additional costs to CHL. Poor service quality.

Risk Code: CHLPA1










Date Identified

Last Review Date

Action Completed

CHL continue to raise with the Council at Strategic Level.

Contact has been made and will continue to be made at a strategic level regarding SLAs

Emma Blatchford

25/07/2013 02/08/2013

Action Completed

Some SLA are in draft form.

Currently we have in place an ICT SLA and are working on a draft for People and Organisation Development and Legal. As yet we have not received any information on any other SLAs

Emma Blatchford

25/07/2013 02/08/2013

R esponsible Officer: Emma Blatchford

1


Agenda No: 11(a)



Title: Property Development Committee Report to Board

Author: Adrian Pengelly Role: Director of Assets

Contact: 07875127568


Committee: Property Development Committee

Date: 19/09/2013


1. That the Committee update report is noted

1. Agenda Items

The following items were discussed at the meeting on 19th September 2013:

Development Programme

Gypsy and Traveller Pitch Update

Forward Plan

2. Decisions of the Committee

2.1 Development Programme Update

Beacon Close, Bodmin – The Development Manager provided an update to the Committee and confirmed that the timber frames had been erected for eight of the nine properties – the final property was not yet out of the ground due to the access arrangements on the site. It was confirmed that the revised completion date was December 17th and that the development was currently on target to be delivered to budget.

Delabole – It was noted that the proposed purchase of 9 properties at Delabole from the Community Land Trust was progressing and had been referred to Solicitors.

2

Sites Update – The Committee was informed that consultation events had been scheduled for proposed developments at Looe and Launceston. The events are to take place in October and will inform the Planning Application which will follow immediately thereafter.

Cornwall Council Car Parks – The Development Manager updated the Committee on progress to secure a number of additional sites via the Cornwall Council review of redundant/surplus car parks. It was noted that the matter will be considered at an Informal Cabinet meeting in October.

Regeneration Schemes – The Development Manager reported that a visit had been made to Plymouth Community Homes to assess the process being followed for the current regeneration of the North Prospect area of Plymouth. Progress is being made assessing the most suitable estate as the initial regeneration project for Cornwall Housing.

Buybacks and Mortgage Rescue – It was noted that 3 buyback purchases had been made and the third Mortgage Rescue purchase was due to be completed shortly.

2.2 Gypsy and Traveller Update – It was noted that the Cornwall Council Client/Planning Team are preparing for consultation events for the proposed sites. The Development Manager reported that work was underway to establish the delivery/procurement mechanism for the development programme.

2.3 Forward Plan – It was noted that the next Business Case submissions were subject to the consultation events detailed above.


1

Cornwall Housing Limited Report Template for Board and Board Committee Reports

Agenda No: 11(b)


Date: 29 July 2013

Title: Report of the Customer Focus Committee

Author: Cathy Hadfield

Peter Jarman

Role: Director of Housing Options

Director of Landlord Services

Contact:


Committee: Customer Focus Committee

Date: 18 July 2013


1. That the Board note the report.

1. Agenda Items

The following items were discussed at the meeting:

Homelessness Strategy

Rough Sleepers Protocol

TP Compact Core Standards

Customer Representative Recruitment Process

Lodger Policy

Tenancy Fraud Policy

Welfare Reform Update

Pet Policy (Info Only)

Forward Plan (Info Only)

2


2.1 Homelessness Strategy –The Committee noted the update provided on the Homelessness Strategy 2010-2015 Action plan; and agreed the principles of the action plan for 2013-2014 leading to the adoption of a new Homelessness Strategy for 2015, subject to the provision of the projected figures for the next 18 month period in regard to entrenched rough sleepers, homeless decisions and acceptances. 2.2 Rough Sleepers Protocol – The Committee noted the contents of the report and commented on the draft protocol. 2.3 TP Compact Core Standards – The Committee approved the Tenant Participation Core Standards. 2.4 Customer Representative Members on Board Committees – The Committee approved the recruitment of tenant representatives as Customer Representative Members to the Board Committee; and the Committee endorsed the strategy for recruiting wider customer members as laid out in the report. 2.5 Lodger Policy – The Committee agreed to adopt the Lodger Policy subject to an additional sentence to be added to sub-paras 3.1 and 3.2 of the Policy which states that “Cornwall Housing would expect a lodger(s) (sub-para 3.1)/subtenant(s) (sub-para 3.2) to occupy a spare room designated as a bedroom, and not another area of the property such as a lounge etc.” and the removal of the last sentence of sub-para 4.5 in relation to non-secure tenancies. The changes to sub-paras 3.1 and 3.2 to be confirmed as correct by Legal (CC) 2.6 Tenancy Fraud Policy – The Committee approved the Tenancy Fraud Policy subject to an additional sentence to be added to the Policy “what is tenancy fraud” to ensure clear clarification between accidental and deliberate fraud; and an additional caveat to be added to the Policy in regard to a refusal by a prospective tenant to provide photographic ID, unless there are justifiable circumstances under the Disability Discrimination Act 2005 as to why this could not be provided. The latter statement around DDA to be confirmed as correct by Legal (CC). 2.7 Welfare Reform Update – The Committee noted the report. 2.8 Pet Policy – The Committee noted the report. 2.9 Forward Plan – The Committee noted the Forward Plan. Date: 20 July 2013

1

Cornwall Housing Limited Report Template for Board and Board Committee Reports

Agenda No: 11(b)



Title: Report of the Customer Focus Committee

Author: Cathy Hadfield

Peter Jarman

Role: Director of Housing Options

Director of Landlord Services

Contact:


Committee: Customer Focus Committee



1. That the Board note the report.

1. Agenda Items

The following items were discussed at the meeting:

Roughsleepers Initiative Update

Welfare Reform Update

Telephony Update (Info Only)

Housing Options Gold Standard Update (Info Only)

Forward Plan (Info Only)


2.1 Roughsleepers Initiative Update – The Committee noted the actions taken by Cornwall Housing Ltd and its partners in seeking to deliver No Second Night Out and minimise rough sleeping.

2

2.2 Welfare Reform Update – The Committee noted the report. 2.3 Telephony Update (Info Only) – The Committee noted the report and it was agreed a further update would be brought back to the next scheduled CFC meeting in November. 2.4 Housing Options Gold Standard Update (Info Only) – The Committee noted the report and it was agreed a further update would be brought back to the next scheduled CFC meeting in November. 2.5 Forward Plan – The Committee noted the Forward Plan. Date: 18 September 2013

1


Agenda No: 11(d)



Title: Report of the Finance Committee

Author: Jeanette Beavors Role: Finance Director

Contact: 01872 224518


Committee: Finance

Date: 19 August 2013 & 23 September 2013


1. to note the findings of the Finance Committees held on 19 August and 23 September 2013.

1. Agenda Items

The following items were discussed at the meetings:

19th August 2013

Management Accounts Quarter 1

Annual Efficiency Statement Quarter 1

Welfare Reform – Period 4 update

23rd September 2013

Budget Setting Principles 2014/15

Draft Treasury Management Proposals

Welfare Reform – Period 5 Update

Housemark Benchmarking

Initial DLO Trading Accounts


19th August 2013

2.1 Management Accounts Quarter 1 Update (report attached at Appendix A) – Finance Committee were pleased to note that overall

2

the Company is on target to achieve outturn in line with the budgeted position.

2.2 Annual Efficiency Statement Quarter 1 Update – Finance Committee

were pleased to note that overall CHL is on target to achieve the efficiency savings on line with the budgeted position, although it was noted that we were unlikely to achieve the income generation target due to the bid for older persons’ accommodation being unsuccessful.

2.3 Welfare Reform Period 4 Monitor – Finance Committee considered

the monitor report and were pleased to note that the impact of welfare reform is currently being contained within the budget set with a current projection of a net reduction arrears of £78k when compared to the position assumed within the HRA Business Plan, although it was acknowledged that this position may deteriorate later in the year.

23rd September 2013

2.4 Budget Setting Principles 2014/15 – Finance Committee noted

DLT’s decision to set a target of an average 6% efficiency savings to be identified within the budget setting process

2.5 Draft Treasury Management Proposals – Finance Committee noted

the limited options and minimal returns on investment that were currently available, and agreed that a paper should be produced for the next Finance Committee outlining the options that were available along with the costs of implementing, which will then allow consideration to be given as to whether the approach will be cost effective.

2.6 Welfare Reform Period 5 Monitor (appendix to the report attached

at Appendix B) – Finance Committee noted the current position on arrears which is still being contained within the originally anticipated position.

2.7 Housemark Benchmarking – Finance Committee noted the

indicative results and the comparison with historic data from ex Carrick Housing, and await a full update at November Finance Committee.

2.8 Initial DLO Trading Accounts – Finance Committee noted the

progress on developing the trading accounts for the internal DLO operations, and requested additional information in relation to the budgeted plan be added. NB also requested consideration be given to adopting a standard costing approach for variance analysis to give information on cost and volume variances subject to resources and information being available for this approach.

2.9 Forward Plan – Finance Committee agreed the forward plan for

future Finance Committees. Date: 23 September 2013.


Agenda No: 4

Report to: Cornwall Housing Finance Committee

Date: 19th August 2013

Title: Management Accounts: Quarter 1 - April to June 2013

Author: Name of Author

Chris Salter

Role: Role of Author

Management Accountant

Contact: Telephone/email 01872 224778 / [email protected]

Recommendations:

1. The Finance Committee is asked to note this paper


This paper presents Cornwall Housing's management accounts - for the three months ending 30 June 2013. The profit and loss account shows a surplus for the period of £45k, which represents an adverse variance of £43k compared to the budgeted surplus of £88k for the period. However this overspend is reduced by year end to a full year surplus of £340k which is only slightly below (£5k) the full year budgeted surplus of £345k. However, the delay in New Build and Acquisition Projects has impacted on the income for the quarter, and could potentially result in under delivery of £2,445k on the overall programme of £6,016k should additional sites not be identified. Slippage on the implementation of the new HMS system could also result in the majority of expenditure being incurred in 2014/15, which would subsequently result in the income allocation (£500k) being slipped to next year.


The management accounts underpin all of Cornwall Housing’s objectives.

3. Decision and Supporting Information (Including Options):

The Finance Committee is asked to note the paper.


4. Financial Implications and Budget: This paper presents Cornwall Housing's management accounts, for the period 1 April to 30 Jun 2013. The report includes the following appendices:

Profit And Loss Account (Appendix A). Movement in Approved Budget (Appendix B) General Fund Statement (Appendix C) Capital Statements (Appendix D and E) Movement in Reserves (Appendix F)

4.1 Progress with Management Accounts and Budget Monitoring As the concentration during the first three months of this financial year has been on the finalisation of the 2012-13 Statutory Accounts and on receiving a satisfactory Audit Report with unqualified accounts, there has been limited time and resources available to produce the first set of management accounts for the year. This has resulted in the production of the accounts on a full management account basis, incorporating spend by Directorate, being delayed. As a result this first set of management accounts has been presented in line with the format for 2012/13. However Finance Committee can be assured that progress is being made in this area, and it is anticipated that the revised format for the management accounts will be available for the next monitoring cycle. To date, we have implemented Budget Manager and Director reviews into the reporting process. The first meeting is held with the Budget Managers for each of the service areas to review spend to date and then establish the latest anticipated year end position and detail where and why the forecast has changed. This latest year end forecast is then reviewed by the relevant Director at a subsequent meeting, prior to the full set of management accounts being produced. We are currently undergoing a project further enabling Budget Managers to review their budget areas through their own access to reports direct from the ERP System. 'ERP Dashboards' allow a Budget Manager to view management information and query transactions on their own computers. Initial training organised through Cornwall Council is being enhanced by specific in-house training by Cornwall Housing's Finance team which will cover the roles and responsibilities of the budget holder. In addition, although we have proved that the ERP system can produce Management Information required for the Company, we now need to review all of the additional processes involved. We are continuing to work with Cornwall Council to reduce the administration required to use and maintain the system, and develop the robustness of ERP which will then subsequently reduce the need for manual processes.

A further key piece of work that has commenced during the first quarter of 2013/14 is in relation to the impact on the budgets in relation to bringing the operatives in-house to carry out more repairs and maintenance ourselves rather than through the Ocean and Mears contract. This is still being developed and work will continue on this area over the next 2 months. We have already transferred budget for the increased pay costs however it is based on the assumptions contained within the original business case and is likely that further refining will be required. There may therefore, be some virements between the Property repairs budgets and relevant expenditure budgets in the forthcoming months. Finance Committee will be updated within the next monitor report. 4.2 Priorities for Next Report In addition to the areas outlined above, we are also currently reviewing the information required for the effective management and monitoring of the repairs and improvements provided by the Company. Currently two Housing Management Systems provide the property repairs detail reported in the accounts. Works Orders outstanding in these systems are used to calculate the level of work in progress included in the accounts. Finance and Assets Departments are working together to ensure that the Housing Management Systems are consistent and only contain valid data that can reliably be used to inform the current financial position. Following on from this exercise is the development of quality Trading Accounts for the Internal Repairs teams. 4.3 Analysis of the management accounts The additional detailed analysis of accruals and Work In Progress carried out at year end is not currently possible on a monthly basis due to the level of work involved. The accounts are still reflecting these accruals where they have yet to be cleared in the accounts or have not been calculated, with the detail included at year end. Intercompany Trading and repairs spend to date are two such areas. Consequently, it is anticipated that the position incorporated into the Management Accounts at Quarter 1 may be distorted slightly.

5. Profit And Loss Account The profit and loss account attached as Appendix A is a summary of all activities within the company and shows a surplus of £45K for the period April to June 2013 and a forecast year end surplus of £5K. This position demonstrates a reduction in the anticipated surplus of £43k as at Quarter 1 and a minimal £5k for the full year position, when compared to the budget surplus positions of £88k and £345k respectively.

The Full Year Forecast has been produced by extrapolating the first 3 months of actuals, with adjustments for accruals and known changes. We are currently working with the Directorates to enable us to produce more robust forecasts for future monitoring reports. The comments in the paper below provide more detail on the key movements.

5.1 Income

The revenue management fees received to date are in line with the budgeted figure. The forecast revenue management fee for the year of £17,672k has increased by £174K compared to the original budget of £17,498K. This movement reflects the final outcome of the negotiations with the Council in relation to the capitalisation of salaries. A compromise was finally reached whereby the Council agreed to transfer capital management fee to revenue in order to fund additional posts required to deliver the Capital Programme. As a result £134k of capital management fee has been transferred to revenue to cover the salaries of Program Managers wholly employed in Capital Programme Work. There is a corresponding decrease of £134k in the Capital Management Fee, which will be offset by efficiency savings delivered within the capital programme so there should be no impact on the level of works delivered. In addition, £40k of additional funding has been allocated for an Energy Management Officer, and has been funded by the Feed In Tariff generated on the PV Solar Panels that were fitted last year. These changes are demonstrated in the Budget Movement Summary attached at Appendix B The capital management fee is split into three distinct areas covering Property Improvements, Development (New Build and Acquisitions) and other capital projects (HMS System). The variances on these management fee allocations are discussed in detail at Section 5.2. Other income continues to reflect the adjustments made at year end that have not been included in these accounts. The full year forecast is £832K, which is a reduction of £12K compared to the budgeted position and relates to a reduction in Supporting People Grant for Hostels. Finance Committee will also be aware that the level of funding allocated for supporting people on HRA Services is likely to reduce during 2013/14, which will potentially result in budget pressures. However, as negotiations are still underway to determine the exact impact, the budgeted position as not yet been amended.

5.2 Capital Programme Housing Management Project FYF £0k, adverse variance £500k This project has yet to commence, so no costs have been incurred, and as yet anticipated costs for the year have not been calculated. The project

manager is confident the budget is adequate for the full implementation, however it is likely that these costs will run over into next year. Development Spend to-date £66k, adverse variance £1,438k FYF £3,571k, adverse variance £2,445k Within Development there is currently spend to the end of June 2013 of £66K compared to the budget to date of £1,504K. Currently the majority of Development Spend is yet to be reflected in Cornwall Housing accounts as it has not been recharged from the Council. Work is ongoing with the Council to establish actual costs to date which will then be transferred to CHL. A major issue on the Development programme is in relation to a Section 106 site of 35 units which was originally scheduled for delivery in this financial year, but will not now materialise, so significant work is underway to secure replacement units in line with the 2013-14 target. The current end of year forecast is prudent and assumes that this scheme cannot be replaced with alternates by the end of the year. The current forecast of £3,571k is a reduction of £2,445k from the original budget of £6,060k. It is hoped that this forecast underspend can be reduced as the year progresses as detailed above.

5.3 Expenditure Property Repairs Spend to-date £3004k net underspend £558k FYF £13,652k, FY net overspend £106k Property repairs are demonstrating a significant variance which could in part be explained by the major changes which have occurred in this area since the start of the year. Gas Servicing along with the Ocean and Mears Repairs Services have now transferred in house which will change the budget requirements and spend profiles within this area. Unfortunately, due to time and resource constraints the position has not been fully reviewed yet, although some changes have been implemented with £1.17m being removed from planned and responsive budget and transferred to pay costs in relation to the new in-house team. The exact cost of this team is still being identified and so further adjustments may be made later in the year as actual costs become identified. Further changes will also be required to reflect costs of materials and overhead costs. These issues should be resolved once the Trading Accounts have been developed for the Internal DLOs and Finance Committee will be updated within the next monitor position. Until Trading Accounts are developed there is no reflection in the accounts of the work completed internally by a team that is not in that particular teams own area of work. An example of this is where a responsive repair team completes capital works, currently the cost of work appears under Responsive Repairs and the income will appear under Asset Management

and Property. For this reason an overall view of the three repairs headings should be taken. Responsive Responsive Repairs is demonstrating spend to the end of June 2013 of £1,264K compared to the budget to date of £731K. The overspend for the first three months reflects the final payments to Ocean in ceasing their contract for responsive repairs and the initial costs in the establishment of the team to continue this work through in-house provision. However, it is anticipated that this position will be improved once the Trading Accounts have been established and the budget review completed. Planned and Cyclical Maintenance The current spend to the end of June 2013 for planned and cyclical maintenance is £270K compared to the budget to date of £327K. The service may start to show pressure now Gas Servicing for East Cornwall is being provided in-house and the condition of appliances is being assessed. The effect of this on both the Planned and Capital Programme budgets is being closely monitored. Capital Improvements Within Capital Improvements, spend to the end of June 2013 is £1,407K compared to the budget to date of £2,329K. The majority of accrued spend from March 2013 has now been processed although some has yet to be cleared. The budget profiling does not reflect the time taken at the start of the financial year in the commissioning and procurement of the program. It is usual for limited spend to occur in the first quarter of the year as the focus in April tends to be on finalising the year end outturn position, and then the start up of schemes takes time to implement. The profile of spend will be considered as part of the Budget Review that will take place over the next 2 months. A major pressure area within this budget is in relation to the provision of Gas Servicing for the East Cornwall area. This service has now been brought back in-house, and we are discovering a much greater number of appliances that are uneconomical to repair or in some cases unsafe. The replacement of these systems could impact adversely on the capital program and the situation is being closely monitored. Finance Committee will be updated within the next monitor report Other Capital Development Spend to-date £66k, underspend £1,438k FYF £3,571k, underspend £2,445k Housing Management Project FYF £0k, underspend £500k The reasons for the underspends in these areas correlate directly with the position detailed at section 5.2 of this report.

Cost of Materials Spend to-date £638k adverse variance £75k FYF £2,551k, FY adverse variance £300k The overspend for the first three months reflects the final payments to Ocean in ceasing their contract for responsive repairs and the initial costs in the establishment of the team to continue this work through in-house provision. The full year forecast overspend anticipates an increase in materials due to the additional workload carried out by the new team. However it should be noted that these additional costs should be covered within the overall budget available for these works and the work we will be doing during the next 2 months should result in budget being transferred to this area. Pay Spend to-date £2,604k favourable variance £243k FYF £12,340k, FY favourable variance £259k Many Directorates are currently carrying vacancies, in particular Assets where fewer staff TUPE’d across from Ocean and Mears than intended. A major recruitment exercise is currently underway to resolve this situation. Housing Options Directorate is also carrying several vacancies with retention of staff becoming an issue. The Finance department restructure is still ongoing and there are therefore vacancies in this area as well. The Full Year Forecast of £12,340k contains a broad assumption that most of these vacancies will be filled and that the provisions for the pay award and salary reviews will be fully utilised. This has resulted in a forecasted full year underspend of £259k. Work is currently underway to establish an in depth salary monitor process which will review staffing against posts on an individual line by line basis, this should result in more accurate robust projections in future monitor reports. Premises Spend to-date £209k favourable variance £13k FYF £836k, FY favourable variance £53k This underspend is due to grounds maintenance where we have yet to receive any costs from Cormac. Transport Spend to date £121k, adverse variance to date £7k FYF £482k, FY adverse variance £24k This slight overspend is mainly due to the reorganisation of staff responsibilities within the Housing Management area of Landlord Services which has created increased travel costs. Supplies & Services Spend to-date £521k favourable variance £35k FYF £2,198k, FY favourable variance £27k

This area contains £300k for the “invest to save” programme and £500k for Welfare Reform. Both of these areas have been forecast to budget as it is anticipated that this budget will be spent, either in this year or next. There is a current overspend in IT services of £30k which is due to high IT set up costs for new staff and the introduction of modern efficient methods of working e.g. PDAs which are causing considerable pressure on the IT budget. Any costs that have arisen due to the Gas and Repairs Services being brought in-house should be covered by existing budget and it is anticipated that a budget transfer will occur once the Budget Review has been completed. In addition, it is anticipated that careful management of the budget will enable year end outturn in line with the original budget. The overspend on IT is currently being offset by small underspends across several areas of expenditure. Tenant Allowances Spend to date £39k, favourable variance £6k FYF £156k, FY favourable variance £23k Delays in the finalisation of the Tenant Compact and recruitment of volunteers are reflected in the underspend. Internal Recharges Spend to-date £138k, favourable variance £11k FYF £550k, favourable variance £52k Small underspends across several expenditure lines due to delays in receiving costs from Council departments. Finance Committee may recall that the year end outturn position for 2012/13 identified some areas of concern within this budget head. As a result, work is currently underway to analysis these costs and budgets and allocate to the relevant spend area to provide more meaningful management information for future months. General Fund Overall General Fund within CHL is projecting a year end outturn position of a surplus of £26k which is a slight increase of £15k when compared to the budgeted position of a surplus of £11k. This is demonstrated at Appendix C. This increased surplus is mainly as a result of vacancies that have occurred within the service to date. The high turnover of staff and high level of vacancies is resulting in a projected saving of £32k for the full year. This is offset by an anticipated reduction in grant for Supporting People of approx £10k for the year. It should also be noted that there are significant pressures on the CHL General Fund budget in relation to call handling with current indications suggesting a potential shortfall of a full year effect of £67k. In addition, resolution has still yet to be reached in relation to the unfunded element

of the contribution to the pension deficit (£43k). Discussions are currently underway with the Council with the aim of negotiating a solution to these budget pressures. As Finance Committee are aware there are also retained budgets held by the Council which CHL have financial responsibility for. If an overspend occurs on these budget heads, CHL may be required to make a contribution to the Council. It is therefore prudent to consider financial performance in this area as part of the CHL management accounts. As at Quarter 1, the Council are projecting to spend in line with budget on the retained General Fund services, therefore there is no additional impact to take into consideration at this stage. Capital As indicated at section 5.2, there has been the usual slow start to the Capital Programme with only £2,140k of works completed and management fee drawn down in comparison to the £3,019k budgeted position, resulting in an underspend of £879k at Quarter 1. However, it is anticipated that overall the Capital Programme will be on target to deliver the total programme in line with the management fee available for the full year. Further details at provided at Appendices D and E. Impact on Reserves As the current projected outturn position is in line with the budgeted surplus with only a minimal £5k reduction in anticipated surplus, there is no material impact on the level of reserves for the Company. Further details are provided at Appendix F

6 Other Resourcing Implications: There are no other resourcing implications arising from this paper. 7 Legal Implications:

There are no legal implications arising from this paper.

8 Equality Impact Assessment:

The Finance Committee is asked merely to note this paper. There is no equality impact arising directly from this paper as no action is proposed.

9 Significant Risks:

There are financial risks and budget pressures in relation to the financial position for Cornwall Housing and these are summarised in the table below.

Budget Pressure / Risk

Impact Managers Comments

Supporting People Funding

Current service provision cannot be delivered within existing budgets resulting in potential overspends

Business Case currently being developed to identify how service will be delivered within contract funding

Delivery of Efficiency Savings

Current base budget assumes efficiency savings of £2.5m will be delivered in 2013/14. Under performance will result in a reduction in surplus / deficit for the year

Quarterly monitoring process developed to ensure proactive action taken to address any areas of under performance

Demand on General Fund Services

Budget cuts on General Fund results in management fee allocations being insufficient to fund service

CHL are working closely with the Client Function at the Council to ensure that implications are fully communicated and taken into consideration within the decision making process

Contact Centre Costs of internalising the contact centre outweigh budget provision particularly in relation to General Fund Services

Discussions currently taking place with the client to identify whether additional management fee should be allocated to General Fund.

Welfare Reform Financial implications of Welfare Reform may exceed current budget provision resulting in a reduction to the management fee

In depth monthly and quarterly monitoring in place to assess position and facilitate prompt proactive action to address any emerging issues

Remuneration Package Base Budget includes a small provision of £180k to fund the new remuneration package – this could potentially be insufficient to fund proposals resulting in additional budgetary requirements

Financial modelling currently being undertaken to assess full costs of different proposals

10 Consultation

Consultation carried out including staff, SMT, Directors, specialist advice and the community: Directorate management accounts have been discussed with budget holders.

11 Board committee: (For Board reports)

This is a Finance Committee paper. Supporting Information Appendices: Appendix A - Profit And Loss Account Appendix B - Budget Movements Appendix C – General Fund Statement Appendix D – Capital Management Fee Appendix E - Capital Spend Appendix F - Impact on Reserves Background Papers: None Approval and Clearance of Report Report cleared by: Jeanette Beavors Date: 9 August 2013

Appendix A

CORNWALL HOUSINGPROFIT AND LOSS ACCOUNT

Actual Budget Variance Forecast Budget Movement

Income £'000 £'000 £'000 £'000 £'000 £'000

Management Fees

Revenue Management Fee 4,418 4,418 0 17,672 17,672 0

Capital Management Fee:

Property Improvements 2,140 3,019 879 Adverse 12,076 12,076 0

Development 66 66 0 3,571 6,016 2,445 Adverse

Capital Projects 0 0 0 0 500 500 Adverse

General Fund Management Fee 675 675 0 2,701 2,701 0

General Fund Retained Budgets 0 0 0 0 0 0

Total Management Fees 7,299 8,178 879 Adverse 36,020 38,965 2,945 Adverse

Other Income 130 211 81 Adverse 832 844 12 Adverse

Total Income 7,429 8,389 960 Adverse 36,852 39,809 2,957 Adverse

Property Repairs

Responsive 1,264 830 435 Adverse 3,391 2,923 468 Adverse

Planned 270 404 (134) Favourable 1,080 1,308 (228) Favourable

Capital Improvements 1,470 2,329 (859) Favourable 9,181 9,315 (134) Favourable

Total Property Repairs 3,004 3,562 (558) Favourable 13,652 13,546 106 Adverse

Other Capital

Three Months Ending 30 Jun 2013 Indicative End of Year Forecast

Other Capital

Development 66 66 0 3,571 6,016 (2,445) Favourable

Projects 0 0 0 0 500 (500) Favourable

Total Property Repairs 66 66 0 3,571 6,516 (2,945) Favourable

Cost of Materials 638 563 75 Adverse 2,551 2,251 300 Adverse

Pay Costs 2,604 2,974 (370) Favourable 12,340 12,599 (259) Favourable

Premises Costs 209 222 (13) Favourable 836 889 (53) Favourable

Transport Costs 121 114 7 Adverse 482 458 24 Adverse

Supplies and Services 521 556 (35) Favourable 2,198 2,225 (27) Favourable

Third Party Payments 1 2 (1) Favourable 4 7 (3) Favourable

Tenant Allowances 39 45 (6) Favourable 156 179 (23) Favourable

Internal Recharges 138 149 (11) Favourable 550 602 (52) Favourable

Other Costs 43 48 (5) Favourable 172 192 (20) Favourable

Total Expenditure 7,384 8,301 (917) Favourable 36,512 39,464 (2,952) Favourable

Net Profit (45) (88) 43 Adverse (340) (345) 5 Adverse

M:\Management Accounts\Accounts\2013-06 Jun 2013 Accounts\Copy of Board Report - Simple P&L Forecastv5.xlsx

Appendix B

Budget movements since Mar 13

P & L ACCOUNT Budget

approved

@Board

Mar 13

Approved

amendme

nts

@Board

June 2013

Further

amendmen

ts to mgmt

fee agreed

with client

Virements

re TUPE

Repairs

Updated

budgets

requiring

approval

by Board

Management Fees

Revenue Management Fee 17,498 174 17,672

Capital Management Fee: 0

Property Improvements 12,210 -134 12,076

Development 6,016 6,016

Capital Projects 500 500

General Fund Management Fee 2,701 2,701

General Fund Retained Budgets 0 0

Total Management Fees 38,925 38,925 38,965 38,965 38,965

Other Income 844 844

Total Income 39,769 39,769 39,809 39,809 39,809

Property Repairs

Responsive 3,578 -655 2,923

Planned 1,824 -516 1,308

Capital Improvements 8,815 9,315

Total Property Repairs 14,217 14,217 14,217 13,046 13,546

Other Capital


Other Capital

Development 6,016 6,016

Projects 500 500

Total Property Repairs

Cost of Materials 2,251 2,251

Pay Costs 10,988 40 1171 12,599

Premises Costs 889 889

Transport Costs 458 458

Supplies and Services 1,875 50 2,225

Third Party Payments 7 7

Tenant Allowances 179 179

Internal Recharges 602 602

Other Costs 192 192

SIP/Invest to save 300 0

Pay related items 400 0

IT Housing System 500 0

Total Expenditure 39,374 39,424 39,464 39,464 39,464

Net Profit 395 345 345 345 345


CORNWALL HOUSING Appendix C

General FundACTUALS AND BUDGET FOUR MONTHS ENDING 30 JUN 2013

Indicative End of Year Forecast

Actual Budget Variance Actual Budget Variance

Income £'000 £'000 £'000 £'000 £'000 £'000

Total Management Fees 675 675 0 2,701 2,701 0

Other Income

Grants and Reimbursments 75 75 0 289 299 10 Adverse

Recharges 18 18 0 72 72 0

Total Income 768 768 0 3,062 3,072 10 Adverse

Expenditure

Pay Costs 622 630 (8) Favourable 2,488 2,520 (32) Favourable

Premises Costs 34 34 0 136 135 1 Adverse

Transport Costs 13 13 (0) Favourable 52 53 (1) Favourable

Supplies and Services 76 74 3 Adverse 304 294 10 Adverse

Contracted Services 1 2 (1) Favourable 4 7 (3) Favourable

Internal Recharges 13 13 0 52 51 1 Adverse

Four Months Ending 30 Jun 2013

Internal Recharges 13 13 0 52 51 1 Adverse

Total Expenditure 759 765 (6) Favourable 3,036 3,060 (24) Favourable

Net Profit (9) (3) (6) Favourable (26) (12) (34) Favourable


Appendix D

CORNWALL HOUSING

Capital Management FeeACTUALS AND BUDGET THREE MONTHS ENDING 30 JUN 2013

Indicative End of Year Forecast

Actual Budget Variance Actual Budget Variance

Income £'000 £'000 £'000 £'000 £'000 £'000

Total Management Fees 2,140 3,019 879 Adverse 12,076 12,076 0

Other Income 0 0 0 0 0 0

Total Income 2,140 3,019 879 Adverse 12,076 12,076 0

Expenditure

Externally Contracted Works 670 690 (20) Favourable 2,760 2,760 0

Work Completed Internally 1,470 2,329 (859) Favourable 9,316 9,316 0

Total Expenditure 2,140 3,019 (879) Favourable 12,076 12,076 0

Net Profit 0 0 0 0 0 0

Three Months Ending 30 Jun 2013


CORNWALL HOUSING Appendix E

CAPITAL MANAGEMENT FEE THREE MONTHS ENDING 30 JUN 2013

Actual Budget Variance

£'000 £'000 £'000

Capital Management Fee 2,140 3,019 879 Adverse

Internal Costs Recovered

73901 - Kitchen Works [CHL] 68 70 (2) Favourable

73902 - Bathroom Works [CHL] 35 38 (3) Favourable

73903 - Central Heating Works [CHL] 101 79 22 Adverse

73904 - Re-roofing [CHL] 22 40 (18) Favourable

73905 - Double Glazing [CHL] 261 348 (87) Favourable

73907 - Chimneys [CHL] 1 0 1 Adverse

73909 - Env Wks- Paths Fences [CHL] 5 0 5 Adverse

73912 - Insulation - Sound [CHL] 18 0 18 Adverse

73914 - Other - Digital TV [CHL] 0 30 (30) Favourable

73915 - Struct Wks - External [CHL] 16 0 16 Adverse

73916 - Other - Fire Safety [CHL] 6 9 (3) Favourable

73918 - Other - Radon [CHL] 0 0 0

73919 - Rewiring Electrical [CHL] 18 12 6 Adverse

73920 - Rewiring - Smoke Alarm [CHL] 1 5 (4) Favourable

73921 - Roofs - Guttering [CHL] 36 35 1 Adverse

73922 - Struct Wks - Internal [CHL] 58 12 46 Adverse

73923 - Disabled - Adaptions [CHL] 24 12 12 Adverse

670 690 (20) Favourable

External Spend

89151 - Kitchen Works 74 224 (150) Favourable89151 - Kitchen Works 74 224 (150) Favourable

89152 - Bathroom Works 23 61 (38) Favourable

89153 - Central Heating Works 345 68 277 Adverse

89154 - Re-roofing 103 147 (44) Favourable

89155 - Double Glazing 350 518 (168) Favourable

89156 - Decent Homes Works (Other) 47 56 (9) Favourable

89157 - Chimneys 12 0 12 Adverse

89160 - PVCu Doors 36 58 (22) Favourable

89162 - Env Wks- Paths Fences 5 150 (145) Favourable

89163 - Env Wrks- Playgrnd Eq 6 0 6 Adverse

89166 - Insulation - External 11 125 (114) Favourable

89169 - Other - Asbestos Work (13) 0 (13) Favourable

89171 - Struct Wks - External 226 239 (13) Favourable

89172 - Other - Fire Safety 1 12 (11) Favourable

89173 - Other - Lifts 0 20 (20) Favourable

89176 - Rewiring Electrical 0 96 (96) Favourable

89177 - Rewiring - Smoke Alar 0 80 (80) Favourable

89179 - Roofs - Guttering 5 0 5 Adverse

89180 - Struct Wks - Internal 16 187 (171) Favourable

89184 - Disabled - Adaptions 223 288 (65) Favourable

89714 - Planning Fees Int 0 0 0

1,470 2,329 (859) Favourable

Total Capital Works 2,140 3,019 (879) Favourable

Excess of Spend over Fees 0 0 0

(Prepaid Capital Management Fee included in above)


2013/-14 Budget: Impact on Reserves Appendix F

as at Mar 13 As at Jun 13

£'000 £'000

Balance b/fwd (ex-Carrick) 3,589 3,589

Pension deficit (1,649) (1,649)

Net reserves as at 2012/13 1,940 1,940

Forecast contribution to reserves as at 31/3/13 1,018 1,015

Balance carried f/wd to 2013/14 2,958 2,955

Budgeted contribution to reserves during 2013/14 395 345

Indicative contribution to reserves 3,353 3,300

Current under/over movement (5)

TOTAL 3,353 3,295

NOTE Original Revised

£'000 £'000

Of which earmarked for new initiatives 1,903 1,892

Retained as General Reserves 1,450 1,403

3,353 3,295

Proposed utilisation of reserves

new build and new initiatives 1,760 1,760

Welfare reform 100 100

New initiatives General Fund 43 32

1,903 1,892

M:\Management Accounts\Accounts\2013-06 Jun 2013 Accounts\Copy of Board Report - Simple P&L

Forecastv5.xlsx

Welfare Reform - Performance Framework Statistics 2013-2014 APPENDIX B Combined Figures (All Cornwall)

Responsible Officer April May June Quarter 1 July Aug Sep Quarter 2 Accum Total Oct Nov Dec Quarter 3 Accum Total Jan Feb Mar Quarter 4 Yearly Total

HB List 992 962 949 949 932 923 0 0 0

141 111 72 72 66 66 0 0 0 0 0 0 0 0 0 0

65 56 37 37 41 43 0 0 0 0 0 0 0 0 0 0

76 55 29 29 25 23 0 0 0 0 0 0 0 0 0 0

5 0 6 6 0 3 0 0 0 0 0 0 0 0 0 0

0 22 13 13 25 23 0 0 0 0 0 0 0 0 0 0

Not Known 42 61 61 55 62 0 0 0 0 0 0 0 0 0 0

Not Known 287 331 331 325 232 0 0 0 0 0 0 0 0 0 0

Figures as of Mar - 13

Red

Making No Payments and Arrears Increasing

181 404 349 0 0 0 0 0 0

Amber

Making Payments and reducing arrears, but

still in arrears52 220 213 0 0 0 0 0 0

Green

Making Payments and balance clear or in

credit759 368 387 0 0 0 0 0 0

147 171

TBC 287

TBC 133

759 368 359 387 387 319 263

233 624 603 562 562 613 660

£93,171 £117,183 £128,686 £130,211 £130,211 £130,649 138472

22 16 9 47 2 2 4 0 0

RENT MANAGEMENT

OFFICERNot Known 0 3 3 1 4 0 5 8 0 0 0 0 8 0 0 0 0 8

0 0 0 0

22 32 11 65 17 7 0 24 89 0 0 0 0 89 0 0 0 0 89

29 60 17 106 28 11 0 39 145 0 0 0 0 145 0 0 0 0 145

2 3 0 5 2 0 0 2 7 0 0 0 0 7 0 0 0 0 7

82 86 85 85 78 89 0 0 0 0 0 0 0 0 0 0

1 bed required 50 24 23 23 24 26 0 0 0 0 0 0 0 0 0 0

> 1 bed required 0 4 4 3 3 0 0 0 0 0 0 0 0 0 0

0 2 2 4 2 3 0 5 9 0 0 0 0 9 0 0 0 0 9

Not Known 0 0 0 2 0 0 2 2 0 0 0 0 2 0 0 0 0 2

Not Known 1 0 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1

Not Known 1 1 2 5 6 0 11 13 0 0 0 0 13 0 0 0 0 13

Not Known 1 3 4 2 0 0 2 6 0 0 0 0 6 0 0 0 0 6

20(Mid Unknown)

2 4 6 9 0 0 9 15 0 0 0 0 15 0 0 0 0 15

85

79

1 Moved5 Started Work

701 DLA


701 DLA


681 DLA


393 DLA

4 Moved14 Working

17 not uploaded

0 0 0

Total 20 19 19 19 19 15 0 0 0 0 0 0 0 0 0 0

WELFARE

ADVISOR

GENERAL

How many RAG cases contacted

FINANCE

Cases in Arrears

Number of Cases not in arrears

QUARTERLY

MONTHLY

New Direct Debit Mandates

Who has been served a notice, due to Under-occupancy

Number of Direct Debits

Total Cases

Number of Direct Lets refused

Number of Tenants

affected by the Benefit

Cap

PrivatePSLB&B

Number of tenants affected

How many repeat contacts

How many, who havent responded and are in arrears, have been contacted

Number of teants who haven't responded

No longer affected

How many in arrears/not paying

How many not in arrears/paying

WELFARE

ADVISOR

DHP's Awarded

RAG Anaylsis for all tenants affected (This measure is to compare the level of arrears compated to our initial assment of £373,000)

DHP's Declined

Total Amount of Arrears

Non-Dep Charges

Number of Cases in Arrears

DHP

CC/CHL Tenants who have moved via Homechoice (Recorded as Welfare Reform cases)

Total Moved

Succesful Reconsideration of DHP

MOVING

Tenants who have moved via Mutual Exchange

New Cases

Tenants who have moved via Direct Let

Number of Households wishing to move

Number assesed as suitable for Direct Let

W A

BEN

W.E.F

WELFARE

ADVISOR

VOIDS

HOMECHOICE

CC & CHL (incl G&T)



In Arrears 0 7 7 9 12 0 0 0 0 0 0 0 0 0 0

36

18 Paying14 Looking for

Work4 Moving

37


Work4 Moving

41


Work4 Moving

41


Work4 Moving

46


Work4 Moving

52


Work4 Moving

0 0 0

Total 0 12 19 19 19 5 0 0 0 0 0 0 0 0 0 0

In Arrears 0 6 6 9 5 0 0 0 0 0 0 0 0 0 0

PrivatePSLB&B

CC & CHL (incl G&T)

WELFARE

ADVISOR

NEFIT CAP

F. 15/07/13

Number contacted

CC & CHL (incl G&T)



East 5 7 8 20 9 9 18 38 0 38 0 38

Mid 7 7 10 24 11 12 23 47 0 47 0 47

West 7 8 7 22 10 10 20 42 0 42 0 42

Total 19 22 25 66 30 31 0 61 127 0 0 0 0 127 0 0 0 0 127

East 15 15 17 47 19 18 37 84 0 84 0 84

Mid 23 30 31 84 33 33 66 150 0 150 0 150

West 13 13 14 40 16 19 35 75 0 75 0 75

Total 51 58 62 171 68 70 0 138 309 0 0 0 0 309 0 0 0 0 309

East 0 0 0 0 0 0 0 0 0 0 0 0

Mid 0 0 0 0 0 0 0 0 0 0 0 0

West 0 0 0 0 0 0 0 0 0 0 0 0

Total 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

5 0 47 52 0 0 0 52 0 52 0 52

0 0 0 0 0 0 0 0 0 0 0 0

Homeless

Number of Households accepted as Homelessness due to Welfare Reform

HOUSING OPTIONS

HOMECHOICE

STEPHANIE

NEWBURY

Welfare Reform cases registered through Housing Options for all Cornwall

(Previous Total: 33)

General

Transfer

meeting to be held on monday 30 september 2013 …...2013/09/30 · 1 of 2 cornwall housing board...

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